Title 68 Ill. Adm. Code — Professions and Occupations

Chapter II Department of Agriculture

Part 590 Feeder Swine Dealer Licensing

68 Ill. Adm. Code 590.5 Definitions

a) Words in the singular form shall be deemed to include the plural, words in the masculine form shall be deemed to include the feminine form, and vice versa, as the case may require.

b) The definitions for this Part shall be as set forth in the general definitions Section (8 Ill. Adm. Code 20.1). Also, the following definition shall apply to this Part:

"Act" means the Illinois Feeder Swine Dealer Licensing Act [225 ILCS 620].

History

• Source: Amended at 20 Ill. Reg. 1532, effective January 12, 1996

68 Ill. Adm. Code 590.10 Permanent Place of Business

Licensed feeder swine dealers shall have a permanent place of business and facilities for the holding of swine on his premises, subject to approval of the Department.

History

• Source: Amended at 20 Ill. Reg. 1532, effective January 12, 1996

68 Ill. Adm. Code 590.20 Agents (repealed)

History

• Source: Repealed at 10 Ill. Reg. 10087, effective May 21, 1986

68 Ill. Adm. Code 590.30 Imported Feeder Swine

Feeder swine imported into Illinois shall be accompanied by a health certificate and permit, in compliance with Sections 10 and 11 of the Illinois Swine Disease Control and Eradication Act [510 ILCS 100/10 and 11] and the rules relating to importation of feeding swine (8 Ill. Adm. Code 105.10 and 105.20).

History

• Source: Amended at 20 Ill. Reg. 1532, effective January 12, 1996

68 Ill. Adm. Code 590.40 Ear Tagging (repealed)

History

• Source: Repealed at 10 Ill. Reg. 10087, effective May 21, 1986

68 Ill. Adm. Code 590.50 Duties of a Licensed Swine Dealer

a) Licensee under this Act shall provide suitable facilities at his place of business for yarding, feeding and watering of swine, and shall protect swine from inclement weather conditions at all times while they are on his premises.

b) Sanitation of feeding, watering, and other facilities shall be maintained at all times.

c) All floors shall be concrete or other hard surface as approved by the Department.

d) No swine showing clinical or physical evidence of disease may be sold.

e) Premises shall be opened for inspection by authorized Department inspectors.

f) A feeder swine dealer or his agent shall in no way act as a peddler of feeder swine by traveling about from place to place with feeder swine in his possession, offering to sell, trade, give away, barter, exchange or dispose of them in any manner.

g) Any slaughter swine on the premises must be kept separate and apart from any breeding or feeder swine.

History

• Source: Amended at 20 Ill. Reg. 1532, effective January 12, 1996

68 Ill. Adm. Code 590.60 Maintenance of Records

Records and premises shall be open during regular business hours for inspection by authorized Department inspectors. Department inspectors are authorized to make photocopies of any and all records as necessary.

History

• Source: Amended at 23 Ill. Reg. 420, effective January 1, 1999

68 Ill. Adm. Code 590.70 Surety Bonds (repealed)

History

• Source: Repealed at 10 Ill. Reg. 10087, effective May 21, 1986

68 Ill. Adm. Code 590.80 Surety Bonds and Other Pledged Securities

The collection, cancellation, control and distribution of surety bonds and other pledged security shall be as established in Section 16 of the Act and the rules for the Civil Administrative Code of Illinois (8 Ill. Adm. Code 3. Subparts A and B).

History

• Source: Amended at 10 Ill. Reg. 10087, effective May 21, 1986

68 Ill. Adm. Code 590.90 Feeder Swine Purchase and Movement Restrictions

a) A feeder swine dealer may purchase only swine from the following:

1. A farm of origin and cannot move swine to more than one concentration point, or

2. A livestock auction market and transport such swine directly to a farm, or

3. A feeder swine dealer and transport such swine directly to a farm.

4. Swine may move through a second concentration point (licensed feeder swine dealer premises or livestock auction market) provided that such swine are additionally individually identified by inserting a second official ear tag in the right ear. Swine shall not move through more than 2 concentration points.

b) The definition of a "farm of origin" for the purposes of this rule is a premise maintained for one or more of the following purposes:

1. Where feeder swine are farrowed, or

2. Where breeding swine are bred and premises are maintained for breeding purposes.

c) The definition of a "farm" for the purposes of this rule is a premise where feeder swine are fed and premises are maintained for such feeding purposes.

d) When considered in the best interest of the livestock industry, the Director of the Illinois Department of Agriculture may suspend any portion of this rule.

68 Ill. Adm. Code 590.100 License Application

Applications by individuals for original licenses shall be made to the Department in writing on forms prescribed by the Department and shall be accompanied by the required bond and required fee which shall not be returnable. Any such application shall require such information as in the judgement of the Department will enable the Department to pass on the qualifications of the applicant for a license. This information shall include, but need not be limited to, information regarding legal address of the applicant, partners, corporate officers, managers, location(s) of holding facilities (if any), names and addresses of agents, bank and professional references, present and previous business connections and experience, whether any license dealing with the handling of livestock has ever been suspended or revoked, and whether the applicant ever has been convicted of a felony. Such felony convictions may be taken into consideration by the Department in determining qualifications for licensing but shall not operate as a bar to licensing.

History

• Source: Added at 20 Ill. Reg. 1532, effective January 12, 1996

Part 610 Livestock Dealer Licensing

68 Ill. Adm. Code 610.5 Definitions

The definitions for the rules of this Part can be located in the general definitions section (8 Ill. Adm. Code 20.1).

History

• Source: Added at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.10 Entry Requirements

All livestock imported into the State shall meet Illinois entry requirements as may be set forth in those Acts listed in Section 19.1 of the Illinois Livestock Dealer Licensing Act [225 ILCS 645/19.1].

History

• Source: Amended at 23 Ill. Reg. 446, effect January 1, 1999

68 Ill. Adm. Code 610.20 Breeding Cattle Health Requirements (repealed)

History

• Source: Repealed at 18 Ill. Reg. 1875, effective January 24, 1994

68 Ill. Adm. Code 610.30 Swine Health Requirements

a) All Illinois breeding swine 4 months of age and over purchased by a licensed livestock dealer shall comply with the Illinois Swine Brucellosis Eradication Act [510 ILCS 95] and the Illinois Pseudorabies Control Act [510 ILCS 90].

b) All breeding swine sold or purchased by a licensed livestock dealer through a livestock auction market shall comply with the requirements of the Livestock Auction Market Law and rules (8 Ill. Adm. Code 40.170(e)).

History

• Source: Amended at 21 Ill. Reg. 17091, effective January 1, 1998

68 Ill. Adm. Code 610.40 Prevention of Spread of Livestock Diseases

All other species of breeding livestock, to wit: cattle, goats and sheep, shall comply with the laws and rules as listed in Section 19.1 of the Illinois Livestock Dealer Licensing Act [225 ILCS 645/19.1] relating to such livestock.

History

• Source: Amended at 26 Ill. Reg. 123, effective January 1, 2002

68 Ill. Adm. Code 610.50 Feeder Cattle

Livestock dealers purchasing animals for feeding purposes shall:

a) Keep such cattle separate from breeding cattle.

b) Submit to the Department a weekly report (on Department Form M-107) of the sale of all out-of-state female feeder cattle over 6 and under 18 months of age from states that are not brucellosis Class-Free under the Brucellosis Eradication Uniform Methods and Rules as approved by the United States Animal Health Association (P.O. Box K227, Suite 114, 1610 Forest Avenue, Richmond, Virginia 23228, February 1, 1998) and the United States Department of Agriculture and/or 9 CFR 78.1 (2001), giving the date of each sale, number sold, age, breed, and the name and address of the purchaser.

History

• Source: Amended at 26 Ill. Reg. 123, effective January 1, 2002

68 Ill. Adm. Code 610.60 Slaughter Animals

Livestock dealers purchasing animals for slaughter purposes only (cattle, swine, goats or sheep) shall:

a) Keep slaughter animals isolated from all breeding and feeder animals.

b) Be sold within 10 days after purchase direct to a public stockyard or recognized slaughter establishment under State or Federal supervision. Slaughter cattle from farm of origin may be consigned direct to a recognized slaughter establishment, or public stockyard, or licensed livestock auction market under State or Federal supervision (except the type of cattle mentioned in subsection (c) below).

c) Maintain records on each head of livestock purchased in accordance with Section 17 of the Illinois Livestock Dealer Licensing Act [225 ILCS 645/17]. Livestock purchased at less than prevailing market price, such as cows with squamous cell carcinoma (cancer eye), crippled animals, and animals whose general physical appearance would indicate they are not healthy or are suffering from malnutrition shall be consigned directly to a recognized slaughtering establishment under State or Federal supervision.

d) Diseased livestock accompanied by official forms shall not be diverted en route. Licensed livestock dealers shall have all official forms accompany the diseased livestock to the destination listed on the forms.

History

• Source: Amended at 26 Ill. Reg. 123, effective January 1, 2002

68 Ill. Adm. Code 610.70 Care of Livestock (repealed)

History

• Source: Repealed at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.80 Inspection

Records and premises shall be open for inspection during regular business hours by authorized Department inspectors. Department inspectors are authorized to make photocopies of any and all records as necessary.

History

• Source: Amended at 23 Ill. Reg. 446, effective January 1, 1999

68 Ill. Adm. Code 610.90 Identification Not to Be Removed or Altered

The removal or altering of any identification of animals, such as, ear tags, backtags, and tattoos is prohibited, except as follows:

a) Backtags may be removed whenever an animal is blood tested or is slaughtered and a Market Cattle Identification sample collected.

b) Identification tags may be removed only when an animal is slaughtered and a Market Cattle Identification sample collected.

History

• Source: Amended at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.100 Compliance with Market Cattle Identification Program

All female cattle over 2 years of age consigned to a livestock auction market shall comply with the Market Cattle Identification Program as follows:

a) Each animal shall be backtagged by the livestock dealer with an official market cattle backtag.

b) Reports of such backtagging shall be submitted to the Department on forms provided by the United States Department of Agriculture within 7 days of application of the backtag.

c) Cattle moving directly from the farm of origin to an auction market or marketing center without commingling with other animals can be tagged at the auction market or marketing center.

History

• Source: Amended at 23 Ill. Reg. 446, effective January 1, 1999

68 Ill. Adm. Code 610.110 Surety Bonds and Other Pledged Security

Procedures for the collection, cancellation, control and distribution of surety bonds and other pledged security shall be as established in 8 Ill. Adm. Code 3: Subparts A and B.

History

• Source: Amended at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.120 Cancellation of Escrow Agreements (personal Bonds) (repealed)

History

• Source: Repealed at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.130 Director as Trustee on Surety Bonds (repealed)

History

• Source: Repealed at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.140 Dealer's Agent (repealed)

History

• Source: Repealed at 8 Ill. Reg. 5973, effective April 23, 1984

68 Ill. Adm. Code 610.150 License Application

Application by individuals for original licenses shall be made to the Department in writing on forms prescribed by the Department and shall be accompanied by the required bond and required fee which shall not be returnable. Any such application shall require such information as in the judgement of the Department will enable the Department to pass on the qualifications of the applicant for a license. This information shall include, but need not be limited to, information regarding legal address of the applicant, partners, corporation officers, managers, location(s) of holding facilities (if any), names and addresses of agents, bank and professional references, present and previous business connections and experience, whether any license dealing with the handling of livestock has ever been suspended or revoked, and whether the applicant ever has been convicted of a felony. Such felony convictions may be taken into consideration by the Department in determining qualifications for licensing, but shall not operate as a bar to licensing.

History

• Source: Added at 20 Ill. Reg. 1552, effective January 12, 1996

Chapter III Department of Labor

Part 680 Rules and Regulations Relating to the Operation of Private Employment Agencies

68 Ill. Adm. Code 680.100 Provisions of the Act (repealed)

History

• Source: Repealed at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.110 Provisions of the Illinois Human Rights Act (repealed)

History

• Source: Repealed at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.120 Obtaining Copies (repealed)

History

• Source: Repealed at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.130 Additional Provisions of the Illinois Human Rights Act (repealed)

History

• Source: Repealed at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.140 Prohibition of Discrimination Practices (repealed)

History

• Source: Repealed at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.200 Provisions of the Act

Section 12 of the Act provides in part:

The Director of Labor or his designated representative shall have the power and authority to conduct hearings in accordance with "The Illinois Administrative Procedure Act", upon complaint by an authorized officer of the Department of Labor or any interested person of a violation of the Act or the rules and regulations of the Department of Labor.

. . . When it is shown to the satisfaction of the Director of Labor that any person is guilty of an immoral, fraudulent, or illegal conduct in connection with the conduct of the business, it shall be the duty of the Director of Labor to revoke or suspend the license of such person, but notice of such charges shall be presented and reasonable opportunity shall be given the licensee to defend himself in the manner and form provided in the Act. Whenever the Director of Labor shall issue an order after hearing as provided in this Section, refuse to issue, or revoke the license of any such employment agency or employment counselor, the determination shall be reviewable under and in accordance with the provisions of the Administrative Review Act. [735 ILCS 5/Art. III]

History

• Source: Amended at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.210 Procedures in Connection with Initiation and Resolution of Complaints

The Director of Labor accordingly prescribes the following procedures in connection with initiation and resolution of complaints seeking the revocation or suspension of license of a private employment agency or employment counsellor.

History

• Source: Amended at 3 Ill. Reg. 34, page 190, effective August 24, 1979

68 Ill. Adm. Code 680.215 Filing Complaint

Complaints may be initiated at any time by anyone in either oral or written form.

a) A complaint shall contain the name and address of the private employment agency or counsellor involved, and a concise statement of the violation alleged.

b) A complaint shall contain the name, address, and telephone number of the person initiating the complaint.

History

• Source: Amended at 3 Ill. Reg. 34, page 190, effective August 24, 1979

68 Ill. Adm. Code 680.220 Investigation of Complaint

Prior to final determination, the Department may pursue the complaint by preliminary hearing, or information gathering meeting, with the cooperation of all known parties to the complaint, or by investigation as provided in the Act.

History

• Source: Amended at 3 Ill. Reg. 34, page 190, effective August 24, 1979

68 Ill. Adm. Code 680.225 Contested Case Resolution

Resolution of complaints seeking suspension or revocation of a private employment agency or employment counselor license will be pursued in accordance with the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10] and 56 Ill. Adm. Code 120.

History

• Source: Amended at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.230 Rules of Procedures in Administrative Hearings--Contested Cases (repealed)

History

• Source: Repealed at 25 Ill. Reg. 878, effective January 5, 2001

68 Ill. Adm. Code 680.300 Prohibition of False or Misleading Statements

No licensee shall publish or cause to be published or circulate any false or fraudulent or misleading information, representation, promise or notice by advertising, or in any other way make false statements or misrepresentation to any person seeking employment or to any employer seeking employees.

68 Ill. Adm. Code 680.310 Prohibition of Solicitation for Jobs Not on File

No licensee shall publish or cause to be published any notice or advertisement soliciting persons to register for a specific job unless the licensee has on file a current bona fide job order as required by Section 903 of the Act. Job orders must be received from an employer or an authorized representative therefrom. Exaggerated claims may not be made as to the number of positions currently available.

68 Ill. Adm. Code 680.320 Maintenance of File

Each licensee must maintain a file of all job advertisements identified by date and publication. Such records shall be retained for one year.

68 Ill. Adm. Code 680.330 Advertisements and Notices

Except for licensees whose trade name contains the term Personnel, Employment Agency, or Employment Service, all advertisements and any notices, published in any manner, by any private employment agency which accepts a placement fee from the applicant, shall carry the name and address under which the private employment agency is licensed to do business and the fact that it conducts a private employment agency. If a licensee chooses to adopt an abbreviated name for advertising purposes, prior approval must be obtained from the Department of Labor. A licensee shall not use a Post Office, newspaper or any other box number in any advertising, unless a licensee identifies itself as required by the Act, and Rules and Regulations.

History

• Source: Amended at 6 Ill. Reg. 5778, effective April 30, 1982

68 Ill. Adm. Code 680.340 Indication of Employer Paying Placement Fees

All advertisements of positions which indicate that the employer pays the placement fee must be clearly identified as such, by use of the terms 'no fee to applicant', employer pays fee', 'no charge to applicant', and distinct from positions which the applicant shall pay the fee. On advertised positions which indicate that the employer will pay the fee, the licensee shall be responsible for the employer pay fee arrangement and without any cost to the applicant. The offering of such positions shall not be used to 'bait' in any manner to secure applicants for fee positions. Advertisements containing both employer pay fee positions and applicant pay fee positions shall be stated in a non-deceptive manner so as to preclude any misunderstanding as to which jobs cost the applicant a fee. In positions offered to applicants whereby a representation is made that the employer will pay the fee, licensee shall be responsible for the employer pay fee arrangement without any cost to the applicant.

History

• Source: Amended at 6 Ill. Reg. 5778, effective April 30, 1982

68 Ill. Adm. Code 680.350 Salary

No salary shall appear in an advertisement except the salary indicated in the actual job order. Only base salaries may be advertised in total amounts, although contingent benefits such as incentive pay, bonuses, vacation, expenses, profit sharing may be mentioned if actually existent.

a) Base salary is defined as that amount which the employer in its job order agrees to pay, exclusive of contingent or fringe benefits.

b) When several positions are offered in a range of salaries, the minimum as well as the maximum salary in each classification must be quoted.

c) No dollar references may be made as to potential earnings unless demonstrable and verifiable.

History

• Source: Amended at 6 Ill. Reg. 5778, effective April 30, 1982

68 Ill. Adm. Code 680.360 Cancellation of Advertisements for Filled Positions

Advertisements of positions which have been filled shall be cancelled promptly.

68 Ill. Adm. Code 680.400 Soliciting of Employees

No private employment agency, which accepts fees from the applicant, shall by itself or by its agents solicit or attempt to persuade or induce any employee to leave or be separated from his/her employment by direct means of communication on the employer's premises during employee's employment hours, unless the said employee has previously granted his/her permission to the licensee.

History

• Source: Amended at 6 Ill. Reg. 5778, effective April 30, 1982

68 Ill. Adm. Code 680.500 Letter Writing Service

a) Letter Writing Service is that service performed by mailing letters, resumes and other correspondence for the sole purpose of generating employment offers.

b) Licensee may, with a written permit of the Department of Labor, charge a reasonable fee to cover expenses of printing and mailing letters and resumes not to exceed $250. The fee shall be called letter service fee and is to be credited on the fee charged for any placement resulting from such letter service.

c) Licensee shall keep a complete record of fee collected and expenses incurred with respect to every such letter service fee charged. This record shall be called a letter service fee record (and kept on file) and open for inspection by the Department of Labor during all business hours.

d) Licensee shall refund the fees collected, less expenses incurred, within six months of the date of application, if no acceptable position has been furnished to the applicant by the licensee. An itemized account of such expenditures shall be presented to the applicant at the time of returning unused portion of such letter service fee. All such refunds shall be in cash or negotiable check and receipts obtained therefor.

e) Any such permit granted by the Department of Labor may be revoked by it upon due notice to the holder of said permit and due cause shown and hearing thereon.

History

• Source: Amended at 6 Ill. Reg. 5778, effective April 30, 1982

68 Ill. Adm. Code 680.600 Employment Agency Telephone Numbers

The licensee shall in writing notify the Department of all telephone numbers to be used by said licensee in connection with the employment agency; phone numbers must be used exclusively in the operation of the employment agency and not in conjunction with any other business.

68 Ill. Adm. Code 680.700 Copy of Contract

An executed copy of each contract or other document to which the applicant becomes a party with the licensee shall be given to the applicant by the licensee or licensee agency at the time of the execution of such contract or other document.

68 Ill. Adm. Code 680.800 Definition of "domestic Agency"

Domestic Agency as used under these rules means and includes the business of conducting any agency, bureau, office or any other place for the purpose of procuring, offering, promising, or attempting to provide employment for any domestic or household help.

68 Ill. Adm. Code 680.810 Applications for Domestic Services

Every such licensee who sends out any person to render domestic services or household help shall cause each applicant for such employment to fill out an application form giving the following information:

a) The name and address of the applicant;

b) The length of time such applicant has resided at the aforementioned address; and

c) The names and addresses of the last three persons for whom the applicant has rendered household or domestic help.

68 Ill. Adm. Code 680.820 Requirements of Licensee

No licensee shall send out any person to render such domestic or household help unless such person has filled out the aforementioned application personally at the agency and has been interviewed by the licensee or a licensed placement counsellor.

68 Ill. Adm. Code 680.830 Endorsement of Application

The application heretofore mentioned shall have endorsed thereon the date of the interview and the signature of the person who interviewed the applicant.

68 Ill. Adm. Code 680.840 Verification of References

It shall be the duty of every licensee to verify the references of the aforementioned last places of employment listed on the application and it shall be the further duty of the licensee to keep a file of such records in the agency.

68 Ill. Adm. Code 680.850 Executed Application Forms and Verifications of References

The executed application forms and verifications of references recited shall be kept in the domestic registry of the agency and shall be open to inspection by the Department of Labor.

68 Ill. Adm. Code 680.860 Referral Slips

Every licensee who sends out any person to render such domestic or household help shall mail to the employer of such applicant within twenty-four hours, a referral slip which shall contain the printed name, address, and telephone number of the agency and on which shall be written or typewritten the date that the applicant was referred to the employer, the name of the applicant and the previous references of the applicant.

68 Ill. Adm. Code 680.870 Verification of Qualifications

No person shall send out any applicant to render domestic or household services until such licensee has by letter verified the qualifications stated in the application as to the applicant's previous work record, unless such applicant has had no experience or training; then such licensee shall indicate, by endorsement on the referral slip, the qualifications claimed by the applicant.

68 Ill. Adm. Code 680.880 Separate Records

If any employment agency which sends out persons to perform domestic or household help also engages in the business of conducting a general employment agency, the records of the agency relating to the domestic or household help phase of the agency business shall be kept separate from the records of the agency pertaining to any other phase of such business.

68 Ill. Adm. Code 680.890 Physical Examination Documentation

Every licensee who sends out any person to render domestic service shall maintain documentation of a physical examination of the domestic performed within the twelve months prior to the referral. The licensee shall maintain a copy of the licensed physician's statement with the application. Such documents of an annual physical examination shall consist of:

a) The statement that the domestic referral named therein was "found free of communicable disease."

b) The signature of a licensed physician, dated within the previous twelve months of the referral.

History

• Source: Amended at 3 Ill. Reg. 23, page 84, effective June 9, 1979

68 Ill. Adm. Code 680.1000 Application Fees for Agency Licensure

a) The Department licenses private employment agencies in accordance with Section 1 of the Private Employment Agency Act [225 ILCS 515].

b) The fee that must be submitted along with a domestic agency's application for licensure is determined by the number of employment counselors that the Agency employs. The current fee schedule is:

1. 1 to 2 employment counselors: $250

2. 3 to 5 employment counselors: $350

3. 6 to 10 employment counselors: $400

4. 11 or more employment counselors: $500

History

• Source: Added at 42 Ill. Reg. 8323, effective May 4, 2018

Part 690 Nurse Agency Licensing Act

68 Ill. Adm. Code 690.10 Delegation of Authority

The Director of Labor or the Director's designated representative shall have the power and authority to enforce and administer the Illinois Nurse Agency Licensing Act.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.20 Definitions

In addition to those definitions found in Section 3 of the Act, the following definitions shall apply for the purposes of this Part:

"Act" means the Nurse Agency Licensing Act [225 ILCS 510].

"Applicant" means any nurse or certified nurse aide who interviews for employment, assignment, or referral to an Illinois health care facility by a nurse agency.

"Certified nurse aide" means an individual certified as defined in Section 3-206 of the Nursing Home Care Act [210 ILCS 45], Section 3-206 of the ID/DD Community Care Act [210 ILCS 47], or Section 3-206 of the MC/DD Act [210 ILCS 46].

"Covenant not to compete" means an agreement between a nurse agency and an employee that restricts the employee from performing the following:

any work for another employer for a specified period of time;

any work in a specified geographic area; or

any work for another employer that is similar to the work the employee performs for the employer that is a party to the agreement.

"Department" means the Illinois Department of Labor.

"Director" means the Director of the Illinois Department of Labor or the Director's designated representative.

"Employee" means a nurse or certified nurse aide.

"Health care facility" is defined as in Section 3 of the Illinois Health Facilities Planning Act [20 ILCS 3960]. "Health care facility" also includes any facility licensed, certified, or approved by any State agency and subject to regulation under the Assisted Living and Shared Housing Act [210 ILCS 9] or the Illinois Public Aid Code [305 ILCS 5].

"Long-term basis" means the placement of a nurse or a certified nurse aide at a health care facility for an initial employment, assignment, or referral term of more than 24 continuous months by a nurse agency that incurs significant financial investment, to place the nurse or certified nurse aide at the health care facility, including one or more of the following expenses:

educational material expenses, if required;

expenses for credentialing, licensure, or certification; or

expenses for airline travel, lodging, meals, and ground transportation provided to a nurse or certified nurse aide.

"Long-term basis" does not include the placement of a nurse or a certified nurse aide at a health care facility for an initial employment, assignment, or referral term of an undefined duration.

"Manage" means to be in charge of the day-to-day operations of the nurse agency.

"Material amendment" means an amendment to any provision of a contract that is regulated or addressed by the Act or this Part, but does not include day-to-day changes in wage rates or bill rates relating to such changes.

"Nurse" means a registered nurse, a licensed practical nurse, an advanced practice registered nurse, or any individual licensed under the Nurse Practice Act [225 ILCS 65] and performing work pursuant to the Nurse Practice Act.

"Nurse agency" or "nurse staffing agency" means any individual, firm, corporation, partnership, other legal entity, or nurse registry, that employs, assigns, or refers nurses or certified nurse aides to a health care facility for a fee; or an entity that provides nurse or certified nurse aide staffing services. The presence or absence of any single activity by an entity is not dispositive in the Department's analysis of whether the entity is a nurse agency under the Act and this Part. The term "nurse agency" does not include services provided by:

home health agencies licensed and operated under the Home Health, Home Services, and Home Nursing Agency Licensing Act [210 ILCS 55];

licensed or certified individuals who provide their own services as an employee of a health care facility;

a health care facility's coordination of non-salaried employees only in that health care facility; or

an entity or corporation that provides ancillary administrative support services for nurse agencies or nurse staffing agencies, such as payroll processing or contract negotiation, but which does not employ, assign, or refer nurses or certified nurse aides.

"Shift" means a period of consecutive hours during which a nurse or certified nurse aide performs work at a health care facility.

"Supervising nurse" means a registered nurse who is responsible for overseeing the assignment of nurses and certified nurse aides to a health care facility.

"Temporary basis" means an initial employment, assignment, or referral term of an undefined duration or a duration of 24 continuous months or less, exclusive of any extension.

"Transfer of ownership" means a sale or transfer of a majority interest in the ownership of a nurse agency.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.25 Illustrative Examples

The following examples provide guidance on whether an entity is acting as a nurse agency and is subject to the provisions of the Act and this Part. The examples are intended to illustrate some possible facts that the Department would consider relevant to this analysis and do not encompass all possible relevant facts or factual scenarios.

a) Example A: A hospital contracts with Intermediary A for certain services. Per its contractual obligations, the hospital identifies its labor needs to Intermediary A. Intermediary A then engages several staffing agencies, including Staffing Agency, to source a pool of potential candidates for the hospital. Having received a pool of candidates from Staffing Agency, Intermediary A collects proof of the potential workers' credentials and background checks, consults with the hospital, and then provides the names of the selected workers to Staffing Agency for assignment to the hospital. Once workers are placed, Intermediary A tracks their hours worked. Then, Intermediary A bills the hospital according to their contractual agreement, and pays Staffing Agency according to their independent contractual agreement. Staffing Agency pays the workers for work performed at the hospital. Because Staffing Agency employs the nurses and participates in supplying them to Intermediary A's client (the hospital), the Staffing Agency and its contract with Intermediary A are subject to the Act and this Part. Intermediary A would not be subject to the Act.

b) Example B: Nurse Agency provides staffing services to several skilled care facilities. Nurse Agency identifies and recruits prospective nurses to provide to its skilled care facility clients, collects the prospective nurses' credentials, and conducts background checks. The skilled care facilities provide payment to Nurse Agency for nurses selected and placed at their facility. Nurse Agency separately contracts with Company B to provide Nurse Agency with payroll services. Company B tracks hours worked for the nurses placed by Nurse Agency and processes payments to the nurses on behalf of Nurse Agency. Because Nurse Agency identifies and places temporary nursing labor to the skilled care facilities, Nurse Agency is covered by the Act and its contracts with the skilled care facilities are subject to the Act and this Part. Because Company B provides only payroll services and is not involved in the identification, assignment, or referral of nurses, Company B is not considered a nurse agency and its contract with Nurse Agency is not subject to the Act or this Part.

c) Example C: Nurse Agency B coordinates staffing for large long-term care facilities and is the exclusive provider to those facilities. Nurse Agency B recruits and identifies qualified certified nurse aides and employs them directly at these facilities. Nurse Agency B also contracts with Nurse Agencies C and D to identify nurse aides employed by Nurse Agencies C and D to provide supplemental nurse staffing to the facilities when necessary. The long-term care facilities provide payment to Nurse Agency B for all nurse aides referred through their agency. Nurse Agency B separately compensates Nurse Agencies C and D for those nurse aides that these agencies have identified and referred to Nurse Agency B for placement at the long-term care facilities. Because Nurse Agencies B, C, and D employ, assign, or refer temporary nursing labor at these long-term care facilities, they are subject to the Act. However, Nurse Agency B is only a nurse agency subject to the Act with regard to its employment, assignment, and referral of its own employees. It is not a Nurse Agency with regard to the certified nurse aides employed by Nurse Agencies C and D. As such, the contracts between the facilities and Nurse Agency B are subject to the reporting requirements of the Act and this Part, as are the contracts for the provision of supplemental staffing services between Nurse Agencies B and C, and between Nurse Agencies B and D.

d) Example D: Hospital E has a human resources department that recruits, interviews, and hires eligible health care workers, including nurses and certified nurse aides, to work as employees of Hospital E. Hospital E also contracts with a consultant who identifies and recruits nurses and certified nurse aides to become direct hire employees of Hospital E. These nurses and certified nurse aides are managed by fellow employees of Hospital E and are paid by Hospital E. Although Hospital E employs nurses and certified nurse aides, and its HR department verifies their credentials, and assigns them to certain departments within Hospital E, it is not acting as a nurse agency because it is not assigning them to work at a third-party health care facility for a fee. The contracted consultant, although it is earning a fee for recruitment, is not employing, assigning, or referring the nurses and certified nurse aides.

History

• Source: Added at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.30 Licensure

a) Regardless of whether its office is located within or outside Illinois, a nurse agency seeking to assign or refer nurses or certified nurse aides to health care facilities in Illinois shall not be established, operated, maintained, or advertised in the State of Illinois until such agency has been issued a license by the Department.

b) A separate license must be issued for each location from which a nurse agency will be operated unless the nurse agency is owned and managed by the same individual, firm, corporation, partnership, or other legal entity. [225 ILCS 510/5]

c) An agency that is licensed as a home health care agency must also be licensed as a nurse agency if it is referring or assigning nurses or certified nurse aides to health care facilities unless the referral or assignment is as a private duty nurse or certified nurse aide for the benefit of a particular individual with payment for the services made by, or on behalf of, that individual.

d) An agency that is licensed as a private employment agency under the Private Employment Agency Act [225 ILCS 515] must also be licensed as a nurse agency if it refers nurses or certified nurse aides to health care facilities unless that referral is only for purposes of full-time employment by the health care facility.

e) An agency that is registered under the Day and Temporary Labor Services Act must also be licensed as a nurse agency if the agency is in the business of assigning, referring, or employing nurses or certified nurse aides to health care facilities.

f) Application fees are non-refundable.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.40 Contents of Licensure Application

An application to operate a nurse agency shall be made on a form provided by the Department. Upon receipt of an application, the Department may request additional information as necessary to determine whether to issue the license. The application shall contain but is not limited to the following:

a) Business leadership

1. The name, address, federal employer identification number, telephone number, and email address of the person seeking the license, including the trade or assumed name under which the person does business. If doing business under a trade or assumed name, the applicant shall include proof of compliance with the Assumed Business Name Act [805 ILCS 405].

2. The name, address, federal employer identification number, telephone number, and email address of the registered agent for the place of business, including the position held by that person or entity with the person. Applications for registration renewal shall contain the name, address, federal employer identification number, email address, and telephone number of any new registered agent for the place of business, including the position held by that person or entity with the nurse agency;

b) Business structure

1. If the person seeking a license is a corporation or limited liability company: a copy of its articles of incorporation or organization, a copy of its current bylaws and the names and addresses of its officers and directors and the names and addresses of shareholders owning more than 5% of the corporation's stock or membership units shall be provided for an initial license. Applications for license renewal shall contain any amendments to the articles of incorporation and bylaws.

2. If the person seeking a license is a partnership: the names, business or personal addresses, and telephone numbers of all partners. Applications for registration renewal shall contain the names, business or personal addresses, and telephone numbers of all new partners.

3. If the person seeking a license is a limited liability company: a copy of the articles of organization, the operating agreement, and the names and addresses of all organizers and members owning more than 5% of the membership;

c) The names and addresses of all premises from which the nurse agency will provide services, including information on whether the location is a residential address;

d) The name and address of the person under whose management or supervision the nurse agency will be operated;

e) Description of business activity;

f) A statement of whether the owner or operator has ever been convicted of a felony;

g) The name of the supervising nurse or supervising nurses, if not the same person identified under (d), who is responsible for management or supervision of the nurse agency;

h) A statement of financial solvency declaring:

1. That the nurse agency or its owners have not been adjudged insolvent or bankrupt in a State or federal court;

2. That a court proceeding to make a judgment of bankruptcy or insolvency with respect to the nurse agency or its owners is not pending in a State or federal court; and

3. That the nurse agency agrees to inform the Director before any court proceeding that could make a judgment of insolvency or bankruptcy with respect to the nurse agency or its owners;

i) A statement detailing the experience and qualifications of the owner or operator to operate a nurse agency;

j) An attestation that the nurse agency is in compliance with State and federal laws relating to employee compensation, including but not limited to social security taxes, State and federal income taxes, workers' compensation, unemployment taxes, and State and federal overtime compensation laws;

k) A certificate of insurance showing the nurse agency has professional liability insurance in the amounts of at least $1,000,000 per incident and $3,000,000 in aggregate;

l) A certificate of insurance showing the nurse agency has workers' compensation insurance coverage for all nurses and certified nurse aides employed, assigned, or referred by the nurse agency to a health care facility;

m) Copies of all currently effective contracts with health care facilities employing, assigning, or referring nurses or certified nurse aides to those health care facilities, including any effective material amendments or modifications, all of which are exempt from disclosure under Section 7.5(fff) of the Freedom of Information Act [5 ILCS 140]; [225 ILCS 510/5]

n) Payment of an application fee made using the State Treasurer's E-Pay program or any successor program; and

o) For a licensed nurse agency seeking a license renewal, a completed Shift Fulfillment Attestation Form detailing the total number of shifts contracted for, missed, and fulfilled in the 3 quarters preceding the application date in a format prescribed by the Department. [225 ILCS 510/7] This form can be found at https://labor.illinois.gov/laws-rules/fls/nurse-agency-licensing-act.html.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.50 Fee Schedule

a) The application must be accompanied by a $1,000 fee and a $250 fee for each branch office or other location in Illinois from which the nurse agency operates.

b) The fee shall be paid using the State Treasurer's E-Pay program or any successor program.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.55 Reporting Requirements

a) Contracts. A nurse agency must comply with the following contract maintenance and reporting requirements:

1. A nurse agency shall submit to the Department all contracts for the employment, assignment, or referral of nurses or certified nurse aides within seven calendar days of the effective date of the contract. This requirement includes contracts executed or materially amended or modified on or after July 1, 2022 that govern the procurement of staffing services for health care facilities. Contracts must be submitted electronically in PDF format through the Department's online portal provided on the Nurse Agency Licensing Act webpage: https://labor.illinois.gov/laws-rules/fls/nurse-agency-licensing-act.html.

2. All contracts must conspicuously identify the name of the nurse agency and the name of the health care facility to which nurses or certified nurse aides are employed, assigned, or referred pursuant to the contract. The contract must include the effective date and termination date of the contract; if the contract has no termination date, it must include a clear statement of the time period covered by the contract term, including any auto-renewal date, which shall be considered an effective date. Contracts with auto-renewal provisions are deemed to begin a new contract term on the date of renewal.

3. A nurse agency must maintain all contracts under this Section in accordance with the maintenance period requirements of Section 690.150(c).

b) Invoices. All original invoices must be maintained by the nurse agency in accordance with the maintenance period requirements of Section 690.150(c), and copies of such invoices must be submitted to the Department upon request.

c) Quarterly Labor Cost Report. Each nurse agency must report the following data on a quarterly basis, in the following manner.

1. Reporting Schedule.

A) Beginning on the effective date of this rulemaking, a nurse agency in operation on or before the effective date of this rulemaking must submit a quarterly report to the Department that covers all dates on which the nurse agency was in operation since the effective date of Public Act 102-946, July 1, 2022.

B) A nurse agency that begins operations after the effective date of this rulemaking must submit its first quarterly report by the due date immediately following its first full quarter in operation; such report shall encompass data going back to the nurse agency's first day in operation. For example, a nurse agency that opens for business on February 20 shall report to the Department for the first time on June 15, with data covering February 20 through May 31.

C) After a nurse agency submits its initial report, the nurse agency shall follow the below quarterly reporting schedule. If the due date falls on a weekend or holiday on which the offices of the Department are closed, the report shall be due on the next working day:

Reporting Period

Due Date

March 1-May 31

July 15

June 1-August 31

October 15

September 1-November 30

January 15

December 1-February 28

April 15

2. Labor cost reports must be submitted electronically through the Department's online portal provided on the Nurse Agency Licensing Act webpage: https://labor.illinois.gov/laws-rules/fls/nurse-agency-licensing-act.html. Reports must be submitted in .csv file format and organized according to the template provided by the Department on the portal.

3. A nurse agency must submit a separate labor cost report for each health care facility with which the nurse agency has a current contract. Each report must identify the type of health care facility and must contain the following data regarding employees that have been assigned or referred to that health care facility, separated by employee category (i.e., registered nurse, licensed practical nurse, advanced practice registered nurse, and certified nurse aide):

A) Amounts Charged to Facility: the average amount charged to the health care facility for each individual employee category.

B) Wages Paid to Employees: the average base hourly rate paid by the nurse agency to employees in each individual employee category.

C) Other Payments to Employees: the average amount paid by the nurse agency to employees in each individual employee category exclusive of the base hourly rate, such as per diems, overtime compensation, expense reimbursements, mileage, lodging, bonuses, and wage differentials.

D) Labor-Related Costs: the average amount of labor-related costs paid by the nurse agency for each employee category, including payroll taxes, workers' compensation insurance, professional liability coverage, credentialing, and testing. [225 ILCS 510/14(h)]

d) The fact that any agency contracts a third party to maintain any of these records does not alter the agency's reporting obligations under this Act.

History

• Source: Added at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.60 Expiration and Renewal

a) Each license shall be for a term of one year and shall expire one year from the date of issuance unless the Department revokes or suspends the license sooner or the nurse agency changes ownership. A period of suspension does not extend the license for any period of time.

b) A nurse agency must apply for renewal at least 90 days prior to the expiration of the nurse agency's current license. [225 ILCS 510/7]

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.70 Standards for Nurse Agency Operation

a) Each nurse agency shall have at least one supervising nurse serving as manager or supervisor of all nurses and certified nurse aides at all times for the duration of its licensure. [225 ILCS 510/14(b)]

b) Each nurse agency shall develop and maintain written personnel policies and procedures with regard to its nurses and certified nurse aides. These policies and procedures must be available for Department inspection upon request in each location from which a nurse agency operates, and must be submitted to the Department upon request. These policies and procedures must include the following:

1. An in-person or videoconference interview of selected nurses or certified nurse aides, performed or supervised by a nurse or other supervisor;

2. Reference checks of selected nurses or certified nurse aides:

A) Every nurse agency shall check at least two recent references and dates of employment listed on the application unless the nurse or certified nurse aide has not had two previous employers;

B) Reference checks may be in writing, in person or by telephone. The nurse agency shall keep a written record of these reference checks in the personnel file for a period of two years;

3. A nurse agency shall verify with the Department of Public Health or the Department of Financial and Professional Regulation (IDFPR), which may include using an IDFPR-approved third party verification resource, that selected nurses or certified nurse aides is certified or licensed in the State of Illinois as attested to on the employment application;

4. An annual health examination to determine whether the nurse or certified nurse aide is free of communicable, contagious, or infectious diseases;

5. An annual performance evaluation of each nurse or certified nurse aide; such evaluation must be maintained in the nurse's or certified nurse aide's personnel file for a period of three years;

6. Required current CPR certification and vaccination records; and

7. Orientation procedures.

c) Background Checks

Prior to employing, assigning, or referring a certified nurse aide to a position at a health care employer or long-term care facility as defined in the Health Care Worker Background Check Act [225 ILCS 46], the nurse agency shall review the information provided on the Health Care Worker Registry to verify that the certified nurse aide is not ineligible for the position pursuant to Section 25 of the Health Care Worker Background Check Act. Records of such verification must be made available to the Department for inspection upon request.

d) Covenants Not to Compete

1. Temporary placements

A) Nurse agencies shall not enter into covenants not to compete with nurses or certified nurse aides if the nurse agency is employing, assigning, or referring the employee to a health care facility on a temporary basis.

B) If a nurse or certified nurse aide and a nurse agency entered into a covenant not to compete on or after July 1, 2022, then the covenant is illegal and void if the nurse or certified nurse aide is employed, assigned, referred by a nurse agency to a health care facility on a temporary basis. [225 ILCS 510/14(g)]

2. Long-term placements

A) Nurse agencies may enter into covenants not to compete with nurses or certified nurse aides if the nurse agency is employing, assigning, or referring the employee to a health care facility on a long-term basis.

B) If a nurse or certified nurse aide and a nurse agency, on a long-term basis, entered into a covenant not to compete on or before December 31, 2027 and the covenant expires on or after January 1, 2028, the covenant shall remain in effect until its expiration date if the term of the covenant runs concurrently with the employment contract. [225 ILCS 510/14(g-5)]

e) Minimum Personnel Policy Training

Nurse agencies shall disclose to all employees, upon hire and prior to the effective date of any policy changes, information on the nurse agency's personnel policies and the requirements of the Act and this Part, including but not limited to the statutory restrictions on covenants not to compete and conversion fees, continuing education opportunities, and the responsibility to maintain an active health care license. Nurse agencies shall maintain records of such disclosures to each employee for the duration of that employee's employment and for at least three years after the employment ends.

f) Responsibility for Compliance with Employment Requirements

For the purposes of the Act and this Part, nurses or certified nurse aides employed, assigned, or referred to a health care facility by a nurse agency shall be deemed to be employees of the nurse agency while working for the nurse agency or on nurse agency employment, assignment or referral.

g) Termination Only For Cause

Nurses or certified nurse aides employed, assigned, or referred to a health care facility by a nurse agency may only be terminated by the nurse agency for cause. [225 ILCS 510.13]

h) Responsibility for Compliance

A nurse agency must ensure each nurse or certified nurse aide the nurse agency employs, assigns, or refers meets all the requirements of the Act and this Part.

i) Dispatch Notice

1. A nurse agency shall provide at the time of dispatch, to each nurse or certified nurse aide who is sent to work for a health care facility, a written notice that contains the following information:

A) the name of the nurse or certified nurse aide;

B) the name, address, and telephone number of the health care facility that the nurse or certified nurse aide is being dispatched to;

C) the name and title of the health care facility employee to whom the nurse or certified nurse aide is expected to report;

D) the rate of pay offered; and

E) the hours that the nurse or certified nurse aide is expected to work.

2. If a nurse or certified nurse aide is assigned to the same assignment for more than one day, the nurse agency is only required to provide the dispatch notice on the first day of the assignment and on any day that any of the terms listed on the dispatch notice are changed.

3. An agency that is required to register under both the Illinois Day and Temporary Labor Services Act and the Nurse Agency Licensing Act, and provides a dispatch notice under the Illinois Day and Temporary Labor Services Act, is not required to provide a separate dispatch notice under this Section.

j) Wage Payment Notice

1. At the time of payment of wages, a nurse agency shall provide the following information on the nurse or certified nurse aide's paycheck or pay stub, or on a form approved by the Department:

A) the number of hours worked by the nurse or certified nurse aide at each health care facility each day during the pay period;

B) the rate of payment for each hour worked, including any premium rate or bonus; and

C) the total pay period earnings.

2. An agency that is required to register under both the Illinois Day and Temporary Labor Services Act and the Nurse Agency Licensing Act, and provides a wage payment notice under the Illinois Day and Temporary Labor Services Act, is not required to provide a separate wage payment notice under this Section.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.80 Application for Employment, Assignment, or Referral

A nurse agency shall require each nurse or certified nurse aide applying for employment to complete an application. Each application shall contain, but is not limited to, the following:

a) Name and address of the nurse or certified nurse aide with verification of the nurse's or certified nurse aide's identity by means of a valid driver's license, state identification card, passport, or other appropriate government-issued photo identification;

b) For nurses, written attestation that the nurse holds a license issued by the Illinois Department of Financial and Professional Regulation, including an attestation of the license held by the nurse and the nurse's licensure status;

c) For certified nurse aides, written attestation that the certified nurse aide is certified by the Illinois Department of Public Health and that the certified nurse aide has been registered as having completed a course that has been certified by that agency;

d) Dates employed, employer name, and contact information for the nurse's or certified nurse aide's most recent previous employment references, if applicable;

e) An attestation completed within the last 24 months, stating that the nurse or certified nurse aide:

has completed a CPR training course provided by the American Red Cross or its equivalent. The nurse's or certified nurse aide's date of CPR certification and the date of the certificate's expiration shall be indicated in writing on the application form, and the nurse or certified nurse aide shall maintain a copy of their current CPR certificate; and

f) An attestation, completed within the last 12 months, stating that the nurse or certified nurse aide has completed a skill inventory and listed clinical areas of competence.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.90 Prerequisites for Employment, Assignment, or Referral

a) Prior to employment, assignment, or referral of a nurse or certified nurse aide, a nurse agency shall verify:

1. for a nurse, with the Illinois Department of Financial and Professional Regulation, which may include using an IDFPR-approved third party verification resource, that the nurse is licensed in the State of Illinois; and

2. for a certified nurse aide, with the Illinois Department of Public Health that the certified nurse aide has completed all certification requirements and has been certified by the State of Illinois. (77 Ill. Adm. Code 395)

b) No nurse agency shall employ, assign, or refer any nurse or certified nurse aide until the nurse agency has checked the nurse's or certified nurse aide's references.

c) No nurse agency shall assign or refer a nurse or certified nurse aide to a health care facility unless the health care facility has disclosed the clinical area of skills required for job assignment.

d) No nurse agency shall assign or refer a nurse or certified nurse aide who has not satisfied the application requirements in Section 690.80 or who is ineligible for the position as provided for in Section 690.70(d).

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.100 Continuing Verifications

a) The nurse agency shall review the disciplinary report published by the Illinois Department of Financial and Professional Regulation on a monthly basis to determine whether any nurse it employs, assigns or refers has had their license suspended or revoked.

b) When a nurse is found to be on the disciplinary report, the nurse agency shall determine if the nurse's practice has been limited or conditioned. It shall be the responsibility of the nurse agency to advise the health care facility in writing of the limitation or condition.

c) The nurse agency shall review the Healthcare Worker Registry maintained by the Illinois Department of Public Health on a monthly basis to determine whether any certified nurse aide employed by the nurse agency is no longer eligible for employment.

d) Prior to referral, the nurse agency shall verify, in writing, that a nurse continues to hold a valid, unencumbered license issued by the Illinois Department of Financial and Professional Regulation.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.110 Evaluation Forms

Nurse agencies must conduct an annual evaluation of each employee, which may be based in part upon information provided by health care facilities utilizing nurse agency personnel. [225 ILCS 510/14(a)(3)] Evaluations must be maintained for at least three years and provided to the Department upon request.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.120 Prohibition on Recruitment as a Condition of Employment

a) No nurse agency shall require, as a condition of employment, assignment or referral, that any nurse or certified nurse aide recruit nurses or certified nurse aides for the nurse agency from among the permanent employees of the health care facility to which the nurse agency's nurses or certified nurse aides have been assigned or referred.

b) Health care facilities are prohibited from requiring, as a condition of employment, that their employees recruit new employees from these nurse agency employees. [225 ILCS 510/40(f)]

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.130 Reporting Changes in Management and Stockholders

a) Each nurse agency shall report in writing to the Department within 30 calendar days any changes in personnel who manage or supervise nurses or certified nurse aides. At no time shall a nurse agency be without at least one supervising nurse serving as manager or supervisor of all nurses and certified nurse aides.

b) Each nurse agency that is a corporation or limited liability company shall report to the Department in writing within 30 calendar days any changes in the list of stockholders who own more than 5% of its stock or membership units.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.140 Transfer of Ownership

a) Each nurse agency whose ownership is to be transferred shall report in writing to the Department the name of the transferee and the anticipated date of the transfer.

b) The anticipated transferee shall apply for a license at least 45 calendar days before the anticipated date of the transfer.

c) The Department may issue a license to a transferee to become effective on the date of the transfer, and the transferor's license will become void on the date the transferee's license becomes effective. The transferor shall notify the Department in writing the day the transfer is effected.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.150 Inspections and Records

a) The Director shall have the right to survey and inspect the facilities and records of any nurse agency as may be necessary in order to determine the status of the nurse agency's compliance with the Act and this Part.

b) All records relating to a nurse's or certified nurse aide's employment, including all personnel records and records of assignment and referral, including required notices to nurses and certified nurse aides, shall be kept on the premises of the nurse agency and shall be open to inspection during regular business hours by the Department.

c) A nurse agency must comply with the following record maintenance requirements:

1. All contracts entered into or materially amended or modified on or after July 1, 2022 must be maintained for a minimum of three years after their expiration.

2. Original invoices must be maintained for a minimum of three years.

3. Nurse and certified nurse aide personnel records and evaluations must be maintained for a minimum of three years.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.160 Complaints and Investigations

a) The Department shall accept complaints from any interested person regarding alleged violations of the Act or this Part by a nurse agency. Complaints may be filed by any interested person on a form provided by the Department at https://labor.illinois.gov/laws-rules/fls/nurse-agency-licensing-act.html. The Department shall review all complaints and determine whether a reasonable basis exists to initiate an investigation. The Department may initiate an investigation, with or without having received a complaint, if the Director reasonably believes that a nurse agency may be in violation of the Act.

b) The Department shall notify the applicant or licensee in writing of the investigation and may require that the nurse agency provide information in response to the Department's inquiry. Upon receipt of a notice of investigation, the nurse agency shall respond to the Department and provide comments, relevant information, or other evidence to support the nurse agency's response to the claim. The Department may issue subpoenas in the course of an investigation as provided for in Section 690.220.

c) The Department will review the information provided by the parties to determine if a violation of the Act or this Part occurred. If the Department determines that a violation has occurred, then the Department may suspend or revoke a license under Sections 690.180 and issue a fine under Section 690.210.

d) The Department may dismiss for lack of cause or assess penalties in accordance with Section 690.210.

e) The names of persons who file complaints under this Section are considered confidential and are exempt from disclosure under section 7(1)(b) of the Freedom of Information Act [5 ILCS 140].

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.170 Denial of Initial License or License Renewal

A license application may be denied for any of, but not limited to, the following reasons:

a) failure to comply with the minimum standards set forth by the Act or Section 690.70;

b) a felony conviction of the owner or operator of the nurse agency;

c) failure to provide an accurate statement of financial solvency (see Section 690.40(g));

d) failure to establish personnel policies and procedures as required by the Act and this Part;

e) failure to complete the application in full;

f) submission of false or misleading information to the Department;

g) for any violations of provisions of the Act or of this Part, if the applicant has previously held a license under this Act; or

h) for refusal to comply with enforcement provisions of the Act or this Part, such as refusal to pay a fine, if the applicant has previously held a license under this Act.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.180 Suspension or Revocation of License

a) A license shall be suspended or revoked for any of the following reasons:

1. for any of the reasons for which a license may be denied as listed in Section 690.170;

2. for violations of provisions of the Act or of this Part;

3. for willful non-payment of a fine; or

4. for any conduct or practice found, after an administrative hearing to be detrimental to the public's right to high quality health care.

b) The Department may not suspend or revoke a license without appropriate notice and hearing pursuant to Section 690.190 and 56 Ill. Adm. Code 120. [225 ILCS 510/9]

c) When determining whether to suspend or revoke a nurse agency's license, the Director shall consider the factors found in Section 690.200.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.190 Hearings

a) Before denying any application or refusing to renew a license, revoking or suspending a license, or imposing a fine, the Department shall notify the applicant or licensee in writing by certified mail, or by email to an email address previously designated by the party for the purpose of receiving communications under the Act, setting forth the particular reason for the proposed action and fixing a date at which time the applicant or licensee shall be given an opportunity for a hearing.

b) Hearings conducted under this Part are formal in nature and subject to the Departmental hearing rules at 56 Ill. Adm. Code 120.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.200 Considerations in Reaching a Decision

In determining whether to revoke, suspend, deny an application for, or refuse to renew a license subsequent to a violation, the Director shall consider:

a) Whether the violation constitutes a technical error;

b) The seriousness of the violation, including the nature, circumstances, extent, and gravity of the violation, including probability that death or serious physical or mental harm to any person will result or has resulted, the severity of the actual or potential harm, and the extent to which the provisions of the applicable statutes or regulations were violated;

c) Whether the violation could pose any direct or potential harm to a patient in a health care facility or to an employee of the nurse agency;

d) Whether the nurse agency has taken steps to correct the noted violation;

e) Whether the same violation or similar violations relating to the same conditions or occurrences have been documented and the nurse agency has allowed the condition or occurrence to continue or to recur;

f) The economic harm to the employee caused by the violation;

g) The history of previous violations;

h) The action necessary to deter a future violation; and

i) Any other matter that justice may require.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.210 Fines

a) The Director shall impose a fine of $500 for submission of false, misleading information.

b) The Director shall impose a fine of $10,000 for violation of any other provision of the Act or this Part.

c) A fine may be imposed in addition to a suspension, a revocation, or refusal to renew a license.

d) Fines imposed under the Act or this Part shall be paid via the State Treasurer's E-Pay program or any successor program and shall be payable to the Department for the purposes of enforcing the Act.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.220 Subpoena

The Director shall, upon the Director's own motion or on the written request of any party to a proceeding, issue subpoenas requiring the attendance of and the giving of testimony by witnesses and subpoenas duces tecum requiring the production of books, papers, records, or memoranda.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.230 Determination

Any determination based on investigation by the Illinois Department of Labor shall be considered a contested case subject to the Illinois Administrative Procedure Act [5 ILCS 100] and the final decision shall be in writing.

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

68 Ill. Adm. Code 690.240 Administrative Review

A final decision under Section 690.230 may be reviewed under the Administrative Review Law [735 ILCS 5/Art.III].

History

• Source: Amended at 49 Ill. Reg. 6180, effective April 25, 2025

Chapter IV Department of Public Health

Part 750 Plumbers Licensing Code

68 Ill. Adm. Code 750.100 Applicability (repealed)

History

• Source: Repealed at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.110 Definitions

For the purposes of this Part:

"Act" means the Illinois Plumbing License Law [225 ILCS 320].

"Agent" means an Illinois licensed plumber designated by a sponsor of an apprentice plumber as responsible for supervision of the apprentice plumber, with prior approval from the Department.

"Apprentice plumber" means any licensed person who is learning and performing plumbing under the supervision of a sponsor or his agent in accordance with the provisions of the Act. (Section 2 of the Act)

"Approved apprenticeship program" means an apprenticeship program approved by the U.S. Department of Labor's Bureau of Apprenticeship and Training and the Department under this Part, including Joint Apprenticeship Committee (JAC) Programs. (Section 2 of the Act)

"Board" means the Illinois State Board of Plumbing Examiners. (Section 2 of the Act)

"Certification" means the act of obtaining or holding a certificate of competency in plumbing inspection from the Department, pursuant to this Part.

"Certified plumbing inspector" means any licensed plumber to whom the Department has issued a certificate of competency to inspect plumbing in Illinois.

"Continuing education credit hour" means that 50 minutes of classroom time, excluding breaks, is equivalent to one credit hour.

"Course" means any class, seminar or other program of instruction in plumbing that has been approved by the Department for the purpose of complying with continuing education requirements.

"Course sponsor" means the person or legal entity who is registered pursuant to this Part and who is responsible for conducting a continuing education course approved by the Department.

"Department" means the Illinois Department of Public Health, plumbing program. (Section 2 of the Act)

"Director" means the Director of the Illinois Department of Public Health. (Section 2 of the Act)

"Governmental unit" means a city, village, incorporated town, county or sanitary or water district.

"Incompetence" means conduct in the performance of plumbing work that indicates a lack of ability to discharge the duties required to protect the health, safety and welfare of the public; failure to maintain competency in applying the standards set forth in the Illinois Plumbing Code; lack of knowledge of the fundamental principles of plumbing inspection or an inability to apply these principles; or failure to maintain competency in current plumbing inspection practices.

"Misconduct" means an act performed in the discharge of enforcement duties that jeopardizes the interests of the public, including violation of federal or State laws, local ordinances or administrative rules relating to the position, preparation of deficient or falsified reports, failure to submit information or reports required by law or contract when requested by the municipality or the Department, conduct that evidences a lack of trustworthiness, misrepresentation of qualifications such as education, experience or certification, illegal entry of premises, misuse of funds, or misrepresentation of authority.

"Retired plumber" means any licensed plumber in good standing who meets the requirements of the Act and this Part to be licensed as a retired plumber and voluntarily surrenders his plumber's license to the Department, in exchange for a retired plumber's license. (Section 2 of the Act)

"Revoke" means to permanently remove the plumbing license of a licensed plumber for violations of the Illinois Plumbing License Law, Illinois Plumbing Code or this Part.

"Sponsor" means an Illinois licensed plumber or an approved apprenticeship program that has accepted an individual as an Illinois licensed apprentice plumber for education and training in the field of plumbing and whose name and license number or apprenticeship program number shall appear on the individual's application for an apprentice plumber's license. (Section 2 of the Act)

"Suspend" means to temporarily remove the plumbing license of a licensed plumber for violations of the Illinois Plumbing License Law, Illinois Plumbing Code or this Part.

"Telecommunications carrier" means a telecommunications carrier as defined in the Public Utilities Act. (Section 2 of the Act)

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.115 Statutory Authority (repealed)

History

• Source: Repealed at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.120 Administrative Hearings

Administrative Hearings for persons under this Part shall be conducted in accordance with Practice and Procedure in Administrative Hearings.

History

• Source: Amended at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.125 Referenced Materials

The following materials are referenced in this Part:

a) State Statute and Rules:

1. Illinois Plumbing License Law [225 ILCS 320]

2. School Code [105 ILCS 5]

3. Illinois Plumbing Code (77 Ill. Adm. Code 890)

4. Practice and Procedure in Administrative Hearings (77 Ill. Adm. Code 100)

b) Federal Statute

Americans With Disabilities Act (42 USC 12101 et seq.)

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.200 Organization of the State Board of Plumbing Examiners

The State Board of Plumbing Examiners is comprised of 9 licensed plumbers who are appointed by the Director. A quorum of Board members must be present at all meetings convened by the Chairman of the State Board of Plumbing Examiners and at each plumbing license examination. Five members of the Board shall constitute a quorum.

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.205 Election of Officers (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.210 Duties of the State Board of Plumbing Examiners

The State Board of Plumbing Examiners shall perform the duties described in Section 7 of the Act.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.215 Duties of Chairman (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.220 Records of the State Board of Plumbing Examiners

a) Minutes shall be recorded at each meeting of the State Board of Plumbing Examiners. Such minutes shall be maintained and made available for public inspection in the central office of the Department.

b) Records, files, correspondence and examination data pertaining to the Board of Plumbing Examiners shall be filed and secured in the central office of the Department.

c) Applicants may, by appointment, review their examination results with the Department if requested in writing within 30 days following the examination date.

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.225 Duties of Vice-Chairman (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.235 Quorum (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.245 Meetings (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.300 Requirements for Admission to the Plumbing License Examination

a) To apply for admittance to the examination for a plumber's license, a person shall file an application for examination on forms provided by the Department.

1. The application form may be obtained by downloading the application from the Department's website (http://dph.illinois.gov/topics-services/environmental-health-protection/plumbing).

2. The application shall be submitted to the Illinois Department of Public Health, 525 West Jefferson Street, 3rd Floor, Springfield, Illinois 62761.

3. The Department will accept applications postmarked at least 30 days before the examination date. On each examination date, not more than 50 applicants (not more than 40 during winter months) will be examined. The examination will be scheduled at least once every three months. The Department and the Board may schedule additional examination dates as they deem necessary, based on the number of applicants.

4. The Department and the Board will establish examination dates and locations. This information will be included with the examination application form.

b) For each application the following materials must be received by the Department, postmarked at least 30 days before the examination date:

1. A completed application form;

2. A photograph of the face of the applicant at least 1½ inches by 2½ inches;

3. Proof of eligibility as specified in subsection (e); and

4. The required non-refundable application fee as specified in Section 750.1100.

c) The applicant shall be a citizen of the United States or shall have declared his or her intent to become a citizen. (Notarized papers, such as "Intent to File for Citizenship", shall be submitted to the Department.)

d) The applicant shall have completed at least a two year course of study in a high school, or an equivalent course of study, equal to 10 credit hours;

e) To be eligible for the plumbing license examination, an applicant shall possess one of the following combinations of experience and education and shall provide proof of experience and education as follows:

1. Illinois licensed apprentice plumber:

A) Each applicant shall have served a minimum of four years as an Illinois licensed apprentice plumber.

B) Each applicant who has served an apprenticeship shall be able to establish that he or she received instruction through practical experience under the supervision of a licensed plumber.

C) The term of apprenticeship shall be not less than 1,400 hours per year, for a total of 5,600 hours in four years.

2. Illinois licensed apprentice plumber with training or education:

A) Each applicant shall have served at least two years as an Illinois licensed apprentice plumber and have two years of approved courses in plumbing (see Section 750.540) for a total of 5,600 hours.

B) Proof of practical experience shall be provided as specified in subsection (e)(1)(B).

C) A person who submits evidence of classroom or laboratory training in a vocational or trade school, a branch of the military service, or a college or university shall be given credit hours at the rate of two credit hours for each classroom hour, not to exceed a maximum of 24 months' credit.

D) Evidence shall consist of transcripts, degrees, military service records or certificates of completion. If the course submitted by an applicant for the plumbing license examination has already been evaluated and approved by the Department, the applicant need only verify participation in the course.

3. Licensed apprentice in another state or territory of the United States:

A) Each applicant shall have the equivalent of four years as a licensed apprentice in another state or territory of the United States.

B) Proof of practical experience shall be provided as specified in subsection (e)(1)(B).

C) A person who submits evidence of experience in plumbing through an apprentice plumbing program in another state or territory of the United States, or a municipality in another state or territory, other than the State of Illinois shall be given credit on an hour-for-hour basis toward the minimum four years of apprenticeship required.

4. A person who has completed a course of study approved by the Department as equivalent to a four year apprenticeship served by an Illinois licensed apprentice plumber:

A) An approved course of instruction in plumbing shall cover the subject areas and provide the number of hours of instruction and practical training specified in Section 750.550. An approved course of instruction shall total 2,800 hours of credit.

B) Evidence shall consist of transcripts, degrees or certificates of completion to verify completion of a course that has been evaluated and approved by the Department.

5. Licensed plumber in another state, municipality or territory of the United States with no apprentice plumber program:

A) Documents verifying licensure and plumbing experience and training will be considered on an hour-for-hour basis toward meeting the apprenticeship requirement of 1,400 hours per year. An applicant shall obtain documentation from the licensing state, municipality, or territory to verify to the Department that he/she was tested to obtain his/her license and that the test consisted of at least three areas − knowledge of plumbing design, practical or working skill evaluation, and knowledge of plumbing standards applicable to the licensing entity's jurisdiction (see Section 750.310).

B) A copy of the rules from the licensing entity pertaining to the licensing of plumbers shall accompany the examination application.

6. Licensed plumber in a foreign state:

A) Each applicant shall have at least two years of experience as an Illinois licensed apprentice plumber or two years of courses in plumbing, approved in accordance with Section 750.540.

B) Documentation of the applicant's license issued by a foreign state shall be submitted.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.310 Administration of the Plumbing License Examination

The examinations administered to applicants for a plumber's license shall be uniform and comprehensive and shall be administered in a manner prescribed in subsection (a), with the advice of the Plumbing Code Advisory Council and Board of Plumbing Examiners. The examinations shall test applicants' knowledge and qualifications in the planning and design of plumbing systems; their knowledge, qualifications and practical skills in plumbing; and their knowledge of the Illinois Plumbing Code. The Department will provide reasonable accommodations for applicants with disabilities in accordance with the Americans With Disabilities Act. An applicant who may require an accommodation to take the examination due to a disability shall submit acceptable documentation of the disability and a proposal for accommodation to the Department at least 10 business days before the exam date. Acceptable documentation includes a current statement or documentation from a physician licensed to practice medicine in all its branches, or a licensed chiropractic physician, in Illinois verifying the disability and providing a specific proposal for accommodation as it relates to the disability. The statement shall be on the physician's letterhead and include the address, phone number and signature of the physician, date prepared, and the name of the applicant.

a) The examination for a plumber's license shall consist of the following:

1. Knowledge Assessment (true/false or multiple choice or fill in the blank). Questions will be based on the Illinois Plumbing Code.

2. Construction Drawings or Plans. The applicant will be required to interpret construction drawings or plans, either on paper or electronically, and either complete those construction drawings or plans or answer questions sufficient to demostrate knowledge of plumbing fixtures, piping techniques and Code compliance.

3. Practical Application Assessment. Projects requiring the use of current plumbing techniques and materials will be completed as part of the examination. Materials will be selected from Appendix A, Table A of the Illinois Plumbing Code. The examinee will be provided a drawing and instructions for completion of each project to be assembled during the practical application assessment.

b) Each applicant will be responsible for providing his/her own tools and other required material. Each applicant will be advised in writing as to what to bring to the examination.

c) Only persons authorized by the Department are permitted in the examination area.

d) Any applicant wearing a shirt, jacket, cap or any article of clothing bearing pictures, writing, inscriptions or logos of any kind will not be permitted into the examination. Safety glasses shall be worn at all times when in the shop.

e) An applicant will not be permitted to leave the examination area without permission.

f) The maximum grade value of each part of the examination shall be 100 points. An applicant must make an average of 75 or above on the examination and a grade of 61 or above on each part of the examination to pass.

g) An applicant who fails to pass the examination shall be admitted to a subsequent regularly scheduled examination after filing a retake application form and fee. The application and fee shall be submitted in accordance with Section 750.300.

h) An applicant who is observed cheating during the course of an examination shall be immediately expelled from the examination in progress and that applicant's examination will be declared void.

1. The Department will send to the applicant observed cheating a notice of intent to deny the applicant's application for examination and bar the applicant from reapplying for examination for a period of not less than six months. The applicant may request a hearing, in writing, to contest the Department's notice within the time specified in the notice. If the applicant does not request a hearing in writing within the time specified in the notice, the applicant's right to a hearing shall be waived.

2. All hearings shall be conducted in accordance with the Department's Rules of Practice and Procedure in Administrative Hearings (77 Ill. Adm. Code 100).

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.320 Plumbing License Examination Results

The name of each examinee and the results of the examination given to each examinee shall be recorded by written report of the State Board of Plumbing Examiners. The results of each exam shall be confidential until announced to the examinee. Upon signature by the Director, the examination results report will be considered final and approved by the Board and Department.

a) The Department shall notify each examinee in writing of the results of his or her examination.

b) The application for examination, fee receipt, examination and other written materials deemed necessary shall be maintained by the Department.

c) An examinee may submit a written complaint concerning the examination if he is dissatisfied with the conduct of the examination. Such complaints shall be submitted in writing and must be received by the Department within 30 days after notification of the examination results. Complaints must be factual and state the basis being used by the examinee to allege improper conduct.

d) Upon receipt of a complaint, a meeting between the examinee and the Board will be set for the same date as the next scheduled plumbing examination. The examinee will be provided an opportunity to meet with Department representatives prior to the Board meeting to attempt to resolve the complaint. A record of all such complaints and meetings shall be kept and made part of the examinee's file.

e) The examinee shall be entitled to take the examination again, at no charge, if the evidence presented before the Department and Board demonstrates that:

1. the examinee was compelled by the Department or the Board to take the test under conditions that placed him at a disadvantage in relation to all other examinees;

2. that Board members or Department staff offered any special assistance to other examinees; or

3. that the examinee's test was not evaluated according to the same standard applied to the tests of all other examinees. Any grading errors by the Board or Department, discovered as a result of the review of the examinee's test, shall be corrected.

f) An apprentice plumber who has served an apprenticeship under the supervision/sponsorship of an Illinois licensed plumber and has failed the examination three times shall be called before the Department and Board of Plumbing Examiners to determine compliance with the requirements for supervision of apprentices. The employer/sponsor must accompany the apprentice at such meeting. An examinee who fails to appear shall be ineligible for admission to the next plumber's license examination and subject to license revocation. An employer/sponsor who fails to appear shall be subject to license revocation.

History

• Source: Amended at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.330 Course Credit (repealed)

History

• Source: Repealed at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.400 Licensing of Plumbers

a) Initial License Examination. A person shall be licensed by the Department prior to engaging in plumbing activities. The Department shall issue a plumber's license to each qualified applicant. In order to qualify, an applicant shall:

1. Successfully pass the plumbing license examination.

2. Pay to the Department the required license fee.

b) License Renewal. All plumbers' licenses shall expire on April 30 of each year, except initial licenses issued after February 15 shall expire one year after the next April 30. A plumber's license may be renewed for a period of one year from each succeeding May 1 upon payment prior to May 1 of the required renewal fee. As a condition of renewal, a licensed plumber must provide proof of completion of four hours of continuing education in one or more courses approved by the Department.

c) License Reinstatement. A plumber licensed pursuant to the Act whose license has been expired for a period of less than 5 years may apply to the Department for reinstatement of his or her plumber's license. The Department shall issue such license renewal provided the applicant pays to the Department all lapsed renewal fees, plus the reinstatement fee. (Section 14 of the Act)

d) License Restoration. A plumber licensed pursuant to the Act who has permitted his or her license to expire for more than 5 years may apply, in writing, to the Department for restoration of his or her license. The Department shall restore his or her license provided he or she pays to the Department the required restoration fee and successfully passes the examination for an Illinois plumber's license. The restoration fee includes the applicant's first examination fee. Failure by the applicant to successfully pass the plumbing license examination shall be sufficient grounds for the Department to withhold issuance of the requested restoration of the applicant's plumber's license. The applicant may retake the examination in accordance with the provisions of the Act. (Section 14 of the Act)

e) Retired Plumber's License. A licensed plumber in good standing who is at least 62 years old or is physically unable to perform the responsibilities of a plumber may voluntarily surrender to the Department his or her plumber's license in exchange for a retired plumber's license. A retired plumber shall not perform plumbing as defined in the Act, sponsor or supervise apprentice plumbers, inspect plumbing, nor act in contravention of the Act.

1. Retired Plumbers' Reinstatement. A retired plumber licensed under the Act who has surrendered his or her plumber's license for a period of less than 5 years may apply to the Department for reinstatement of his or her plumber's license. The Department shall renew the license provided the applicant pays to the Department any reinstatement fee required by Section 750.1100 of this Part. (Section 14 of the Act)

2. Retired Plumbers' Restoration. A retired plumber licensed under the Act who has surrendered his or her plumber's license for a period of more than 5 years may apply in writing to the Department for restoration of his or her license. The Department shall restore his or her license provided he or she pays to the Department the restoration fee required by Section 750.1100 and successfully passes the examination for an Illinois plumber's license. The restoration fee includes the applicant's examination fee. Failure by the applicant to successfully pass the plumber's license examination shall be sufficient grounds for the Department to withhold issuance of the requested restoration of the applicant's plumber's license. The applicant may retake the examination in accordance with the provisions of the Act. (Section 14 of the Act)

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.410 Licensing of Apprentice Plumbers

a) Initial License. The Department shall issue an apprentice plumber's license to each qualified applicant. In order to qualify, an applicant shall:

1. Be at least 16 years of age.

2. Verify on the Department's application form that the applicant is sponsored by an Illinois licensed plumber. The name and license number of the Illinois licensed plumber or program sponsor shall be included on the application form.

3. Pay to the Department the required license fee.

b) Renewal. All plumbers' licenses shall expire on April 30 of each year, except initial licenses issued after February 15 shall expire one year after the next April 30. An apprentice plumber's license may be renewed for a period of one year from each succeeding May 1 upon payment prior to May 1 of the required renewal fee. No licensed apprentice plumber may serve more than a 6 year licensed apprenticeship period.

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.420 Documentation Required for Sponsors of Apprentices

For all licensed plumbers sponsoring an apprentice, documentation shall be submitted to the Department showing the current status and position of the licensed plumber in the plumbing business. Such documentation shall be signed by the president of a firm, sole proprietorship, or association; by a general partner of a partnership; or by the secretary of the board of directors of a corporation. Acceptable documentation includes the following:

a) Corporations: Minutes of the meeting of the board of directors during which a licensed plumber was appointed to fill a corporate office provided for in the by-laws of the corporation. By-laws of the corporation must be submitted in addition to minutes if the licensed plumber is appointed to any corporate office other than president, vice-president, secretary or treasurer.

b) Partnerships: A copy of the written partnership agreement. If the written partnership agreement has been executed, a letter describing the partnership, business activities of the partnership, local business licenses, and the status of the licensed plumber within the partnership.

c) Sole Proprietorships, Firms and Associations: A letter describing the form of business, general business activities, local business licenses, and the status of the licensed plumber within the firm or association. A firm or association that is doing business as a corporation or partnership shall comply with subsections (a) and (b).

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.430 Plumbers' and Apprentice Plumbers' License Records

The Department may destroy any record relating to a plumber's license or apprentice plumber's license on which there has been no activity, such as license renewal or restoration, within the previous five years.

History

• Source: Amended at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.500 Continuing Education Requirements for Licensed Plumbers

a) Each licensed plumber shall, as a condition of each annual license renewal after the first license renewal, provide proof of completion of four hours of continuing education. Continuing education hours shall be completed in one or more courses offered by course sponsors approved by the Department pursuant to Section 750.510.

b) A licensed plumber is not required to complete continuing education for the year in which that person's plumbing license was initially issued.

c) A licensed retired plumber is not required to complete continuing education unless the licensed retired plumber wishes to restore his or her license to the status of a licensed plumber. The Department will determine the number of continuing education hours required for a change in licensure, based on the length of time the plumber has been retired in accordance with subsection (a).

d) Licensed plumbers who have been found to have committed repeated violations of the Illinois Plumbing Code shall complete a minimum of two hours of additional continuing education conducted by the Department, at a time and location to be determined by the Department.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.510 Department Approval of Continuing Education Sponsors and Courses

The Department will maintain a list of approved continuing education course sponsors. Sponsors may include universities, colleges, professional trade associations, unions, vocational schools, firms, individuals, corporations, or any entity that meets the criteria provided by the Department.

a) Registration. Each continuing education course sponsor shall register with the Department before submitting course materials for approval by the Department. Registration shall be valid for three years from the date of issuance.

1. Course sponsors shall register using a form provided by the Department and shall include:

A) the name, address and phone and fax numbers of the applicant;

B) the names and addresses of any persons who have received or will receive any portion of revenues generated from the course;

C) the name, address and Illinois license number of the plumber supervising the continuing education course.

2. The course sponsor shall report to the Department any change to the information submitted in the initial registration before conducting its next course.

b) Continuing Education Course Approval

1. A separate application for approval must be submitted to the Department on forms provided by the Department for each course offered by a course sponsor.

2. An application for approval of a continuing education course may be submitted only by sponsors registered with and approved by the Department.

3. A continuing education course shall provide instruction in at least one of the subject areas specified in Section 750.540.

4. A course application shall include a course syllabus containing the following information: name and assigned number of the course, name and registration number of the sponsor, name of the instructor or presenter, an outline of the course, the amount of time needed to present the course, and the course objectives.

5. A syllabus is not required for seminars held at product shows, but the application for approval shall include the name and assigned number of the seminar, name and registration number of the sponsor, name of the instructor or presenter, the amount of time needed to present the seminar, and the objectives of the seminar.

6. A course application shall include the qualifications of the instructor or presenter.

7. The course sponsor shall report to the Department any change to the information submitted in the initial application for continuing education course approval before conducting its next course.

8. Course approval is valid for three years from the date of issuance, unless changes in course information do not meet the approval criteria of this Section.

9. Courses will be assigned a course number. The course number and the sponsor's number shall appear on all advertisements for the course.

10. Seminars held at product shows may be approved for continuing education credit by the Department, based on the material presented and the length of the seminar. The sponsor or facilitator of the product show must be a registered course sponsor.

c) The Department may deny, suspend or revoke approval of any course sponsor and may issue a fine to any course sponsor who:

1. Attempts to obtain or obtains registration or course approval through fraudulent means, including false statements and misrepresentation of facts, whether intentional or through negligence;

2. Does not provide complete and accurate information in either the initial registration or in any notification of changes to that information;

3. Does not provide the Department with changes to the information submitted in the initial registration before conducting its next course;

4. Advertises a course as being approved by the Department before approval is received;

5. Does not maintain records as required in Section 750.520;

6. Does not report information to the Department as required in subsections (a) and (b).

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.520 Continuing Education Course Records

a) Each registered continuing education course sponsor shall establish and maintain records for each course sponsored as follows:

1. A certificate of completion in a format specified by the Department must be completed for each participant enrolled in an approved continuing education course. The form consists of three parts: the first copy shall be filed with the Department, the second part shall be maintained by the sponsor, and the third part shall be given to the participant upon completion of the course.

2. An attendance sign-in/sign-out sheet shall be used for each course. This form shall be maintained with the course records.

3. Information on each student (name, address, courses registered for, attendance, courses completed).

b) Random audits of a course sponsor's continuing education records may be conducted by the Department.

c) A representative of the Department may, at any time, attend a class to ensure that the course is meeting its stated objectives and that all applicable Department rules are being followed.

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.530 Department Approval and Evaluation of Courses of Instruction in Plumbing

a) A college, university, trade school or vocational school that has established a program providing a course of instruction in plumbing may submit a letter to the Department requesting approval of its program or course of instruction.

1. The request for approval shall include information on the curriculum offered by the program, qualifications of the instructors, and information indicating that the teaching facility to be used for the program provides both shop and classroom facilities.

2. For a program to be approved, it shall provide instruction in plumbing that is supervised by a licensed plumber.

b) The Department will evaluate a training program before making a determination to approve or deny a request for approval. Approval will be granted based on the information included in the request letter, including confirmation of the qualifications of the instructors, evidence that the program's courses provide instruction in the subject areas specified in Section 750.540, and determination that the teaching facility provides both shop and classroom facilities.

c) Each instructor participating in a program of instruction in plumbing shall be considered qualified by meeting one of the criteria specified in subsections (c)(1) through (3). The instructor shall provide verification of the license or certificate. A copy of the instructor's educator license will establish verification.

1. An Illinois licensed plumber;

2. An individual who possesses a provisional career and technical educator endorsement on an educator license, issued by the State Board of Education pursuant to Section 21B-20 of the School Code (see 23 Ill. Adm. Code 25.72), in a field related to plumbing (such as hydraulics, pneumatics or water chemistry); or

3. A representative of an industry or a manufacturing business related to plumbing, including, but not limited to, the copper industry, plastic pipe industry or cast iron industry. Courses that are taught by industry representatives shall be educational and shall not be sales oriented. Industry representatives shall be assisted by an Illinois licensed plumber during the presentation of a course of instruction.

d) The Department may evaluate an approved program to determine the ongoing effectiveness of the training program. An evaluation will be conducted:

1. As the result of a complaint to the Department;

2. Upon the failure of 25% of students from the program who complete the plumbing license examination; or

3. As a result of changes in the curriculum.

e) The program's curriculum will be evaluated for compliance with the list of topics for courses of instruction in plumbing in Section 750.540.

f) The program's facilities will be evaluated for its suitability for training in the practice of plumbing in all its forms and the type of tools, condition of tools, safety devices, and ventilation for the discharge of heat, smoke and fumes.

g) The Department will notify the training program sponsor of all deficiencies determined in the evaluation.

1. The program sponsor shall contact the Department within 15 days after receiving the notice of deficiencies to arrange a plan of correction for the deficiencies. The program sponsor shall have not less than 30 and not more than 90 days from the date of the notice of deficiencies to remedy the deficiencies. The specific time period for correction will be stated in the notice of deficiencies.

2. If the deficiencies are not remedied within the time frame specified in subsection (g)(1), the Department will withdraw its approval in writing. Upon withdrawal of approval, the training program sponsor shall have the right to request a hearing. (See Section 750.120.)

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.540 Topics for Approved Programs of Instruction in Plumbing and Approved Continuing Education Courses

Approved courses of instruction in plumbing shall provide instruction in the topics specified in subsections (a) through (dd) below. Approved continuing education courses shall provide instruction in at least one of the topics specified below.

a) Public Health and its relationship to plumbing;

b) State of Illinois Plumbing License Law;

1. administration and enforcement;

2. licensing of apprentice plumbers and plumbers;

3. plumbing code requirements;

4. plumbing inspection;

c) Basic principles of plumbing;

d) Planning and designing a plumbing system including estimating, installation, repair, maintenance, alteration, extension, and dismantling;

e) Plumbing materials, fixtures, and equipment;

f) Joints and connections;

g) Traps and cleanouts;

h) Interceptors and separators;

i) Hangers and supports;

j) Indirect waste piping and special wastes;

k) Water supply and distribution system;

l) Public and private water supply systems;

m) Drainage system;

n) Private sewage disposal systems, municipal or public sewage disposal systems, and/or sanitary districts;

o) Vents and venting systems;

p) Inspection and testing of a plumbing system;

q) Sciences of pneumatics and hydraulics as they apply to plumbing;

r) Safety devices allied with a plumbing system;

s) Hot water systems and water heaters;

t) Soldering, welding, caulking, and wiping;

u) Copper material plumbing system;

v) Glass material plumbing system;

w) Plastics and thermoplastics material plumbing system;

x) Cast iron plumbing system, including Durham system;

y) Job safety;

z) Use and care of tools and equipment;

aa) Handling and disposition of wastes that would damage a plumbing system and sewage disposal facilities;

bb) Alternate plumbing systems;

cc) Solar plumbing systems; and

dd) Pumping of wastes.

History

• Source: Amended at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.550 Programs of Instruction and Practical Training in Plumbing Approved as Equivalent to Illinois Licensed Apprenticeship

A program of instruction and practical training in plumbing that is approved as equivalent to four years of an Illinois licensed apprenticeship shall cover the following subject areas and provide the number of hours of instruction and practical training specified in this Section. An approved course of instruction shall total 2,800 hours of credit.

Subject

Hours of Instruction

Public health and its relationship to plumbing

140

State of Illinois Plumbing License Law

24

Administration and enforcement

40

Licensing of apprentice plumbers and plumbers

16

Illinois Plumbing Code requirements

20

Plumbing inspection

30

Basic principles of plumbing

40

Job safety

52

Sciences of pneumatics and hydraulics as they apply to plumbing

60

Use and care of tools and equipment

16

Plumbing materials, fixtures and equipment

100

Joints and connections

81

Water supply and distribution system

120

Indirect waste piping and special wastes

90

Hangers and separators

20

Interceptors and separators

40

Traps and cleanouts

42

Drainage system

110

Vents and venting systems

134

Soldering, welding, caulking and wiping

128

Cast iron plumbing system, including Durham system

155

Copper material plumbing system

150

Glass material plumbing system

40

Plastics and thermoplastics material plumbing system

60

Alternate plumbing system

55

Solar plumbing systems

40

Hot water systems and water heaters

90

Safety devices allied with a plumbing system

50

Pumping of waste

63

Handling and disposition of wastes that would damage a plumbing system and waste disposal facilities

120

Inspection and testing of a plumbing system

120

Private sewage disposal systems, municipal or public sewage disposal systems or sanitary districts

120

Public and private water supply systems

134

Planning and designing a plumbing system including estimating, installation, repair, maintenance, alteration, extension and dismantling

300

History

• Source: Amended at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.600 Organization of Plumbing Firms

At least one member of every firm, association or partnership engaged in plumbing work, and at least one corporate officer of every corporation engaged in plumbing work, shall be a licensed plumber. The licensed plumber who is a corporate officer shall be individually responsible for all plumbing work performed by employees of the corporation, as documented by payroll records, time sheets or W-2 forms. Acceptable documentation to prove compliance with this requirement includes the following:

a) For corporations: Minutes of the meeting of the board of directors during which a licensed plumber was appointed to fill a corporate office provided for in the by-laws of the corporation. By-Laws of the corporation must be submitted in addition to minutes if the licensed plumber is appointed to any corporate office other than president, vice-president, secretary or treasurer.

b) For partnerships: A copy of the written partnership agreement. If the written partnership agreement has been executed, a letter describing the partnership, business activities of the partnership, local business licenses, and the status of the licensed plumber within the partnership.

c) For sole proprietorships, firms and associations: A letter describing the form of business, general business activities, local business licenses, and the status of the licensed plumber within the firm or association. A firm or association which is doing business as a corporation or partnership shall comply with this Section.

History

• Source: Amended at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.700 Purpose and Authority for Certification of Plumbing Inspectors

a) Applicability. The purpose of this Subpart is to promote effective and uniform enforcement of the Illinois Plumbing Code through State certification of plumbing inspectors. This Subpart establishes the standards and procedures for certification, and suspension and revocation of certification for plumbing inspectors. This Subpart applies to all persons and governmental units engaged in the administration and enforcement of the Plumbing Code or engaged in the education, training and testing of any person who applies to the Department for certification as a plumbing inspector.

b) Authority.

1. Departmental Authority. The Department of Public Health has been granted authority over certification of plumbing inspectors, and suspension and revocation of certification.

2. Governmental Unit Authority. All governmental units exercising jurisdiction over the construction and inspection of dwellings, pursuant to the Illinois Plumbing Code, may provide for inspection performed by plumbing inspectors certified under this Section.

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.710 Certification of Plumbing Inspectors

The Department will issue a plumbing inspector's certification to any licensed plumber who meets the qualifications for a plumbing inspector specified in this Section and who pays to the Department the required fees specified in Section 750.1100.

a) The application form may be obtained by downloading the application from the Department's website (http://dph.illinois.gov/sites/default/files/licensecertificate/

plumbinginspectorcertificationexaminationapplication.pdf ).

b) The application shall be submitted to the Illinois Department of Public Health, 525 West Jefferson Street, 3rd Floor, Springfield, Illinois 62761.

c) To qualify for certification as a plumbing inspector, an applicant shall:

1. Be currently licensed by the Department as a plumber. An apprentice plumber's license or retired plumber's license shall not be used to fulfill this requirement.

2. Have held an Illinois plumbing license for at least seven years. An apprentice plumber's license or retired plumber's license shall not be used to fulfill this requirement.

3. Have passed the examination administered by the Department for certification of plumbing inspectors.

A) The Department will accept applications for the examination at any time during normal business hours.

B) The Department will schedule examinations when it has sufficient applicants, in the opinion of the Department, to establish an examination date and location. Applicants will also be allowed to take the examination at any time acceptable to the Department.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.720 Renewal of Plumbing Inspector Certification and Continuing Education Requirements for Certified Plumbing Inspectors

a) All plumbing inspector certificates shall expire on April 30 of each year, except initial certifications issued after February 15 shall expire one year after the next April 30. Any certified plumbing inspector who desires to continue his or her certification shall apply for renewal each year. The Department shall mail each certified plumbing inspector an application for renewal.

b) Each certified plumbing inspector shall as a condition of each annual certification renewal after the first renewal provide to the Department proof of completion of continuing education courses. Continuing education is not required for the year in which the plumbing inspector's certification was initially issued.

c) Continuing education sponsors and courses shall be approved by the Department pursuant to Section 750.510 and 750.520 of this Part. Continuing education credit may be earned by certified plumbing inspectors only by attending Department-approved courses. Continuing education courses shall consist of 14 classroom hours of at least 50 minutes each as follows:

1. at least 6 classroom hours of courses conducted by the Department; and

2. at least 8 classroom hours of courses conducted by continuing education sponsors approved by the Department.

d) The certified plumbing inspector shall complete, sign, and forward the renewal application and proof of continuing education, as required, to the Department, together with the appropriate fee. Upon receipt of a complete application and fee, the Department shall renew the certification.

History

• Source: Added at 24 Ill. Reg. 12019, effective August 1, 2000

68 Ill. Adm. Code 750.730 Plumbing Inspectors

a) Any plumbing inspector certified pursuant to this Part may inspect any private or public property for the purpose of investigating conditions relating to the enforcement of the Illinois Plumbing Code and the Illinois Plumbing License Law.

b) Any licensed plumber who inspects plumbing shall:

1. Not inspect any plumbing that the licensed plumber has directly or indirectly caused to be installed, modified or repaired.

2. Provide, upon completion of a plumbing inspection, a written report, either in paper or electronic form, that sets forth the following:

A) The specific violation, if any, with citation to the applicable code;

B) the name address, phone number, Illinois plumbing license number and email of the inspector issuing the report;

C) the date of the inspection;

D) the date or dates by which the violation or violations must be cured;

E) the authority under which the inspection was conducted; and

F) the name, phone number, Illinois plumbing license number and email of the plumbing contractor and licensed plumber responsible for the work.

3. Cooperate with the Department in any investigation or inquiry it may conduct concerning plumbing.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.800 Governmental Units Establishing Plumbing Programs

a) This Part does not prohibit governmental units from enacting a minimum code of standards for the design of plumbing materials and the operation and maintenance of plumbing systems, and ordinances or rules for the inspection of plumbing systems. Any ordinances adopted by a governmental unit shall be at least as stringent as the Illinois Plumbing Code, as required by Section 36 of the Act. For purposes of this subsection (a) and subsection (b), the term "governmental unit" shall mean a city, town, village, township or county with a water supply system or sewage disposal system or both.

b) Before a governmental unit adopts an ordinance that is more stringent than the Illinois Plumbing Code, a copy of that ordinance, including all amendments, shall be submitted to the Department for review. The Department shall review a proposed local ordinance within 45 business days after receipt of the ordinance and shall, within that time period, communicate any suggested changes, revisions or objections to the unit of local government.

c) Review of Plumbing Programs of Governmental Units. The Department shall conduct inquiries, make inspections and review the plumbing programs operated by governmental units. This shall be done by an Illinois licensed plumber who is employed by the Department.

d) Governmental Units Operating Plumbing Programs. The Department may evaluate each plumbing program operated by a governmental unit to determine whether that program is being operated under a rule or ordinance adopted in compliance with this Section. If the Department finds after investigation that a plumbing program is not being operated or enforced as required, the Director shall give written notice of the findings to the chief administrative officer of the governmental unit. If the Department finds, not less than 30 days after the notice, that the program is not being conducted as required by existing ordinances or rules, the Director shall give written notice of its findings to the chief administrative officer of the governmental unit. After an administrative hearing, as provided in Section 35 of the Act, the Department may seek to enjoin the governmental unit from performing plumbing inspections and administering a plumbing program until approval is granted by the Department.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.900 Plumber's and Apprentice Plumber's License Violations

a) The Department may take disciplinary action against a licensed plumber or licensed apprentice plumber for violations of the Act, this Part or the Illinois Plumbing Code. Pursuant to Section 20 of the Act, disciplinary action may include the revocation, suspension, or denial of a license issued by the Department; and under Section 5(b.10) of the Act may include an Order of Correction to a telecommunications carrier for improper advertising.

b) A violation, for the purposes of this Section, shall be considered to mean a finding of violation of a Section of the Act, this Part, or the Illinois Plumbing Code by the Director in a final order issued pursuant to the Act, and may include any one of the following acts:

1. Any licensed plumber who permits his/her name or plumbing license number to be used to imply that he/she is a member of a sole proprietorship, association, partnership or corporation, and evidence indicates that he/she is not participating in the plumbing activities of the sole proprietorship, association, partnership or corporation. Evidence used by the Department in making this determination may include payroll, records, time sheets, W-2 forms and documents on file with the Secretary of State;

2. Any licensed plumber who refuses to correct Illinois Plumbing Code violations as requested by the Department, continues to install plumbing in violation of Illinois Plumbing Code requirements, or is found guilty of negligence or incompetence in the performance of plumbing;

3. Any licensed plumber who employs individuals to install plumbing and fails or refuses to license them as Illinois apprentice plumbers;

4. Any licensed plumber who fails to adequately train apprentices under his employment or supervision in a manner qualifying them to pass the plumbing license examination. In reaching a finding of adequacy, the Department shall consider factors such as number of hours worked by the apprentice, types and varieties of plumbing work performed and inspections of finished work;

5. Any licensed plumber or approved apprenticeship program that sponsors an apprentice and does not directly supervise or employ the apprentice in the plumbing trade a minimum of 1,400 hours a year;

6. Any licensed plumber who does not complete continuing education as required by Section 750.500 for license renewal;

7. Any licensed plumber or approved apprenticeship program that fails to submit to the Department, within 15 days after an apprentice is no longer employed and supervised by that plumber or program, a letter stating that sponsorship of the apprentice has been canceled;

8. Any licensed plumber or licensed apprentice plumber who advertises his or her services as a certified plumbing inspector without obtaining certification from the Department or who uses or attempts to use the certificate of a certified plumbing inspector;

9. Any licensed apprentice plumber who performs plumbing work without the supervision of the sponsor/agent or approved apprenticeship program sponsoring the apprentice; or

10. Any licensed apprentice plumber who does not work in the plumbing trade for a minimum of 1,400 hours a year or who does not fulfill all requirements of an approved apprenticeship program.

History

• Source: Amended at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.910 Plumbing Inspector Violations

The Department may take disciplinary action against a plumbing inspector for violations of the Act, this Part or the Illinois Plumbing Code. Pursuant to Section 20 of the Act, such action may include revocation, suspension, or denial of a plumbing license or plumbing inspector's certificate issued by the Department; and under Section 5(b.10) of the Act may include an Order of Correction to a telecommunications carrier for improper advertising. A violation, for the purposes of this Section, shall be considered to mean a finding of violation of a Section of the Act, or this Part, or the Illinois Plumbing Code by the Director in a final order issued pursuant to the Act and shall include the following acts:

a) a plumbing inspector presenting, as his or her own, the license of another person;

b) submitting false information or misrepresenting facts to the Department for the purpose of obtaining certification or renewal of certification as a plumbing inspector;

c) using or attempting to use a certificate that has been suspended or revoked;

d) operating a business organization advertising itself as a certified plumbing inspection business after the termination of its only certified plumbing inspector without another member of the business organization obtaining certification from the Department;

e) commencing or performing certified plumbing inspections for which a permit is required pursuant to the Illinois Plumbing Code without the permit being in effect;

f) willfully violating any State law or rule, or any municipal or county ordinance, relating to uncertified or certified plumbing inspections or committing any other form of misconduct;

g) being convicted or found guilty of, or entering a plea of nolo contendere to, regardless of adjudication, a crime in any jurisdiction that directly relates to the practice of plumbing;

h) violating any provision of the Act, this Part, the Illinois Plumbing Code, or any county or municipal plumbing ordinances or failing to follow any directive or order of the Department;

i) performing any act that assists a person or entity in engaging in the prohibited uncertified practice of inspecting plumbing, if the certified plumbing inspector knows or has reasonable grounds to know that the person or entity is uncertified; or

j) knowingly assisting or conspiring with an uncertified person by allowing one's plumbing inspector's certificate to be used by the uncertified person with intent to violate the requirements of Section 750.710. When a certified plumbing inspector allows his or her certificate to be used by one or more business organizations without participating in the operations, management, or control of such business organizations, such act constitutes prima facie evidence of an intent to evade the requirements of this Section.

History

• Source: Amended at 40 Ill. Reg. 8786, effective June 17, 2016

68 Ill. Adm. Code 750.1000 Civil Penalties for Unlicensed Plumbers

a) A person who practices, offers to practice, or holds himself or herself out to practice as a plumber without being licensed under the provisions of the Act may be subject to an Order of Correction to a telecommunications carrier for improper advertising under Section 5(b.10) of the Act and shall be issued a civil penalty under the following criteria:

1. First Offense

A) Where no violations of the Illinois Plumbing Code are found, the person:

i) Shall pay a civil penalty of $1,000;

ii) May be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

B) Where violations of the Illinois Plumbing Code are found, the person:

i) Shall pay a civil penalty of $3,000. The Department may reduce this amount to $1,000 upon the condition that the unlicensed person pays for a licensed plumber to correct the violations of the Illinois Plumbing Code. The licensed plumber correcting the violations shall be acceptable to the other party to the original contract or agreement;

ii) May be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

2. Second Offense

A) Where no violations of the Illinois Plumbing Code are found, the person:

i) Shall pay a civil penalty of $3,000;

ii) May be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

B) Where provisions of the Illinois Plumbing Code are found, the person:

i) Shall pay a civil penalty of $5,000. The Department may reduce this amount to $3,000 upon the condition that the unlicensed person pays for a licensed plumber to correct the violations of the Illinois Plumbing Code. The licensed plumber correcting the violations shall be acceptable to the other party to the original contract or agreement;

ii) May be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

3. Third and Subsequent Offenses

A) The person shall pay a civil penalty of $5,000;

B) The person shall be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

b) A licensed plumber, firm, corporation, partnership, or association who directs, authorizes or allows a person to practice, offer to practice, attempt to practice, or hold himself or herself out to practice as a plumber without being licensed under the provisions of the Act:

1. First Offense

A) Shall pay a civil penalty of $5,000;

B) Shall be required to pay for a licensed plumber to correct any violations of the Illinois Plumbing Code. The licensed plumber correcting the violations shall be acceptable to the other party to the original contract or agreement;

C) Shall have his or her plumbing license suspended;

D) May be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

2. Second Offense

A) Shall pay a civil penalty of $5,000;

B) Shall be required to pay for a licensed plumber to correct any violations of the Illinois Plumbing Code. The licensed plumber correcting the violations shall be acceptable to the other party to the original contract or agreement;

C) Shall have his or her plumbing license revoked;

D) Shall be referred to the State's Attorney of the county or to the Attorney General for prosecution under Section 29 of the Act.

History

• Source: Amended at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.1100 Plumbers' and Apprentice Plumbers' Examination and Licensure Fees

The applicable fee shall be submitted to the Department with each application for examination, licensure or certification as follows:

a) Plumber's Examination Fees

Plumber's License Examination Fee when applicant is licensed as an Apprentice Plumber in Illinois

$175

Plumber's License Examination Fee when applicant is registered or licensed in a state other than Illinois

$225

Plumber's License Re-Examination Fee

$175

Plumber's License Re-Examination Fee when applicant is registered or licensed in a state other than Illinois

$175

b) Plumber's License Fees

Plumber's License Fee (Initial or Renewal)

$150

Apprentice Plumber's License Fee (Initial or Renewal)

$100

Late Fee or Reinstatement Fee for any License Renewal (in addition to all lapsed renewal fees)

$100

Restoration of a Plumber's Expired License Fee (includes the fee for the first examination only)

$175

Duplicate License Fee

$50

Retired Plumber's Annual License

$25

Reinstatement of a Plumber's License from a Retired Plumber's License with fewer than five years (per year out)

$100

Restoration of a Plumber's License from a Retired Plumber's License of more than five years (includes fee for first examination only)

$175

c) Certified Plumbing Inspector's Examination and Certification Fees

Plumbing Inspector's Examination

$175

Plumbing Inspector's Certification Late Fee

$100

Chicago Licensed Certified Plumbing Inspector

$150

History

• Source: Amended at 38 Ill. Reg. 19715, effective September 23, 2014

68 Ill. Adm. Code 750.1110 Other Fees

a) Copies of the Illinois Plumbing Code may be obtained from the Department's website.

b) The fee for a dishonored, negotiable instrument including, but not limited to, returned checks or insufficient payment shall be $100.

History

• Source: Amended at 38 Ill. Reg. 19715, effective September 23, 2014

Chapter V Environmental Protection Agency

Part 870 Landfill Operators Certification

68 Ill. Adm. Code 870.100 Purpose

This Part sets forth the procedures to be used by the Agency in administering a system for the certification and sanctioning, where necessary, of regulated operators at regulated facilities, as those terms are defined herein.

68 Ill. Adm. Code 870.105 Applicability

The rules of this Part shall be applicable to the operation of landfills permitted, or required to be permitted, by the Agency. The operation of a landfill shall be deemed to have ceased upon the issuance of a certificate of closure by the Agency in accordance with 35 Ill. Adm. Code 807.508 and 813.402.

68 Ill. Adm. Code 870.110 Definitions

For purposes of this Part the words and terms defined in this Section shall have the meanings given herein. Words and terms not defined shall have the meanings otherwise set forth in the Solid Waste Site Operator Certification Law and the Environmental Protection Act.

"Act" means the Environmental Protection Act (Ill. Rev. Stat. 1989, ch. 111½, par. 1001 et seq.).

"Agency" means the Illinois Environmental Protection Agency.

"Certified Operator" means the person at a landfill who is normally present and accessible and has been certified pursuant to these regulations. A certified operator may be on the operational staff of not more than three landfills.

"Earth moving equipment" means motorized equipment designed to excavate, load, or transport earthen materials, not including road licensed trucks.

"Examination" means the test required to be taken by an applicant to become certified under the Solid Waste Site Operator Certification Law.

"Landfill" means a unit or part of a facility in or on which waste is placed and accumulated over time for disposal, and which is not a land application unit, a surface impoundment or an underground injection well.

"Landfill operations" means those activities conducted at a landfill including, but not limited to, the acceptance, distribution, and cover of waste.

"Operational staff" means those persons at a landfill who direct, supervise, or participate in the acceptance, distribution, or cover of waste.

"Person" means a human being.

"Solid Waste Site Operator Law" means the Solid Waste Site Operator Certification Law (Ill. Rev. Stat. 1990 Supp., ch. 111, par. 7851 et seq.).

68 Ill. Adm. Code 870.115 Disclaimer

The Agency and the State of Illinois do not endorse or guarantee the quality of any work or conduct by an applicant who has been certified.

68 Ill. Adm. Code 870.120 Severability

If any Section, subsection, sentence or clause of this Part is judged invalid, such adjudication shall not affect the validity of this Part as a whole or any Section, subsection, sentence or clause thereof not judged invalid.

68 Ill. Adm. Code 870.200 Categories of Certificates Available

a) Applicants shall be able to apply for certificates or certificate renewals in any of the following categories: Class A; Class A with a Special Waste Endorsement; or Class B. An applicant shall not be eligible for certification in one category if his or her current certificate in another category is currently suspended or revoked.

b) Landfill sites which accept non-hazardous solid waste other than clean construction or demolition debris shall employ on their operational staffs at least one person who possesses a valid Class A Certificate.

c) Landfill sites which accept special waste shall employ on their operational staffs at least one person who possesses a valid Class A Certificate with a Special Waste Endorsement.

d) Landfill sites which accept only clean construction or demolition debris shall employ on their operational staffs at least one person who possesses a valid Class A or B Certificate (Ill. Rev. Stat. 1990, Supp., ch. 111, par. 7854, Section 1004).

68 Ill. Adm. Code 870.210 Class a Certificate

a) Any person who seeks a Class A Certificate shall pass a written examination as provided under Subpart C.

b) Any person who seeks a Class A Certificate shall submit a complete application to the Agency accompanied by the fee required under Section 870.400 of this Part in which the applicant demonstrates the following:

1. the applicant is at least 18 years of age;

2. the applicant has not violated any of the provisions of the Solid Waste Site Operator Certification Law which could result in the refusal to issue, renew, or suspended for cause such certification;

3. the applicant has either:

A) a high school diploma or its equivalent, and

i) not less than 2 years of acceptable study, training, and responsible experience in sanitary landfill operation or management, or

ii) not less than 7 years of acceptable study, training, and responsible experience in operation or management of earth moving equipment; or

B) completed:

i) grammar school or its equivalent, and

ii) not less than 15 years of acceptable study, training, and responsible experience in sanitary landfill operation or management (Solid Waste Site Operator Law, Section 1007); and

4. the names, addresses, and phone numbers of no fewer than 3 references (Ill. Rev. Stat. 1990 Supp., ch. 111, par. 7858, Section 1008).

c) When an applicant has indicated on the application that any of the grounds listed in Section 870.515(a) has occurred, the applicant shall provide with the application the following:

1. A copy of any final administrative or judicial determination, made after opportunity for an adversarial proceeding, that the applicant has:

A) Violated federal, state or local laws, regulations or ordinances regarding the operation of any refuse disposal facility;

B) Been convicted in Illinois or another state of any crime which is a felony under Illinois law, or been convicted of a felony in a federal court;

C) Shown gross carelessness or incompetence in the handling, storing, processing, transporting or disposing of any hazardous waste in any state.

2. A description, including the name of the agency or court, title, docket number and status, of any administrative or judicial proceeding, which is still pending, which:

A) Could result in a determination against the applicant of the type described in subsection (c)(1) above; or

B) Could result in a reversal of any administrative or judicial determination provided by the applicant in response to subsection (c)(1) above.

d) Supporting information for use under subsection (b)(3) shall at a minimum describe the following:

1. the applicant's level of formal education including the date of graduation from high school or grammar school, or receipt of equivalent educational experience, and the name and address of the issuing institution;

2. the applicant's study, training, and experience in sanitary landfill operation or management including:

A) the name, address, and phone number of the employer under which the applicable study, training, or work experience was obtained; and

B) the name, address, and phone number of the institution at which the applicable study, training, or work experience was obtained.

e) For the purposes of subsection (b)(3) above, acceptable study and training may include, but is not limited to, the following:

1. college or university training programs or courses;

2. trade or professional association training programs or courses;

3. government training programs or courses;

4. review of relevant periodicals, trade journals, or other literature, or;

5. review of Illinois statutes and regulations relevant to the Class A Certificate.

f) For the purposes of subsection (b)(3) above, responsible experience may include, but is not limited to, the following:

1. employment at a landfill;

2. management of a landfill;

3. employment, including military service, involving the operation or management of earth moving equipment;

4. consulting activities related to the operation or management of a landfill.

68 Ill. Adm. Code 870.215 Class a Certificate Special Waste Endorsement

a) Any person who seeks a Special Waste Endorsement shall pass a written examination as provided under Subpart C.

b) Any person who seeks a Special Waste Endorsement shall demonstrate, on a form designated by the Agency, the following:

1. the applicant has been issued a Class A Certificate which has not been suspended or revoked, or otherwise become invalid; or

2. the applicant has submitted a complete application for the issuance of a Class A Certificate.

c) A Special Waste Endorsement shall not be issued to the applicant until the applicant has been issued a Class A Certificate.

68 Ill. Adm. Code 870.220 Class B Certificate

a) Any person who seeks a Class B Certificate shall pass a written examination as provided under Subpart C.

b) Any person who seeks a Class B Certificate shall submit a complete application to the Agency accompanied by the fee required under Section 870.400 of this Part in which the applicant demonstrates the following:

1. the applicant is at least 18 years of age;

2. the applicant has not violated any of the provisions of the Solid Waste Site Operator Certification Law which could result in the refusal to issue, renew or suspend for cause such certification;

3. the applicant has either:

A) a high school diploma or its equivalent, and

i) not less than 6 months of acceptable study, training, and responsible experience in sanitary landfill operation or management, or

ii) not less than 3 years of acceptable study, training and responsible experience in operation or management of earth moving equipment; or

B) completed:

i) grammar school or its equivalent, and

ii) not less than 5 years of acceptable study, training, and responsible experience in sanitary landfill operation or management (Ill. Rev. Stat. 1990 Supp., ch. 111, par. 7857, Section 1007).

4. the names, addresses, and phone numbers of no fewer than 3 references (Ill. Rev. Stat. 1990 Supp., ch. 111, par. 7858, Section 1008).

c) When an applicant has indicated on the application that any of the grounds listed in Section 870.515(a) has occurred, the applicant shall provide with the application the following:

1. A copy of any final administrative or judicial determination, made after opportunity for an adversarial proceeding, that the applicant has:

A) Violated federal, state or local laws, regulations or ordinances regarding the operation of any refuse disposal facility;

B) Been convicted in Illinois or another state of any crime which is a felony under Illinois law, or been convicted of a felony in a federal court;

C) Shown gross carelessness or incompetence in the handling, storing, processing, transporting or disposing of any hazardous waste in any state.

2. A description, including the name of the agency or court, title, docket number and status, of any administrative or judicial proceeding, which is still pending, which:

A) Could result in a determination against the applicant of the type described in subsection (c)(1) above; or

B) Could result in a reversal of any administrative or judicial determination provided by the applicant in response to subsection (c)(1) above.

d) Supporting information for use under Section (b)(3) above shall at a minimum describe the following:

1. the applicant's level of formal education including the date of graduation from high school or grammar school, or receipt of equivalent educational experience, and the name and address of the issuing institution;

2. the applicant's study, training, and experience in sanitary landfill operation or management including:

A) the name, address, and phone number of the employer under which the applicable study, training, or work experience was obtained; and

B) the name, address, and phone number of the institution at which the applicable study, training, or work experience was obtained.

e) For the purposes of subsection (b)(3) above, acceptable study and training may include, but is not limited to, the following:

1. college or university training programs or courses;

2. trade or professional association training programs or courses;

3. government training programs or courses;

4. review of relevant periodicals, trade journals, or other literature; or

5. review of Illinois statutes and regulations relevant to the Class B Certificate.

f) For the purposes of subsection (b)(3) above, responsible experience may include, but is not limited to, the following:

1. employment at a landfill;

2. management of a landfill;

3. employment, including military service, involving the operation or management of earth moving equipment;

4. consulting activities related to the operation or management of a landfill.

68 Ill. Adm. Code 870.225 Certificate Validity

Any certificate issued under this Part shall be valid for a period of 3 years, with the expiration date being 3 years from the first day of October of the calendar year in which the certificate is issued (Ill. Rev. Stat. 1990 Supp., ch. 111, par. 7860, Section 1010).

68 Ill. Adm. Code 870.230 Special Waste Endorsement Validity

a) A Special Waste Endorsement issued under this Part shall expire on the date the accompanying Class A Certificate expires.

b) An applicant who passes the Special Waste Endorsement examination, but fails the accompanying Class A examination, is not required to retake the Special Waste Endorsement examination if the applicant passes a subsequent Class A examination within six months after passing the Special Waste Endorsement examination.

68 Ill. Adm. Code 870.235 Certificate Renewal

a) Any person who seeks renewal of any certificate or Special Waste Endorsement issued under this Part shall pass a written examination as provided under Subpart C.

b) Any person who seeks renewal of any certificate or Special Waste Endorsement issued under this Part shall submit a complete renewal application to the Agency not less than 90 days before expiration of the currently effective certificate or Special Waste Endorsement which demonstrates the following:

1. the applicant has not violated any of the provisions of the Solid Waste Site Operator Certification Law which could result in the refusal to issue or renew for cause;

2. the applicant has not had a certificate or Special Waste Endorsement issued under this Part which has been suspended or revoked under Subpart D; and

3. the applicant has paid any fees required for the renewal of any certificate or Special Waste Endorsement.

68 Ill. Adm. Code 870.240 Emergency Certification

a) Whenever a certified operator begins or terminates employment with a landfill, the certified operator and the landfill owner shall notify the Training and Certification Unit, Division of Land Pollution Control, of the Agency in writing within seven days.

b) Should the certified operator(s) at a landfill unexpectedly terminate employment due to death, illness, or otherwise, or for whatever reason becomes incapable of directing landfill operations or supervising other operational staff in performing landfill operations, the landfill owner shall be allowed 90 days to obtain a properly certified operator pursuant to the procedures specified under Subpart B. During the 90 day period the landfill may continue operations.

c) During the 90 day period that a landfill may continue operations without a certified operator, the landfill owner may sponsor an individual to become certified. A landfill owner sponsors an individual by informing the Training and Certification Unit, Division of Land Pollution Control, of the Agency in writing that the landfill is operating without a certified operator and that the sponsored individual will, if certified, be employed at the landfill. An applicant so sponsored may, after submitting to the Training and Certification Unit a complete application and appropriate fees, request to take a certification examination on an expedited basis.

d) If the Agency receives a request to take an expedited examination, and has received a complete application and appropriate fees on or before the 60th day of the 90 day period that a landfill may continue operations without a certified operator, the Agency shall administer an examination to the applicant. The Agency may administer additional exams subject to available Agency time and resources.

e) All expedited examinations shall be held in Springfield, Illinois.

68 Ill. Adm. Code 870.245 Certification

Any person signing an application submitted under this Subpart B shall make the following certification:

I certify that the information submitted in this application or document and all attachments is, to the best of my knowledge and belief, true and accurate and complete. I am aware that there are significant penalties under Section 44 of the Environmental Protection Act for submitting false information, including the possibility of fine and imprisonment for knowing violations.

68 Ill. Adm. Code 870.300 Requirement of Examination

a) The Agency shall not issue any certificate or Special Waste Endorsement contemplated by this Part unless the applicant has passed a written standardized examination in accordance with this Subpart.

b) A score of 70% correct constitutes a passing score for the standardized examination.

c) A complete application shall remain effective for three years from the date of filing or until the person has taken and failed the exam three times, whichever comes first. An applicant whose previously submitted application is no longer effective must submit a new application meeting the requirements of Subpart B accompanied by the fees required under Section 870.400.

d) An applicant who has failed the exam three times within a period of three years shall not be eligible to take the exam again for a period of no less than one year from the date of notice of the last failure. The applicant shall demonstrate that during the one year period additional training, study, or experience has been acquired.

68 Ill. Adm. Code 870.305 Examination Location and Admission Tickets

a) The certification examination shall be held at various locations including the Chicago Metropolitan area, the Collinsville area and Springfield, Illinois.

b) Information about specific test locations will be available upon request from the Training and Certification Unit, Division of Land Pollution Control, of the Agency. The examination admission ticket sent to an applicant shall specify the correct location for that applicant.

c) In the application for a certificate or Special Waste Endorsement the applicant shall designate a preferred location, among those identified by the Agency, for taking the examination.

d) The Agency shall not issue an examination admission ticket to an applicant until it has received the application fee provided under Section 870.400 of this Part from the applicant.

68 Ill. Adm. Code 870.310 Examination Dates and Frequency

Examinations will be held four times every year. Information about authorized test dates will be available upon request from the Training and Certification Unit, Division of Land Pollution Control, of the Agency.

68 Ill. Adm. Code 870.315 Notice of Examination Locations and Dates

The Agency will provide each applicant with notice of the specific location and date of examination, no less than fourteen days before the scheduled examination date. Notice shall be given by means of the admission ticket sent to the applicant at the mailing address indicated on the application. Each applicant shall have the admission ticket, along with picture identification, available for review by Agency proctors on the date of the examination. Admission to the examination shall be denied if an applicant fails to produce, upon request by Agency proctors, an admission ticket and photo identification.

68 Ill. Adm. Code 870.320 Examination Administration

At all examination locations authorized by the Agency, proctors designated by the Agency shall administer and supervise the conduct of examinations, and collect examination answer sheets and test forms after completion of an examination. The Agency shall not allow examinees to keep copies of the test or test materials.

68 Ill. Adm. Code 870.325 Examination Subjects

The Training and Certification Unit, Division of Land Pollution Control, of the Agency shall provide, upon request, a listing of the curriculum which examinees can expect to be examined. The Agency may revise the examination curriculum to provide for additional or different topics which may be required for the testing of a specific certificate.

68 Ill. Adm. Code 870.400 Application Fee

Applicants for any certificate or Special Waste Endorsement, or the renewal of any certificate or Special Waste Endorsement, shall submit a $100.00 application fee with the application. Any person who seeks a Special Waste Endorsement concurrent with the submittal of an application for a Class A Certificate shall not be required to pay two application fees.

68 Ill. Adm. Code 870.405 Issuance and Renewal Fee

a) Following submission of a complete application an applicant shall pay the following fees prior to the issuance or renewal of a certificate or Special Waste Endorsement:

1. $400 for the issuance or renewal of a Class A Certificate;

2. $100 for the issuance or renewal of a Special Waste Endorsement;

3. $200 for the issuance or renewal of a Class B Certificate.

b) The Agency shall impose an additional $50 fee for the failure of a Solid Waste Site Operator to submit a renewal fee prior to November 1, following a certificate's expiration.

c) The fees required under this Section shall be non-refundable.

68 Ill. Adm. Code 870.500 Investigation

The Agency may refuse to issue, or seek the suspension or revocation of, any certificate or Special Waste Endorsement established under Subpart B of this Part. The Agency may, upon its own motion or upon the written complaint of any person setting forth charges which, if proven, would constitute grounds for the refusal to issue, suspension or revocation as provided by the Solid Waste Site Operator Law, investigate the actions of any person applying for or holding a certificate or Special Waste Endorsement.

68 Ill. Adm. Code 870.505 Notice

The Agency shall, at least 28 days prior to issuing a Notice of Contested Case Hearing as provided for at 35 Ill. Adm. Code Part 168, notify the applicant or certificate or Special Waste Endorsement holder in writing of the nature of the charges made and shall afford the applicant or holder an opportunity to be heard in person or by counsel.

68 Ill. Adm. Code 870.510 Procedure

When the Agency refuses to issue, or seeks the suspension or revocation of, any certificate or Special Waste Endorsement, the procedures set forth at 35 Ill. Adm. Code 168 shall apply.

68 Ill. Adm. Code 870.515 Grounds

a) The Agency may suspend, revoke, or refuse to issue any certificate or Special Waste Endorsement for any one or any combination of the following causes:

1. The practice of any fraud or deceit in obtaining or attempting to obtain a certificate of competency;

2. Negligence or misconduct in the operation of a sanitary landfill;

3. Repeated failure to comply with any of the requirements applicable to the operation of a sanitary landfill, except for board requirements applicable to the collection of litter;

4. Repeated violations of federal, state or local laws, regulations, standards, or ordinances regarding the operation of refuse disposal facilities or sites;

5. Conviction in this or another state of any crime which is a felony under the laws of this state or conviction of a felony in a federal court;

6. Proof of gross carelessness or incompetence in handling, storing, processing, transporting, or disposing of any hazardous waste; or

7. Being declared to be a person under a legal disability by a court of competent jurisdiction and not thereafter having been lawfully declared to be a person not under legal disability or to have recovered. (Ill. Rev. Stat. 1990 Supp., ch. 111, par. 7856, Section 1006).

b) The Agency may, in its discretion, issue or refuse to suspend or revoke a certificate or Special Waste Endorsement notwithstanding the applicability of any of the factors set forth in Section 870.515(a) if mitigating factors exist such that certification should be issued. Mitigating factors include, but are not limited to, the following:

1. The severity of the misconduct;

2. How recently the misconduct took place; or

3. The degree of control exerted over waste disposal operations at a site by the applicant at the time any misconduct described in subsection 870.515(a) was committed.

c) Pursuant to Section 39(a) of the Act, a person requesting certification has the burden of demonstrating that the person is entitled to the certification.

68 Ill. Adm. Code 870.520 Sanctions

a) If a certificate is suspended it shall be considered void for a period of time not less than 30 days, but no more than one year. If a certificate expires during suspension the operator may not reapply for any certificate until the suspension period has elapsed. Experience obtained during this period shall not be credited towards meeting the requirement described in Subpart B. At the end of the suspension period the suspended certificate, if not expired, shall be considered valid.

b) If a certificate is revoked it shall be considered void. If a certificate is revoked, the operator may not reapply for any certificate for a period of not less than six months but not more than three years. If an applicant seeks to obtain a certificate after the revocation period has elapsed, the applicant must comply with all requirements of Subparts B: Certificates, and D: Fees.

68 Ill. Adm. Code 870.525 Appeal

Within 35 days after the receipt of the notice of sanction from the Director the operator may appeal the sanction to the Circuit Court of Sangamon County. The revocation or suspension of a certificate shall be stayed pending a final decision on the appeal.

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1100 Department Rules of Practice in Administrative Hearings

68 Ill. Adm. Code 1100.560 Tax Default; Repayment

a) Upon notice from the Illinois Department of Revenue that a person has failed to file a return, or to pay the tax, penalty, or interest shown in a filed return, or to pay any final assessment of tax, penalty, or interest, as required by any tax Act administered by the Illinois Department of Revenue, the Division of Professional Regulation (DFPR-DPR) shall:

1. issue an Order refusing to renew the license of the person; or

2. issue an Order denying the application for licensure of the person; or

3. issue an Order suspending the license of the person.

b) DFPR-DPR may take any of the actions set forth in subsection (a) upon notification from the Illinois Department of Revenue that includes a certification, signed by its Director or designee, attesting to the following:

1. the amount of any unpaid tax liability; and/or

2. the years for which a return was not filed.

c) Notification received from the Department of Revenue including items set forth in subsection (b) shall be considered prima facie evidence of a licensee's or applicant's failure to comply with any of the tax laws administered by the Illinois Department of Revenue.

d) DFPR-DPR, pursuant to 20 ILCS 2105/2105-15(g), shall not be required to hold a hearing prior to or following taking any of the actions set forth in subsection (a).

e) DFPR-DPR shall forward Notice of any Order entered pursuant to this Section to the licensee or applicant by mailing a copy of its Order via certified and regular mail to the person's last known address as registered with the Division. The Notice shall include the following information:

that the suspension shall be stayed for a period of 60 days from the date of the Order and the stay shall not be extended unless the licensee or applicant files a request for a hearing with the Division in accordance with the Department's Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110) to dispute the matters contained in the Order.

f) An Order immediately suspending a license per 68 Ill. Adm. Code 1110.260 shall be immediately stayed for a period of 60 days. After the expiration of the 60 day period, DFPR-DPR may change the license status to Suspended.

g) DFPR-DPR shall restore or renew the license of a licensee that was suspended or refused renewal, or issue the license of an applicant that was denied issuance pursuant to this Section, if the licensee or applicant has provided proof of a satisfactory repayment record with the Illinois Department of Revenue and if all other requirements of the Act and rules governing the profession for which the license was issued or sought have been met.

h) "Satisfactory Repayment Record" as used in this Section and in 20 ILCS 2105/2105-15(g) shall mean submission of the following by the Illinois Department of Revenue to DFPR-DPR:

1. documentation from the Illinois Department of Revenue that the applicant or licensee who has been denied license issuance or renewal or whose license has been suspended based upon 20 ILCS 2105/2105-15(g) has paid in full the final assessment of any tax, penalty, or interest, as required by any tax Act administered by the Illinois Department of Revenue; or

2. documentation from the Illinois Department of Revenue that the applicant or licensee who has been denied license issuance or renewal or whose license has been suspended based upon 20 ILCS 2105/2105-15(g) has entered into and is in compliance with a payment plan that has been accepted by the Illinois Department of Revenue.

Part 1110 Rules of Practice in Administrative Hearings

68 Ill. Adm. Code 1110.5 Applicability

This Part shall apply to all hearings conducted by the Division pursuant to the DFPR Law and other Acts under the jurisdiction of the Department.

History

• Source: Amended at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.10 Definitions

"Address of Record" means the address and/or email address required to be on file with the Department's Licensure Maintenance Unit by a licensee or, in the case of an unlicensed person, the most recent publicly ascertainable address or email address.

"Administrative Law Judge" or "ALJ" means an attorney licensed to practice law in the State of Illinois who has been designated by the Director to conduct any hearings governed by this Part. For the purposes of this Part, "Administrative Law Judge" means the same as "Hearing Officer" as referenced in the DFPR Law or in any Act administered by the Division.

"Applicant" means a person who submitted an application for a license, registration or other credential issued by the Division.

"Board" means any Board or Committee created or existing under the DFPR Law or other Acts as advisory Boards or Committees to the Secretary or Director.

"Clerk of the Court" means the person or unit designated by the Division to receive filings and to date stamp them.

"Department" means the Department of Financial and Professional Regulation.

"DFPR Law" means the Department of Financial and Professional Regulation Law of the Civil Administrative Code of Illinois [20 ILCS 2105].

"Director" means the Director of the Division of Professional Regulation or the Director of the Division of Real Estate or duly appointed Acting Director, with the authority delegated by the Secretary.

"Division" means the Division of Professional Regulation or the Division of Real Estate within the Department, as the context indicates.

"Formal Hearing" means a formal proceeding that is conducted on the record before an Administrative Law Judge during which the parties present evidence and make arguments regarding appropriate action on a contested matter.

"Hearing" means any hearing authorized to be held in the Department or before any of its several Boards within the Division, an Administrative Law Judge, the Director or the Secretary by DFPR Law or any and all other applicable statutes at any time in force in the State of Illinois.

"Informal Conference" means a meeting between a licensee or applicant, a board member if applicable, and Division representative which provides a licensee or applicant information and statements in furtherance of an agreed disposition.

"Indigent Person" has the meaning given in subdivision (a)(2) of Section 5-105 of the Code of Civil Procedure. [5 ILCS 100/10-25.1]

"Interpretive Assistance" means services that involve listening to a communication in one language and orally converting that communication into another language while retaining the same meaning. [5 ILCS 100/10-25.1]

"Language access services" means the full spectrum of language services available to provide meaningful access to the programs and services for limited English proficient persons, including, but not limited to, in-person interpreter services, telephonic and video remote interpreter services, translation of written materials, and bilingual staff services. [5 ILCS 100/10-25.1]

"Licensee" means any holder of a license, registration or other credential issued by the Division. "Licensee" also includes an unlicensed person or entity who claims to hold a license or engages in a licensed activity. For purposes of this definition, a license, registration or credential issued by the Division may be active, inactive, expired or in any other status.

"Petitioner" is a party who, by written petition, seeks relief or licensure under any provision of the statutes of the State of Illinois or any rule, order or determination of the Division. The party seeking licensure may also be identified as "applicant".

"Respondent" is a person, firm, association, partnership, corporation, limited liability company or other legal entity against whom a complaint or notice initiating a proceeding is filed or to whom an order or complaint is directed by the Division.

"Secretary" means the Secretary of Financial and Professional Regulation.

"Unlicensed Person" means any person who has never held a license and who is not an applicant for licensure.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.20 Institution of a Contested Case by the Division

a) A contested case is instituted by the Division when a Complaint and Notice of Preliminary Hearing are filed with the Clerk of the Court and mailed or emailed to the Respondent's address of record.

b) A Complaint shall be in writing, signed by a Chief of Prosecution, and shall include a clear statement of the acts or omissions alleged to violate a statute or rule and the citation of the particular Sections of the substantive and procedural statutes and rules involved. Any allegation of a violation of a statute or rule under the administration of the Department that is premised on a violation of another State or federal statute or rule shall identify that State or federal statute or rule.

c) The Notice of Preliminary Hearing shall be in writing and shall contain the date, time, place and nature of the hearing to be held, shall refer to the Division's Rules of Practice, and shall comply with the Notice requirements of Section 1110.70.

d) A contested case is also instituted by the Division when a Notice of Intent to Refuse to Renew or a Notice of Intent to Deny is filed with the Clerk of the Court and mailed or emailed to the Respondent's or Applicant's address of record.

e) A Notice of Intent to Refuse to Renew and a Notice of Intent to Deny shall be in writing and signed by a Chief of Prosecution, shall include a clear statement of the acts or omissions alleged to violate a statute or rule, and shall include the citation of the particular Sections of the substantive or procedural statutes and rules involved. Any allegation of a violation of a statute or rule under the administration of the Department that is premised on a violation of another State or federal statute or rule shall identify that State or federal statute or rule. It shall notify the Respondent or Applicant that they must request a hearing to contest the notice within 30 days after service and, if a request is not filed within that time, the Director may issue an order refusing renewal of the license or refusing the issuance of a license. Upon receipt by the Clerk of the Court of a properly completed request for hearing, a case will be docketed and notice sent to the Respondent or Applicant setting forth the date, time and place of hearing.

f) The procedures for Rules to Show Cause for each profession are described in the applicable professional Act. If the Division is seeking a civil penalty for unlicensed practice, the Division shall file a Complaint and Notice of Preliminary Hearing in the same manner as set forth in this Section.

g) Any Notice of Preliminary Hearing, Notice of Intent to Refuse to Renew, or Notice of Intent to Deny prepared under the provisions of this Section pertaining to a person licensed under the Real Estate License Act of 2000 [225 ILCS 454] shall also be addressed to and served upon that person's managing broker and sponsoring broker.

h) All Notices pursuant to this Section shall comply with the interpretive assistance requirements of Section 1110.45.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.30 Petition for Restoration or Request for Hearing

a) A Petitioner may file with the Clerk of the Court a Petition for Restoration when seeking restoration of a license that was revoked, suspended, placed on an indefinite probation, or placed in refuse to renew.

b) A Petitioner may file with the Clerk of the Court, a Request for Hearing pursuant to a Notice of Intent to Deny or a Notice of Intent to Refuse to Renew.

c) In a case in which a Petitioner is seeking restoration of a license that was revoked or suspended or placed in refuse to renew or for termination of an indefinite probation, the Petition for Restoration shall be in writing, signed by the Petitioner, and shall set forth:

1. The number of the license that was suspended, revoked, or placed in refuse to renew, or placed on probation;

2. The docket number of the case that resulted in discipline;

3. The date on which the suspension, revocation, or placed in refuse to renew, or probation was ordered;

4. Whether the order that suspended, revoked, or placed in refuse to renew, or placed that license on probation was appealed, and if so, whether a stay of the imposition of discipline was granted by any reviewing court;

5. All dates and types of employment held since the discipline was imposed;

6. All continuing or remedial education completed since the discipline was ordered;

7. If the Petitioner has sought medical treatment, psychotherapy or counseling since the discipline was ordered, and if rehabilitation is relied upon as a basis for petitioning that the license be restored or the probation terminated, the name and address of the treating professional, and whether the Petitioner consents to disclosure by the professional of matters that are relevant to whether the Petitioner is fit to resume practice;

8. Any conviction or arrest followed by a charge since the discipline was ordered;

9. Date and disposition of any other petitions for restoration filed since the discipline was ordered; and

10. A statement that the Petitioner has satisfied all conditions and terms imposed by the professional act and rules under which the Petitioner is licensed relating to restoration from discipline and that the minimum amount of time imposed by the discipline (if any) has passed.

d) Any petition not conforming to the requirements of this Section may not be docketed or may be stricken.

e) In a case in which the Petitioner, also referred to as the Applicant, seeks to contest a decision by the Division to deny the application for licensure, the Petition for Hearing shall be in writing, signed by the Petitioner, and shall set forth:

1. The application number and license type being denied;

2. The docket number of the case that resulted in the Notice of Intent to Deny;

3. The date on which the Notice of Intent to Deny was issued; and

4. The reasons, stated with specificity, why the Applicant believes that the action by the Department to deny the application for licensure is incorrect.

f) Any petition not conforming to the requirements of this Section may not be docketed or may be stricken.

g) In a case in which the Petitioner, also referred to as the licensee, seeks to contest a decision by the Division to refuse to renew a license, the Petition for Hearing shall be in writing, signed by the Petitioner, and shall set forth:

1. The license number and license type being denied;

2. The docket number of the case that resulted in the Notice of Refuse to Renew;

3. The date on which the Notice of Refuse to Renew was issued; and

4. The reasons, stated with specificity, why the Petitioner believes that the action by the Department to refuse to renew is incorrect.

h) Any petition not conforming to the requirements of this Section may not be docketed or may be stricken.

i) In a case in which the Petitioner seeks a hearing to contest the factual basis of an automatic suspension imposed pursuant to the terms of a consent order, the Petition shall be in writing, signed by the Petitioner, and filed pursuant to the terms of the consent order.

j) Upon receipt by the Clerk of the Court of a properly completed Petition for Restoration or a Request for Hearing, a case will be docketed, and notice sent to the Petitioner setting forth the date, time and place of hearing.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1110 Rules of Practice in Administrative Hearings

68 Ill. Adm. Code 1110.40 Joinder

In the interest of the efficient disposition of related cases, the Division may join cases relating to multiple Respondents without regard to whether the cases relate to the same license or profession so long as the cases involve issues of law or fact that are common to the parties. The Respondent may contest the decision to join cases by filing a motion pursuant to Section 1110.210(a)(10).

History

• Source: Amended at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.45 Interpretive and Translational Assistance

a) A self-represented litigant, a witness, or a litigant who is an indigent person has the right to request interpretive assistance to participate in or understand any formal proceeding conducted orally before an ALJ, and this person may make such request at any time during the proceeding.

b) If no request for interpretive assistance is made throughout the formal proceeding but the ALJ reasonably believes that the person is eligible to receive interpretive assistance and is of limited English proficiency, the ALJ shall inquire if the person needs assistance to participate or understand the proceeding.

c) The ALJ may require a person to provide reasonable information necessary to determine whether the person is an indigent person for purposes of determining the eligibility for interpretive assistance. The ALJ shall determine whether, and the manner in which, interpretive assistance will be provided. The decision of the ALJ shall be made part of the record of the proceeding.

d) The Department shall provide interpretive assistance and do so in a manner consistent with Sections 10-25.1(c) of the Illinois Administrative Procedure Act [5 ILCS 100], to a self-represented litigant, a witness, or litigant who is an indigent person that requests, or needs interpretative assistance in accordance with this Section. This applies to a formal proceeding conducted orally before an ALJ and concerns substantive issues other than those related to procedural rules, processes, or scheduling.

e) The Department may provide interpretative assistance and do so in a manner consistent with Section 10-25.1(d) of the Illinois Administrative Procedure Act, to a self-represented litigant, a witness, or a litigant who is an indigent person that requests, or needs, interpretative assistance in accordance with this Section when the formal proceeding conducted orally before an ALJ concerns only procedural rules, processes, or scheduling.

f) The ALJ shall ensure that all persons appointed to provide interpretive assistance under this Section comply with the requirements of Section 10-25.1(e) of the Illinois Administrative Procedure Act. The ALJ shall hear any requests for the appointment of a different interpreter in accordance with Section 10-25.1(f) of the Illinois Administrative Procedure Act.

g) Every initial notice for which a person is entitled to a hearing under the applicable act, shall include an enclosure written in, at a minimum, English, Arabic, Cantonese, Gujarati, Korean, Mandarin, Polish, Russian, Spanish, Tagalog, Urdu, Ukrainian, and Vietnamese, which notifies the recipient of the ability for a party of the recipient's agent to request interpretive assistance to participate in or understand the hearing and to receive language access services for translating the contents of the notice. [5 ILCS 100/10-25] For Cantonese and Mandarin languages interpretation will be provided in Simplified Chinese or Traditional Chinese.

h) A request to receive a written or sight translation of the initial notice must be made within seven days after service of the notice. [5 ILCS 100/10-25(a)(6)] If the request for translation involves a Notice of Intent to Deny or a Notice of Intent to Refuse to Renew, the request for translation shall be construed as a request for hearing. If a request for translation involves a Complaint, then the requirement of filing an Answer to the Complaint pursuant to Section 1110.120 is stayed until a translation is provided.

i) If a request for written or sight translation of the initial notice is not received by the Department within seven days after service of the notice, it shall be deemed a suspension of the right to translate the contents of the initial notice. Thereafter, a request for interpretive assistance shall be made in a timely manner so as not to delay any proceeding. If the requestor for interpretive assistance fails to appear at the hearing after requesting interpretive assistance the request shall be deemed suspended unless reasserted. If the requestor who fails to appear is the Petitioner or Respondent, the Division shall proceed pursuant to Section 1110.100.

j) The Department need not provide interpretive assistance, sight translation, written translation, or other language access services to a person other as in this Section, however nothing in this Section prevents the Department from providing those services within its discretion.

History

• Source: Added at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.50 Form and Filing of Documents

a) All documents filed or submitted to the Division in a contested case shall be typewritten on 8½- by 11-inch white paper. The first page of each document shall set forth the names of the parties and the docket number assigned to the case by the Division. Petitions for Hearing that are filed before a docket number is assigned shall contain a space for entry of the assigned number. (See the Appendices.)

b) All Notices, Complaints, Answers, Petitions, motions, responses, replies and other papers in the nature of a pleading shall be filed with, and date stamped by the Clerk of the Court. A copy of any motion, response, reply, or similar document shall also be provided to the opposing party and/or the opposing party's counsel of record or the assigned Division counsel, as applicable.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.60 Service

a) Service of any document may be by mail, email, or by personal delivery. Service may be made to the Respondent, Petitioner, Applicant, or licensee to the address or email address of record. Service upon an unlicensed person may be made by mail, email, or personal delivery to the most recent publicly ascertainable address. Service by email to the assigned Division counsel may be addressed to the email address appearing on any pleading.

b) Proof of service by mail or personal delivery will be attached to the original of any document served. Proof of service by email shall be the emailed notice to which the document is attached. In the absence of evidence to the contrary, the date shown on the proof of service shall be deemed the date of service. Proof of service may be verified by certification as provided for in Section 1-109 of the Code of Civil Procedure [735 ILCS 5].

c) If service is by email, the Division shall maintain a copy of the sent email and shall verify within one business day that the transmission of the email has not been rejected or has failed. In the event of rejection or failure, absent correction of an erroneous email address, service shall be made by mail.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.70 Notice of Preliminary Hearing

a) The Notice of Preliminary Hearing 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 substantive and procedural statutes and rules involved;

4. Except when a more detailed statement is otherwise provided for by law, a short and plain statement of the matters asserted, the consequences of a failure to respond, and the official file or other reference number;

5. To the extent such information is available, the names, phone numbers, email addresses and mailing addresses of the administrative law judge or designated agency contact, parties, and all other persons to whom the agency gives notice of the hearing unless otherwise confidential by law;

6. A statement that the purpose of the Preliminary Hearing is to set a date on which all parties expect to be prepared to proceed with their cases and to rule on any preliminary motions that are presented; and

7. The ability for a party or the recipient's agent to request interpretive assistance to participate in or understand the hearing and to receive language access services for translating the contents of the notice in compliance with Section 1110.45. [5 ILCS 100/10-25(a)]

b) The Notice of Preliminary Hearing shall include a copy of the complaint, if any.

c) Except as otherwise provided by statute, the Respondent or Petitioner will be given at least 20 days' notice prior to the first date set for the preliminary hearing or hearings, as the case may be. Once notice is given, it will thereafter be the responsibility of the Respondent or Petitioner to know subsequent hearing dates.

d) Nothing in this Section will prevent the Division from scheduling a hearing within 20 days after the date on which the Director summarily suspends a license pending proceedings.

e) Any contention that improper notice was given will be deemed waived unless it is raised by the Respondent or Petitioner prior to argument on any other motion or, if no other motions are presented, prior to the commencement of opening statements.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.80 Negotiations and Agreed Dispositions

a) The Division and the Respondent or Petitioner may stipulate to facts and that stipulation may be used or otherwise admitted at the hearing.

b) The Division and the Respondent or Petitioner may enter into a written agreement providing for disciplinary or nondisciplinary action against the Respondent or Petitioner the granting or restoration of a license as a settlement and disposition of the complaint or petition. The written agreement may also be signed by a Board member from the relevant Board. The written agreement shall be considered the Findings of Fact, Conclusions of Law, and Recommendation to the Director. If the Director approves the written agreement, it shall be entered in the same manner as any other order of the Director and shall constitute a final decision. If the Director rejects the written agreement, the Respondent or Petitioner shall then be entitled to a hearing on the merits. It shall not be a bar to participation in the hearing by a Board member that the Board member had previously considered a proposed agreement under this Section. A proposed written agreement not accepted by all parties or rejected by the Director shall be deemed confidential as an unsuccessful attempt to settle and shall not be referenced or included in any future pleading or proceeding.

c) Participation in an informal conference shall not be a basis to exclude Board members from deliberating with the full Board on an Administrative Law Judge's Report and Recommendation in a contested matter.

d) Statements made during informal conferences are confidential, including proposed dispositions and shall not be used or admitted in any proceeding regarding the allegations.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.90 Representation

a) A party may be represented by an attorney who is licensed in Illinois or by an attorney otherwise permitted by law to practice in the State. Attorneys who appear in a representative capacity must file written notice of appearance setting forth:

1. The name, address, email address, telephone number and Supreme Court registration number of the attorney;

2. The name, address and email address of the party represented; and

3. An affirmative statement indicating that the attorney is licensed in Illinois or is appearing pro hac vice.

b) An attorney may withdraw from employment as a representative only upon filing a motion for leave to withdraw in writing stating the specific reasons for the withdrawal and providing notice to all parties. The motion shall state the last known address and email address of the party represented. The motion for withdrawal may be denied by the ALJ if the granting of it would delay the trial of the case or otherwise be inequitable. Upon entry of an order granting a motion for withdrawal, the withdrawing attorney shall provide the client with a copy of all orders and pleadings from the proceeding in their possession.

c) A law student licensed under Supreme Court Rule 711 may appear on behalf of any party as permitted by Supreme Court Rule 711 and shall be subject to the same requirements as an attorney.

d) Attorneys admitted to practice in states or jurisdictions other than the State of Illinois may appear and be heard in a specific hearing pro hac vice as authorized and in compliance with Supreme Court Rule 707. The attorney's appearance shall include documentation as to their eligibility or qualification under Supreme Court Rule 707.

e) Any individual may appear on their own behalf.

f) A corporation, limited liability company, professional limited liability company, or partnership must appear by legal counsel, licensed to practice in the State of Illinois or appearing pro hac vice.

g) Once an appearance is filed, a copy of all future filings shall be served upon the counsel of record, unless that counsel has withdrawn. In addition to that service, a copy may be served on the licensee or applicant.

h) The standard of conduct shall be the same as before the Courts of Illinois. Attorneys appearing before the Division shall conform their conduct to the Illinois Rules of Professional Conduct. In participating in any hearing before the Department:

1. A person shall not engage in any conduct that brings disorder or disruption to the proceedings. Attorneys shall instruct their clients and witnesses appearing of the proper conduct expected and required in administrative hearings and, to the best of their ability, prevent their clients and witnesses from acting inappropriately;

2. A person shall not knowingly misrepresent, mischaracterize, misquote or miscite facts or authorities in any oral or written communication to the ALJ;

3. A person shall not interrupt the ALJ or opposing counsel, except when necessary to make an effective objection;

4. Unless specifically permitted or invited by the ALJ, parties shall not send copies of correspondence between themselves to the ALJ. This does not include transmission of courtesy copies of pleadings to the ALJ; and

5. Parties shall notify the other party and the ALJ at the earliest possible time when hearings or conferences are to be canceled or postponed. Early notice avoids unnecessary travel and expense and may enable the ALJ to use the previously reserved time for other matters.

i) Any failure to behave in a manner consistent with those standards of conduct or this Part will authorize an Administrative Law Judge to take appropriate action, including but not limited to, the following:

1. Limitation of evidence;

2. Substitution of written argument in place of oral argument;

3. If warranted, report an attorney's misbehavior to the Attorney Registration and Disciplinary Commission of the Illinois Supreme Court;

4. Exclusion of an attorney or other participant from the proceedings; or

5. Suspension of the attorney or other participant's ability to appear before the Administrative Law Judge.

j) If any of the actions authorized by subsection (i) are taken by the ALJ, it shall be done as a matter of record, and the ALJ shall state for the record the specific reasons for the action.

k) A party sanctioned under this Section may request the decision be reviewed by the Director.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.100 Failure to Appear

a) Failure of a Respondent, even if represented by an attorney, to appear at the time and place set for formal hearing shall be deemed a waiver of the right to present evidence unless otherwise reflected by order of the Administrative Law Judge. After presentation by the Division of proof that the Respondent was given proper notice and the Division has been given an opportunity to present evidence, the ALJ shall make a recommendation. When a Petitioner, even if represented by an attorney, fails to appear at the time and place set for formal hearing, the Petition for Restoration or Request for Hearing shall be dismissed.

b) If at the time of formal hearing, a Respondent has not filed an answer conforming with the requirements of this Part or otherwise filed a responsive pleading, the Respondent will be held in default, the allegations of the Complaint will be deemed to have been admitted, and the Division will be given an opportunity to present evidence.

c) If a Respondent or Petitioner fails to appear at a hearing upon requesting interpretive assistance pursuant to Section 1110.45, the request for interpretive assistance shall be suspended until another request for interpretive assistance is made.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.110 Amendment, Withdrawal of Complaints and Petitions for Hearing

a) The Complaint, Notice of Intent to Refuse to Renew, or Notice of Intent to Deny a License may be amended at any time, except in the course of the hearing, without leave or approval of the Administrative Law Judge. An amended Complaint or amended Notice shall be filed in the same manner as a Complaint.

b) If an amendment to the Complaint or Notice is sought after a formal hearing has commenced, it shall be presented to the Administrative Law Judge for approval. If the Administrative Law Judge approves the amendment, a continuance shall be granted if the amendment materially alters the Complaint or Notice and the Respondent or Petitioner demonstrates that they would be unduly prejudiced.

c) A Complaint, Notice or Petition for Hearing may be withdrawn at any time prior to the hearing by the party who initiated it. After a hearing has begun, a Complaint, Notice or Petition may be withdrawn only with leave of the ALJ.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.120 Requirement of an Answer; Defaults

a) In contested cases involving a Complaint and unless otherwise provided by law, the Respondent shall file an Answer within 20 days after the date on which the Complaint was filed. The Answer shall be in writing, signed by the Respondent or their representative, and shall contain a specific response to each allegation in the Complaint. The response to each allegation in the Complaint shall either admit or deny the allegation or shall state that the Respondent has insufficient information to admit or deny the allegation. Any Answer not conforming to the requirements of this Section may be stricken, and the inclusion of affirmative defenses may be stricken.

b) Any Answer that states that the Respondent has insufficient information to admit or deny the allegation shall be accompanied by an affidavit attesting to the truth of this assertion.

c) If the Respondent does not file an Answer conforming with the requirements of this Section or otherwise does not file a responsive pleading, on motion by the Division the Administrative Law Judge will cause to be issued a Notice to plead or be held in default. If, within 15 days after issuance of the Notice, the Respondent does not file an answer conforming with the requirements of this Section or otherwise file a responsive pleading, the Respondent will be held in default and the allegations of the Complaint will be deemed to have been admitted. Even when an Answer has been filed, if a Respondent fails to appear for any scheduled hearing or proceeding without cause, the Respondent may be held in default and the allegations of the Complaint will be deemed to have been admitted.

d) An Answer is not required to be filed if a request is made to receive a written or sight translation of Notice of Preliminary Hearing and Complaint within seven days after service of the Notice of Preliminary Hearing and Complaint by a self-represented litigant or an indigent person. The Administrative Law Judge will set the deadline for filing an Answer at the Preliminary Hearing or at a subsequent hearing.

e) In all contested cases involving a Petition to Restore, the Petitioner's failure to appear, without cause, at a scheduled hearing to prosecute or pursue the petition may result in a default and/or the dismissal of the Petition by the ALJ.

f) In contested cases involving a Notice of Intent to Refuse to Renew or Notice of Intent to Deny, the Respondent or Applicant shall file a request for a hearing to contest the Notice within 30 days after service. If a request is not filed within that time, the Director may issue an order refusing renewal or denial of the license. If a request for hearing is filed but the Respondent or Applicant fails to appear, without cause, at a scheduled hearing or proceeding to prosecute or pursue their request, the ALJ may dismiss the request for want of prosecution and refer the notice to the Director for action.

g) In a case involving a tax liability order or a workers compensation order, the Respondent shall file a request for a hearing to contest the Order within 60 days after the effective date of the Order. If a request for hearing is filed but the Respondent fails to appear, without cause, at a scheduled hearing to prosecute or pursue their request, the ALJ may dismiss the request for want of prosecution and refer the order to the Director for action.

h) In a case involving a Summary or Temporary Suspension, the Respondent shall file an Answer to the Complaint no later than the day prior to the hearing. If, without cause, the Respondent does not file an Answer conforming with the requirements of this Section or otherwise does not file a responsive pleading, the Respondent will be held in default and the allegations of the Complaint will be deemed to have been admitted. If a Respondent fails to appear for any scheduled hearing or proceeding without cause, the Respondent may be held in default and the allegations of the Complaint will be deemed to have been admitted.

i) In any contested case, an Affirmative Defenses pleading is not permitted.

j) For all contested cases, tax liability orders, and workers compensation orders, a request to receive a written or sight translation of the initial notice must be made within seven days after service of the notice and shall automatically be construed as a Petition for Hearing notwithstanding that the request does not comply with this Section or Part.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.125 Tax Default; Workers' Compensation; Repayment

a) Upon notice from the Illinois Department of Revenue that a licensee or applicant has failed to file a return, or to pay the tax, penalty, or interest, as required by any tax Act administered by the Illinois Department of Revenue, the Division of Professional Regulation or the Division of Real Estate of the Department of Financial and Professional Regulation shall:

1. Issue an order refusing to renew the license; or

2. Issue an order denying the application for licensure; or

3. Issue an order suspending the license.

b) Upon notice from the Illinois Workers' Compensation Commission or the Illinois Department of Insurance that a licensee or applicant has failed to secure workers' compensation obligations, pay a fine or penalty imposed, or comply with a settlement reached with the Illinois Workers' Compensation Commission or the Illinois Department of Insurance, the Division, in accordance with Section 2105-15(g-5), shall:

1. Issue an order refusing to renew or reinstate a license;

2. Issue an order denying the application for license; or

3. Issue an order suspending or revoking the license.

c) The Division shall take one of the actions set forth in subsection (a) or (b) upon notification from the Illinois Department of Revenue, Illinois Workers' Compensation Commission, or the Illinois Department of Insurance, of a certification, signed by its Director or Chairman, or their designee, attesting to the following:

1. If notification is received from the Department of Revenue, the amount of any unpaid tax liability and/or the years for which a return was not filed.

2. If notification is received from the Workers' Compensation Commission or the Department of Insurance of failure to:

A) Secure workers' compensation obligations in the manner required by subsections (a) and (b) of Section 4 of the Workers' Compensation Act;

B) Pay in full a fine or penalty imposed due to a failure to secure workers' compensation obligations in the manner required by subsections (a) and (b) of Section 4 of the Workers' Compensation Act; or

C) Fulfill all obligations assumed pursuant to a settlement reached with the Illinois Workers' Compensation Commission or the Department of Insurance relating to a failure to secure workers' compensation obligations in the manner required by subsections (a) and (b) of Section 4 of the Workers' Compensation Act. [20 ILCS 2105/2105-15(g-5)]

d) Notification received from the Department of Revenue, Workers' Compensation Commission, or Department of Insurance, including items set forth in subsection (c) shall be considered prima facie evidence of a licensee's or applicant's failure to comply with the laws administered by those State agencies.

e) The Division, pursuant to Sections 2105-15(g) and (g-5) of DFPR Law, shall not be required to hold a hearing prior to or following any of the actions set forth in subsection (a) or (b), except as provided in subsection (g).

f) The Division shall forward notice of any order entered pursuant to this Section to the licensee or applicant by mailing or emailing a copy of its order to the person's address of record or email address of record with the Division, as defined by Section 2105-5 of DFPR Law. The Notice shall include the following information:

1. That the order shall be stayed for a period of 60 days from the date signed;

2. The stay shall not be extended unless the licensee or applicant files a request for a hearing with the Division in accordance with this Part to dispute the matters contained in the order; and

3. The ability for a party or the recipient's agent to request interpretive assistance to participate in or understand the hearing and to receive language access services for translating the contents of the notice in compliance with Section 1110.45. [5 ILCS 100/10-25(a)(6)]

g) An order suspending or denying a license under subsections (a) or (b) shall be immediately stayed for a period of 60 days. After the expiration of the 60-day period, the Division shall change the license status to suspended, revoked, or not renewed or reinstated, or application denied, unless the licensee or applicant has filed a request for hearing prior to the expiration of the 60-day period. The purpose of the hearing is to afford the licensee or applicant an opportunity to contest the order on the basis that the licensee or applicant is in compliance with the relevant laws administered by the Illinois Department of Revenue, Illinois Workers' Compensation Commission, Illinois Department of Insurance, or that the matter has been resolved with those agencies.

1. The Division does not have the jurisdiction to determine the validity of the matter, whether the requirements are fulfilled or the amount of any liability, tax, penalty, fine, interest assessment as these issues can only be addressed by their respective agencies. If the contest of the order is denied or dismissed, the suspension, revocation, refuse to renew or reinstate, or denial of licensure shall become effective.

2. For workers' compensation orders, no license or application shall be suspended, revoked, or denied until after the licensee or applicant is afforded any due process protection provided by statute or rule under the Illinois Workers' Compensation Commission or Illinois Department of Insurance. [20 ILCS 2105/2105-15(g-5)]

h) The Division shall restore or renew the license of a licensee that was suspended or refused renewal, or issue the license of an applicant that was denied issuance pursuant to a tax order in this Section, if the licensee or applicant has provided proof of a satisfactory repayment record with the Illinois Department of Revenue and if all other requirements of the Act and rules governing the profession for which the license was issued or sought have been met.

i) "Satisfactory Repayment Record" as used in this Section and in Section 2105-15(g) of DFPR Law shall mean submission of the following by the Illinois Department of Revenue to the Division:

1. Documentation from the Illinois Department of Revenue that the applicant or licensee who has been denied license issuance or renewal or whose license has been suspended based upon Section 2105-15(g) has paid in full the final assessment of any tax, penalty, or interest, as required by any tax Act administered by the Illinois Department of Revenue; or

2. Documentation from the Illinois Department of Revenue that the applicant or licensee who has been denied license issuance or renewal or whose license has been suspended based upon Section 2105-15(g) has entered into and is in compliance with a payment plan that has been accepted by the Illinois Department of Revenue.

j) The Division shall restore or renew the license of a licensee that was suspended, revoked, refused renewal or reinstatement, or issue the license of an applicant that was denied issuance pursuant to a Workers' Compensation Order in this Section, if the licensee or applicant has provided the following:

1. Documentation from the Illinois Workers' Compensation Commission or the Illinois Department of Insurance that the licensee or applicant's failure to comply with subsections (a) and (b) of Section 4 of the Workers' Compensation Act has been corrected or resolved to the agency's satisfaction; and

2. Compliance with all other requirements of the Act and rules governing the profession for which the license was issued or sought.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.130 Discovery

a) Discovery shall not be the subject of motions presented to the Administrative Law Judge, except when a motion is made alleging failure to comply with this provision and requesting appropriate relief.

b) By order of the Administrative Law Judge, any party shall be entitled to:

1. The name and address of any witness who may be called to testify, including identification of any witness to be offered as an expert;

2. Copies of any document that may be offered as evidence;

3. A description of any other evidence that may be offered;

4. Evidence in the Division's possession that tends to support the Petitioner or Respondent's position or to demonstrate a potential conflict of interest of a Department's witness; and

5. Copies of any Division investigative report created for the case.

c) The information listed in subsection (b) shall be provided as determined by an ALJ.

d) Upon a written request served on the Respondent, at any time after a Complaint, Notice of Intent to Deny, or Notice of Intent to Refuse to Renew is filed, or at any stage of the hearing, the Respondent will be required to produce documents, books, records or other evidence that relate directly to conduct of the trade, occupation or profession.

e) Nothing in this Section shall prevent the parties in a contested case from agreeing to a mutual exchange of information that is more extensive than what is provided for in this Section.

f) This provision will be construed to impose a continuing obligation upon the parties to exchange new information as it becomes available.

g) No depositions will be taken, interrogatories, or other discovery mechanism used without the mutual agreement of the parties.

h) Service of notice upon a party of the Division's intention to take testimony at a formal hearing is sufficient to require the party's attendance at the formal hearing.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.140 Subpoenas

a) Upon request by the Respondent or Petitioner, the Chief Administrative Law Judge, or another Administrative Law Judge designated by the Chief, will issue subpoenas for the attendance of witnesses or production of books, records, documents, or other evidence.

b) Any Respondent or Petitioner seeking issuance of a subpoena shall submit a request in writing to the Chief Administrative Law Judge and notify the assigned Department prosecutor of the request.

1. The request shall set forth facts to demonstrate that the documents or testimony sought are relevant to the issues contained in the Complaint, Notice of Intent to Deny, Notice of Intent to Refuse to Renew, or Petition pending before the Division and are not otherwise excludable by law or by rule.

2. A request for subpoena may be denied if insufficient information is provided in the request to make such a determination.

3. If the opposing party objects to any component of the subpoena request, a written response specifying the objections shall be filed within seven days after the date the subpoena request was filed.

4. Upon refusal by an Administrative Law Judge to issue any subpoena, the Respondent or Petitioner will be entitled to a hearing before another Administrative Law Judge, to be conducted as a matter of record. The Respondent or Petitioner shall be responsible for the court reporter's attendance.

c) Except for Division investigators, examiners, and profession coordinators who participated in the investigation of the case, the Chief Administrative Law Judge shall not generally issue subpoenas for the testimony of Department or Division officers or employees or members of any Division Board.

d) Service of subpoenas and payment of witness fees and expenses shall be as provided in Section 2105-105 of the DFPR Law.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.150 Prehearings

a) After a case is instituted, upon the written motion of any party, or on the Administrative Law Judge's own motion, the ALJ may direct the parties to attend a prehearing.

b) Upon the request of any party, the prehearing will be conducted as a matter of record. Participation by any Board member or an ALJ will not affect the right to participate in a subsequent hearing on the matter. The requesting party shall be responsible for the court reporter's attendance and costs.

c) The Respondent shall be required to attend the prehearing unless all parties agree to a waiver of appearance. If the Respondent is unable to attend or does not appear for good cause, the ALJ shall determine the hearing schedule at that time.

d) The purposes of the prehearing include:

1. Simplification of issues;

2. Limitation of issues;

3. Negotiating admissions or stipulations;

4. Limitation of witnesses;

5. Exchange of exhibits;

6. Discussion of any other matter that may aid in efficient disposition of the case; or

7. Agreed dispositions.

e) The parties shall be fully prepared to participate in a prehearing, which shall include:

1. Presentation of any prehearing motions;

2. Witness and exhibit lists that list only those witnesses the party in good faith intends to call;

3. Disclosure of expert witnesses;

4. Any other materials directed by an ALJ;

5. Requests for interpretive assistance;

6. Possible agreed disposition; and

7. Mode of formal hearing.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.155 Remote Proceedings

a) Preliminary hearings may be conducted remotely, either by teleconference or videoconference, provided that the Notice of Preliminary Hearing includes notice that the preliminary hearing will be conducted remotely and includes instructions for accessing the teleconference or videoconference system at the date and time set forth in the Notice of Preliminary Hearing.

b) By order of the Administrative Law Judge, any status hearing or prehearing may be conducted remotely, either by teleconference or videoconference. The parties shall be provided instructions for accessing the teleconference or videoconference system for the date and time of the scheduled status hearing or prehearing.

c) Upon motion of any party, or during the course of a prehearing, the ALJ may determine whether the pending matter may be suitable for a formal hearing by teleconference or videoconference, in whole or in part, as an alternative to in-person proceedings.

d) The parties may agree that the formal hearing will be conducted in its entirety by teleconference or videoconference or that a part or parts of the formal hearing will be conducted by teleconference or videoconference, including the testimony of a particular witness or witnesses. These agreements are subject to the approval of the ALJ by entry of an order.

e) In the absence of any such agreement of the parties, the ALJ may determine whether the formal hearing will be conducted in its entirety by teleconference or videoconference or that a part or parts of the formal hearing will be conducted by teleconference or videoconference, including the testimony of a particular witness or witnesses, or whether the proceedings or any part of the proceedings shall remain in-person. This determination shall be made by order of the ALJ. In making this determination, the ALJ may consider factors including, but not limited to, the following:

1. Preference of the parties;

2. Capabilities of participants to participate via video or telephone;

3. Whether the selected method is accessible for persons with health risks or disabilities;

4. Whether the participants have access to the internet;

5. Number of witnesses;

6. Volume of documents offered as exhibits;

7. Complexity of the Complaint or Petition;

8. Expected duration of the formal hearing;

9. Extent to which the credibility of any witness will be at issue;

10. Extent to which exhibits will be used to examine any witness; and

11. Any other consideration, such as undue hardship, that will impede or aid in the fair and efficient administration of the formal hearing process.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.160 Hearings

All contested cases shall proceed as follows:

a) Preliminary Hearing. The purpose is to set a date on which all parties expect to be prepared to proceed with their cases, and to rule on any preliminary motions that are presented.

b) Prehearings – Optional. The purposes are set forth in Section 1110.150.

c) Formal Hearings

1. Preliminary Matters – Motions, attempts to narrow issues or limit evidence.

2. Opening Statements – The party bearing the burden of proof proceeds first.

3. Case in Chief – Evidence is presented by the party bearing the burden of proof. Once a witness' direct testimony is completed, that witness is subject to cross-examination.

4. Defense – Evidence may be presented by the opposing party.

5. Closing Statements – The party bearing the burden of proof proceeds first, then the opposing party, then a final word by the party bearing the burden of proof.

d) In hearings for the sole purpose of determining the length of the automatic suspension of the licensee's license upon conviction or entry of a plea of guilty or nolo contendere in a criminal prosecution to a criminal health care or criminal insurance fraud offense requiring intent under Section 2105-170 of DFPR Law, the licensee shall proceed first in opening statements and closing statements and shall present evidence in the case in chief.

e) A self-represented litigant, a witness, or a litigant who is an indigent person has the right to request and receive interpretive assistance to participate in or understand a hearing before an Administrative Law Judge at any time during the course of proceedings in compliance with Section 1110.45 and the Illinois Administrative Procedure Act.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.170 Administrative Law Judges

a) In any contested case, the Director shall appoint and employ an attorney, licensed to practice in Illinois, to serve as Administrative Law Judge on behalf of the Board. The Director may also appoint and employ an attorney, licensed to practice in Illinois, to serve as ALJ to conduct any hearing in the Board's stead. The ALJ shall be empowered to conduct the hearing, question witnesses, make rulings on motions and objections, and submit Findings of Fact, Conclusions of Law, and the ALJ's recommendation to the Board or Director at the conclusion of the case.

b) It shall not be a bar to employment as an Administrative Law Judge that the attorney is also a Department employee.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.175 Disqualification of Administrative Law Judge

a) An Administrative Law Judge may, on their own motion, recuse themself from presiding over a matter due to conflict of interest or bias.

b) At any time prior to the issuance of the Administrative Law Judge's final decision or recommendation, a party may file a motion to disqualify the ALJ for bias or conflict of interest. An adverse ruling made by an ALJ, in and of itself, shall not constitute bias or conflict of interest. The motion shall set forth the alleged grounds of bias or conflict of interest and shall include supporting affidavits. A different ALJ shall have seven days after the motion was filed to enter a written ruling, which shall be served on all parties. An adverse ruling or rulings rendered against the party or its representative in any previous or current matter shall not, in and of themselves, constitute sufficient grounds for disqualification under this Section.

c) If the motion to disqualify is denied, the moving party may request the decision be reviewed by the Director.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1110 Rules of Practice in Administrative Hearings

68 Ill. Adm. Code 1110.180 Examination by the Board or Administrative Law Judge

a) Any member of any Board, or any Administrative Law Judge, may examine any witness.

b) Either party may object to specific questions asked by the Board member or ALJ.

History

• Source: Amended at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.190 Burden of Proof

a) The burden of proof rests with the Division in all cases instituted by the Division by the filing of a Complaint or Notice of Intent to Refuse to Renew. A recommendation for discipline may be made by the Administrative Law Judge only when the Division establishes by clear and convincing evidence that the allegations of the Complaint or Notice are true.

b) The burden of proof in all cases instituted by the filing of a Petition for Hearing rests with the Petitioner except as provided in this Section. A Petitioner seeking restoration from discipline must prove by a preponderance of the evidence that the license should be restored.

c) An action may be commenced by the Division by the filing of a Notice of Intent to Deny issuance of a license or other credential.

1. If the Notice of Intent to Deny alleges that the applicant has violated a disciplinary provision of the applicable professional Act, the Division has the burden of proof to prove by clear and convincing evidence that the alleged violation occurred. Upon the Division meeting this burden of proof, the Applicant then has the burden to prove by a preponderance of the evidence that the license or other credential should be granted. In any contested case in which the Notice of Intent to Deny alleges that the applicant has violated a disciplinary provision of the applicable professional Act, the sequence of the formal hearing shall be as if the Division has the burden of proof. This provision does not apply in any situation in which the relevant statute provides that no hearing shall be held.

2. If the Notice of Intent to Deny notifies the applicant that the applicant does not meet the minimum qualifications for a license or other credential and does not otherwise allege applicant has violated a disciplinary provision of the applicable professional Act, the applicant upon a request for hearing, has the burden of proof to prove by a preponderance of the evidence that the qualifications have been met. This provision does not apply in any situation in which the relevant statute provides that no hearing shall be held.

3. Upon a finding that the applicant was previously convicted of a felony or misdemeanor that may be grounds for refusing to issue a license or certification or to grant registration, the Administrative Law Judge or Board making a recommendation regarding a Notice of Intent to Deny shall consider the mitigating factors and evidence of rehabilitation contained in the applicant's record, when allowed by the DFPR Law, to determine whether a prior conviction will impair the ability of the applicant to engage in the practice for which a license, certificate or registration is sought.

4. Upon review of a previous conviction of an initial applicant for the purpose of determining good moral character, the ALJ or Board making a recommendation regarding a Notice of Intent to Deny shall consider evidence of rehabilitation and mitigating factors in the applicant's record, when allowed by the DFPR Law.

d) Except as otherwise provided in this Section, a case instituted by the filing of a Notice to Refuse to Renew shall be handled in the same manner as a Complaint.

e) The burden of proof rests with the Division to prove by clear and convincing evidence that the alleged violation has occurred when a licensee files a Request for Hearing after the licensee has been subject to an automatic suspension or other discipline due to a violation of a term of a previous Director's order or consent order.

f) No burden of proof applies in hearings conducted for the sole purpose of determining the length of an automatic indefinite suspension imposed pursuant to Section 2105-170 of the DFPR Law.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.200 Documents

a) Business records shall be admissible. A business record is:

1. Relevant;

2. A memorandum, report, record or data compilation;

3. Made by a person with first-hand knowledge of the facts or from information transmitted by a person with knowledge of those matters;

4. Made at or near the time of the facts;

5. Made as part of the regular practice of the activity; and

6. Kept in the course of regularly conducted activity.

b) Any party may prove subsections (a)(3) through (a)(6) by presentation of a sworn statement by an individual responsible for making or keeping those records. Business records include but are not limited to medical reports, Illinois Department of Public Health or Department of Human Services records, and police reports. A hearsay statement within a business record will be admitted for the truth of the matter asserted if it is subject to a hearsay exception or otherwise would be admissible in civil cases in the circuit courts of this State, or if it is a type of evidence commonly relied upon by reasonably prudent persons in the conduct of their affairs. The ALJ may apply less evidentiary weight to statements not subject to cross examination.

c) Any party seeking introduction of a document will be allowed to offer a mechanical reproduction or photocopy of the original without any showing that the original is unavailable, upon representation of the party or attorney that the copy is a fair and accurate copy of the original.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.210 Motions

a) Motions will be made in writing, unless otherwise allowed by the Administrative Law Judge prior to or during the course of a hearing. Written motions are limited to the following:

1. To request dismissal of a Complaint for failure to state facts that, if true, would form a sufficient basis for discipline.

2. To request sanctions in accordance with Section 1110.90 (Representation).

3. To request sanctions in accordance with Section 1110.130 (Discovery).

4. To request dismissal of a Petition for Restoration or Request for Hearing, for failure to comply with Section 1110.30.

5. To request dismissal of a Complaint, Notice of Intent to Deny, or Notice of Intent to Refuse to Renew when the Division's case has been concluded without sufficient evidence having been presented to form a basis for discipline. This motion may be made orally upon the Division resting its case.

6. To request a continuance or extension of time to comply with any provision of this Part consistent with the expedited nature of administrative hearings.

7. To request that a member of the Board be excluded from the hearing or deliberations, for prejudice.

8. To request that an Order entered by the ALJ be vacated or modified.

9. To request a prehearing.

10. To request separation of cases joined by the Division.

11. To request disqualification of an ALJ in accordance with Section 1110.175.

12. To request a protective order to prevent exposure in the public domain of records or other information that is of a sensitive or confidential nature.

13. To request that a Notice to Plead or Be Held in Default be issued upon failure to file an Answer or other responsive pleading in accordance with Section 1110.120(c).

14. To compel discovery.

15. To request that proposed evidence be allowed or prohibited (Motion in Limine).

16. To dismiss a petition for hearing by a licensee or applicant subject to an automatic suspension or other discipline due to a violation of a term of a previous Director's order or consent order when that petition does not conform to the requirements of the Director's order or consent order.

b) Any motion not enumerated above shall be stricken by the ALJ for failing to conform to the Administrative Hearing Rules.

c) When any motion is filed, the ALJ may allow oral argument if this is deemed necessary for a fuller understanding of the issues presented. When facts that are not part of the record in the case are alleged as a basis for the request, an affidavit will be attached to the motion setting forth those facts. Facts outside of the Complaint cannot be used to support a motion to dismiss for failure to state facts that, if true, would form a sufficient basis for discipline.

d) Motions and any responses or replies shall be filed in accordance with Section 1110.50 with copies to the ALJ and other parties or their counsel. Unless otherwise directed by an ALJ, a party shall have 20 days from the date of service to respond to a motion and 10 days from date of service to reply to a response.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.220 Evidence

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. Evidence not admissible under those rules of evidence may be admitted, however, except when precluded by statute, if it is of a type commonly relied upon by 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. [5 ILCS 100/10-40(a)]

b) Testimony shall be taken only on oath or affirmation. Subject to the evidentiary requirements of this Section, a party may conduct cross-examination required for a full and fair disclosure of the facts. [5 ILCS 100/10-40(b)]

c) All exhibits for any party shall be clearly marked for identification. A sufficient number of copies shall be made prior to the commencement of the hearing and when admitted into evidence by the ALJ.

d) Official notice may be taken of past hearings and of any matter of which the Circuit Courts of Illinois may take judicial notice. In addition, official notice may be taken of generally recognized technical or scientific facts within the Division'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 staff memoranda and data, and they shall be afforded an opportunity to contest the material so noticed. The Division's and the ALJ's experience, technical competence, and specialized knowledge may be utilized in the evaluation of the evidence.

e) If a licensee or applicant appears for a hearing and refuses to testify on the grounds that any answer may tend to incriminate the licensee or applicant, the ALJ may take an adverse inference from the refusal to testify and shall consider the adverse inference in addition to other evidence. If a licensee or applicant appears and refuses to testify without asserting the right against self-incrimination, the ALJ shall enter any appropriate order as is required by the evidence and this Part.

f) The ALJ may, on the ALJ's own initiative or at the request of any party or witness, enter a protective order to prevent exposure in the public domain of records or other information that is of a sensitive or confidential nature.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.230 Adverse Witness

a) Any party or witness may be called as an adverse witness. In such a case, examination of the witness will be allowed as if under cross-examination.

b) Upon showing that a witness was called in good faith, and that the party calling the witness is surprised by the testimony, examination of the witness may proceed as if under cross-examination, and the testimony of the witness may be impeached by prior statements, or otherwise.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

68 Ill. Adm. Code 1110.240 Administrative Law Judge and Board Reports and Orders of the Director

a) In every contested case, except for defaults, the Administrative Law Judge will file a written Report and Recommendation that contains Findings of Fact and Conclusions of Law with respect to the allegations contained in the Complaint, Notice of Intent to Deny, Notice of Intent to Refuse to Renew, Petition for Restoration or Request for Hearing, unless the parties reach an agreed disposition.

b) When the recommendation is for discipline, the ALJ will include specific recommendation as to type and duration.

c) If the ALJ's Report is made to a Board, the Board shall review the Report and the record and issue its own Report adopting, rejecting or modifying the Findings of Fact, Conclusions of Law and/or Recommendation and making any other recommendation it deems appropriate to the Director.

d) After the Board or ALJ forwards the report to the Director, all parties will receive "Twenty Day Notice" with a copy of the report. Within 20 days after the Notice is sent, either party may request that a rehearing, or additional hearings, be ordered by the Director. A rehearing shall be ordered by the Director when the Director determines that substantial justice has not been done.

e) When a rehearing or additional hearings are requested, the request shall be in the form of a motion and shall state with specificity the reasons for the request. If it is alleged that new evidence is available that was not available at the time of the hearing, the affidavit shall describe the new evidence and reasons why it was not available for use at the hearing. The Division may file a response, which shall be filed within 20 days, and, if it does so, the opposing party may reply, which shall be filed within 10 days.

f) After a motion for rehearing has been filed and a response and reply has been filed or the time therefore has passed, the Director shall enter an order ruling on any motion for rehearing. If the motion is denied, the Director, in the same order, shall further adopt, reject or modify the Findings of Fact and Conclusions of Law of the ALJ or the Board or both, adopt or reject the recommendation of the Board or the ALJ, and enter a decision.

g) An order of the Director granting a rehearing is not a final order as defined by the Administrative Review Law [735 ILCS 5/Art. III]. An Order of the Director denying a motion for rehearing and entering a decision on the merits of the case is a final order as defined by the Administrative Review Law and is subject to judicial review.

h) The Director will not consider motions to reconsider or modify a decision made or order entered. The proper avenue of relief is to file a complaint under the Administrative Review Law

i) Whenever the Director enters a final order under this Section pertaining to a person licensed under the Real Estate License Act of 2000, the order shall also be served upon the person's managing broker and sponsoring broker.

j) An order imposing a summary or temporary suspension entered simultaneously with the filing of a Complaint shall remain in effect until a final order is entered on the merits of the Complaint. A final order imposing discipline shall terminate the summary or temporary suspension and supersede the order imposing the summary or temporary suspension. If a final order finds no violation of the applicable Act or dismisses the Complaint or if the Department withdraws its Complaint, the order imposing a summary or temporary suspension shall be vacated.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1110 Rules of Practice in Administrative Hearings

68 Ill. Adm. Code 1110.245 Privacy

a) Any party may use initials or other identifiers to refer to any patient, client, alleged victim, or minor in any filing in place of that person's name. The party so doing shall provide to the opposing party and that party's counsel and to the Administrative Law Judge a document identifying by name that person. This document is deemed confidential under Section 2105-117 of the DFPR Law. The document shall not be a part of the official record of the proceeding and shall not be subject to disclosure to any non-parties or subject to disclosure under the Freedom of Information Act [5 ILCS 140].

b) The ALJ or Director may seal from public view any portion of an ALJ's or Board's Findings of Fact, Conclusions of Law, and Recommendation or Director's Order that discloses protected health care information or other private information that is protected under federal or State law. Any portion so sealed shall not be subject to disclosure to any non-parties or subject to disclosure under the Freedom of Information Act.

History

• Source: Added at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.246 Record of Hearings

a) The record of the hearing in a contested case shall include:

1. All pleadings presented before the Administrative Law Judge (including the Complaint, Notice of Intent to Deny, Notice of Intent to Refuse to Renew, Answer, Petition, all prehearing and hearing notices, and responses, admissions, stipulations of fact, motions and rulings on these issuances);

2. All documentary evidence;

3. A transcript of the proceedings;

4. The Findings of Fact, Conclusions of Law, and Recommendation of the ALJ;

5. The Findings of Fact, Conclusions of Law, and Recommendation of the Board;

6. Any motions and responses filed pursuant to the Twenty Day Notice; and

7. The Order of the Director, which shall constitute a final administrative decision within the provisions of the Administrative Review Law.

b) The record shall be copied and assembled by the Division and certified by the Director upon any complaint for administrative review. The plaintiff in the administrative review shall pay the copying fee and the certification fee established in Sections 2105-115 and 2105-215 of the DFPR Law. An index of the record, with each page of the record numbered in sequence, shall be prepared by the Division.

History

• Source: Added at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.250 Severability

If any Section, subdivision, sentence or clause of this Part shall be held by a court of competent jurisdiction to be invalid, such holding shall not affect the remaining parts thereof.

68 Ill. Adm. Code 1110.270 Variances

The Director may grant variances from this Part in individual cases in which the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated.

b) No party will be injured by the granting of the variance.

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1110 Rules of Practice in Administrative Hearings

68 Ill. Adm. Code 1110.APPENDIX A Caption for a Case Filed by the Division

STATE OF ILLINOIS

DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION

DIVISION OF PROFESSIONAL REGULATION (or)

DIVISION OF REAL ESTATE

DEPARTMENT OF FINANCIAL AND

PROFESSIONAL REGULATION

)

of the State of Illinois,

Complainant

)

)

v.

)

No.

)

(Name of Respondent)

)

(License Number)

Respondent

)

COMPLAINT

or

NOTICE OF INTENT TO REFUSE TO RENEW

History

• Source: Amended at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.APPENDIX B Caption for a Petition for Restoration

STATE OF ILLINOIS

DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION

DIVISION OF PROFESSIONAL REGULATION (or)

DIVISION OF REAL ESTATE

In RE the Petition for Restoration of

)

)

No.

(Name of Petitioner)

)

(License Number)

Petitioner

)

PETITION FOR HEARING

History

• Source: Amended at 43 Ill. Reg. 9969, effective September 13, 2019

68 Ill. Adm. Code 1110.APPENDIX C Caption for an Application for Licensure

STATE OF ILLINOIS

DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION

DIVISION OF PROFESSIONAL REGULATION (or)

DIVISION OF REAL ESTATE

IN RE THE APPLICATION FOR LICENSURE OF

)

)

No.

(Name of Applicant)

Applicant

)

PETITION FOR HEARING

OR

NOTICE OF INTENT TO DENY

History

• Source: Amended at 50 Ill. Reg. 10826, effective July 13, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1120 Recording of Proceedings at Meetings and Hearings

68 Ill. Adm. Code 1120.10 Statutory Authority

This Part is promulgated pursuant to Section 2.05 of the Open Meetings Act (the Act) [5 ILCS 120].

History

• Source: Amended at 41 Ill. Reg. 976, effective January 27, 2017

68 Ill. Adm. Code 1120.20 Purpose

The purpose of these rules is to interpret and explain the "Open Meetings Act" in order to provide guidelines to promote complete understanding about the law and insure that meetings and hearings are:

a) fair to the individual involved in departmental proceedings and

b) conducted openly for the people of the State.

History

• Source: Amended at 6 Ill. Reg. 8225, effective July 1, 1982

68 Ill. Adm. Code 1120.30 Proceedings May Be Recorded

Proceedings at meetings and hearings required to be open to the public by the Act may be recorded audibly, visually, or by any other means by any person. Persons may be required to locate their cameras or other recording devices at a sufficient distance from the committee or board members as is necessary to avoid interference with the committee's or board's discussion.

History

• Source: Amended at 41 Ill. Reg. 976, effective January 27, 2017

68 Ill. Adm. Code 1120.40 Witness Refusal (repealed)

History

• Source: Repealed at 41 Ill. Reg. 976, effective January 27, 2017

68 Ill. Adm. Code 1120.50 Proper Order and Decorum

a) Members of the media like all other persons attending such hearing or meeting shall be as quiet and stationary as possible in the place where such meeting or hearing is being conducted.

b) The use of flashbulbs or similar lighting devices shall be prohibited. Artificial lights shall be permitted only during the time that filming takes place. However, no artificial lights shall be allowed if the presiding officer deems it disruptive.

c) The Department shall cooperate with the media, as much as reasonably feasible, in providing adequate space for their personnel and equipment. "Pooling" arrangements among the media necessary because of limitations of space for equipment and personnel shall be the sole responsibility of the media.

68 Ill. Adm. Code 1120.55 Public Comments

a) Pursuant to Section 2.06(g) of the Act, any person shall be permitted an opportunity to address the committee or board so long as the person's public comments:

1. preserve the decorum of the meeting;

2. are reasonably related to the committee's or board's agenda and/or scope of regulatory authority, as determined by the committee or board;

3. are limited to a reasonable period of time, not to exceed 3 minutes unless the committee or board gives permission to exceed this time limit.

b) Pursuant to Section 2.06(g) of the Act, members of the public shall provide at least 2 days notice of intent to address a committee or board, unless the committee or board diminishes or waives this notice requirement.

History

• Source: Added at 41 Ill. Reg. 976, effective January 27, 2017

68 Ill. Adm. Code 1120.60 Granting Variances

a) The Secretary may grant variances from this Part in individual cases when he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Secretary shall notify the appropriate committee or board of the granting of a variance and the reasons for that variance at the next meeting of the committee or board.

c) This Part shall not apply to Department hearings conducted by administrative law judges.

History

• Source: Amended at 41 Ill. Reg. 976, effective January 27, 2017

68 Ill. Adm. Code 1130.10 Definitions

"Address of record" means the designated address recorded by the Department in the licensee's license file as maintained by the Department's licensure maintenance unit. It is the duty of the licensee to inform the Department of any change of address, and those changes must be made either through the Department's website or by contacting the Department.

"Board" means a board or committee appointed and acting pursuant to any Act administered by the Department of Financial and Professional Regulation-Division of Professional Regulation or Division of Real Estate.

"Chaperone order" means the administrative order issued by the Director, on behalf of the Secretary, pursuant to Section 2105-165(c) of the Code [20 ILCS 2105/2105-165(c)].

"Code" means the Civil Administrative Code of Illinois (Department of Professional Regulation Law) [20 ILCS 2105].

"Conviction" means a judgment of conviction or sentence entered upon a plea of guilty or upon a verdict or finding of guilty of an offense, rendered by a legally constituted jury or by a court of competent jurisdiction authorized to try the case without a jury. If judgment is withheld, the plea, verdict, or finding of guilty is not a conviction under Illinois law unless and until judgment is entered. [720 ILCS 5/2-5]

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation or the Division of Real Estate with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation or the Division of Real Estate.

"Person" means an individual human being and not a corporate or other type of legal entity.

"Statute" means Section 2105-15 of the Code [20 ILCS 2105/2105-15].

History

• Source: Amended at 50 Ill. Reg. 8067, effective June 1, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1130 Administrative Procedures for General Professional Regulation Under the Administrative Code

68 Ill. Adm. Code 1130.20 Request for Non-Binding, Advisory Opinion (repealed)

History

• Source: Repealed at 43 Ill. Reg. 5297, effective May 10, 2019

68 Ill. Adm. Code 1130.30 Board Review (repealed)

History

• Source: Repealed at 43 Ill. Reg. 5297, effective May 10, 2019

68 Ill. Adm. Code 1130.100 Confidentiality of Records

All documents and records submitted to the Department by an individual seeking a non-binding, advisory opinion shall be deemed confidential and may not be made available to any person or public or private agency, including any requests made pursuant to the Freedom of Information Act [5 ILCS 140], except if specifically required or permitted by statute or upon specific authorization by the individual seeking a non-binding, advisory opinion. The Department shall not be required to release any documents filed or received pursuant to this Part unless the Department has obtained a written, signed release from the individual who originally requested a non-binding, advisory opinion determination from the Department; except that the Department may disclose information and documents to a federal, state or local law enforcement agency pursuant to a subpoena in an ongoing criminal investigation or to a health care licensing body of this State or another state or jurisdiction pursuant to an official request made by that licensing body.

History

• Source: Section 1130.100 renumbered from Section 1130.40 at 43 Ill. Reg. 5297, effective May 10, 2019

68 Ill. Adm. Code 1130.200 Notice of Intent to Issue Permanent Revocation Order

a) Upon determination that the license of a licensed health care worker is subject to permanent revocation pursuant to Section 2105-165(a) of the Code, the Director shall cause a Notice of Intent to Issue Permanent Revocation Order to be served on the licensee by mail or email at the licensee's address of record.

b) The Notice of Intent to Issue Permanent Revocation Order shall specify the reason for the intended action and notify the licensee that they have 20 days from the date the Notice is mailed or emailed to present to the Department a written response contesting the Department's intended action. Any written response received by the Department shall only be considered for the following reasons and shall include documentation that supports one of these three reasons:

1. The licensee has been incorrectly identified as the person with the conviction;

2. The licensee's conviction has been vacated, overturned, or reversed or a pardon has been granted; or

3. The licensee's conviction is not a disqualifying conviction.

c) After 20 days have lapsed since the issuance of the Notice of Intent to Issue Permanent Revocation Order and the Department has not received a written response from the licensee or any written response received by the Department from the licensee has not established one of the grounds provided in subsection (b), the Director shall issue an order permanently revoking the license of the licensed health care worker in accordance with Section 2105-165(a) of the Code.

History

• Source: Amended at 50 Ill. Reg. 8067, effective June 1, 2026

68 Ill. Adm. Code 1130.205 Notice of Intent to Issue Indefinite Suspension Order

a) Upon determination that the license of a licensed health care worker is subject to automatic and indefinite suspension pursuant to Section 2105-170 of the Code, the Director shall cause a Notice of Intent to Issue Indefinite Suspension Order to be served on the licensee by mail or email at the licensee's address of record.

b) The Notice of Intent to Issue Indefinite Suspension Order shall specify the reason for the intended action and notify the licensee that they have 20 days after the date the Notice is mailed or emailed to present to the Department a written response contesting the Department's intended action. Any written response received by the Department shall only be considered for the following grounds and shall include documentation that supports one of the following grounds:

1. The licensee has been incorrectly identified as the person with the conviction;

2. The licensee's conviction has been vacated, overturned, or reversed or a pardon has been granted; or

3. The licensee's conviction is not a disqualifying conviction.

c) After 20 days have lapsed since the issuance of the Notice of Intent to Issue Indefinite Suspension Order and the Department has not received a written response from the licensee or any written response received by the Department from the licensee has not established one of the grounds provided in subsection (b), the Director shall issue an order automatically and indefinitely suspending the license of the licensed health care worker in accordance with Section 2105-170 of the Code.

d) In a response to the Notice of Intent to Issue Indefinite Suspension Order, a licensee may request a hearing under 68 Ill. Adm. Code 1110 for the sole purpose of determining the length of suspension, but the hearing may be held only after the Department has issued the Indefinite Suspension Order. The Department shall schedule the requested hearing only following the issuance of the Indefinite Suspension Order.

History

• Source: Added at 50 Ill. Reg. 8067, effective June 1, 2026

68 Ill. Adm. Code 1130.210 Licensed Health Care Worker

The following licensed professionals are licensed health care workers for the purposes of Sections 2105-165 and 2105-170 of the Code and this Part:

a) Dentists and dental hygienists licensed under the Illinois Dental Practice Act [225 ILCS 25];

b) Licensed practical nurses, registered nurses and advanced practice registered nurses licensed under the Nurse Practice Act [225 ILCS 65];

c) Occupational therapists and occupational therapy assistants licensed under the Illinois Occupational Therapy Practice Act [225 ILCS 75];

d) Optometrists licensed under the Illinois Optometric Practice Act of 1987 [225 ILCS 80];

e) Pharmacists licensed under the Pharmacy Practice Act [225 ILCS 85];

f) Physical therapists and physical therapy assistants licensed under the Illinois Physical Therapy Act [225 ILCS 90];

g) Physicians, including medical doctors (M.D.), doctors of osteopathic medicine (D.O.), and chiropractic physicians (D.C.), licensed under the Medical Practice Act of 1987 [225 ILCS 60];

h) Physician assistants licensed under the Physician Assistant Practice Act of 1987 [225 ILCS 95];

i) Podiatrists licensed under the Podiatric Medical Practice Act of 1987 [225 ILCS 100];

j) Clinical psychologists licensed under the Clinical Psychologist Licensing Act [225 ILCS 15];

k) Clinical social workers and social workers licensed under the Clinical Social Work and Social Work Practice Act [225 ILCS 20];

l) Speech-language pathologists and audiologists licensed under the Illinois Speech-Language Pathology and Audiology Practice Act [225 ILCS 110];

m) Acupuncturists licensed under the Acupuncture Practice Act [225 ILCS 2];

n) Athletic trainers licensed under the Illinois Athletic Trainers Practice Act [225 ILCS 5];

o) Marriage and family therapists licensed under the Marriage and Family Therapy Licensing Act [225 ILCS 55];

p) Naprapaths licensed under the Naprapathic Practice Act [225 ILCS 63];

q) Nursing home administrators licensed under the Nursing Home Administrators Licensing and Disciplinary Act [225 ILCS 70];

r) Orthotists, prosthetists, and pedorthists licensed under the Orthotics, Prosthetics, and Pedorthics Practice Act [225 ILCS 84];

s) Respiratory care practitioners licensed under the Respiratory Care Practice Act [225 ILCS 106];

t) Professional counselors and clinical professional counselors licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act [225 ILCS 107];

u) Perfusionists licensed under the Perfusionist Practice Act [225 ILCS 125];

v) Registered surgical assistants and registered surgical technologists licensed under the Registered Surgical Assistant and Registered Surgical Technologist Title Protection Act [225 ILCS 130];

w) Genetic counselors licensed under Genetic Counselor Licensing Act [225 ILCS 135];

x) Behavior analysts and assistant behavior analysts licensed under the Behavior Analyst Licensing Act [225 ILCS 6];

y) Professional music therapists licensed under the Music Therapy Licensing and Practice Act [225 ILCS 56];

z) Certified professional midwives licensed under the Licensed Certified Professional Midwife Practice Act [225 ILCS 64]; and

aa) Any other license issued by the Department under the Acts listed in this Section and the Controlled Substance and Cannabis Nuisance Act [740 ILCS 40], except for pharmacy technicians, issued to a person subject to the Code and this Part.

History

• Source: Amended at 50 Ill. Reg. 8067, effective June 1, 2026

68 Ill. Adm. Code 1130.220 Forcible Felony

A "forcible felony", for the purposes of Section 2105-165 of the Code, is one or more of the following offenses committed in any jurisdiction. The Section numbers listed in parentheses in this Section, from the Criminal Code of 2012 [720 ILCS 5], are for guidance only and in no way limit the Department from permanent revocation or denial based upon conviction in jurisdictions other than the State of Illinois:

a) First Degree Murder (Section 9-1);

b) Intentional Homicide of an Unborn Child (Section 9-1.2);

c) Second Degree Murder (Section 9-2);

d) Voluntary Manslaughter of an Unborn Child (Section 9-2.1);

e) Drug-induced Homicide (Section 9-3.3);

f) Kidnapping (Section 10-1);

g) Aggravated Kidnaping (Section 10-2);

h) Unlawful Restraint (Section 10-3);

i) Aggravated Unlawful Restraint (Section 10-3.1);

j) Forcible Detention (Section 10-4);

k) Involuntary Servitude (Section 10-9(b));

l) Involuntary Sexual Servitude of a Minor (Section 10-9(c));

m) Trafficking in Persons (Section 10-9(d));

n) Criminal Sexual Assault (Section 11-1.20);

o) Aggravated Criminal Sexual Assault (Section 11-1.30);

p) Predatory Criminal Sexual Assault of a Child (Section 11-1.40);

q) Criminal Sexual Abuse (Section 11-1.50);

r) Aggravated Criminal Sexual Abuse (Section 11-1.60);

s) Aggravated Battery (Section 12-3.05);

t) Compelling Organization Membership of Persons (Section 12-6.5);

u) Compelling Confession or Information by Force or Threat (Section 12-7);

v) Robbery; Aggravated Robbery (Section 18-1);

w) Armed Robbery (Section 18-2);

x) Vehicular Hijacking (Section 18-3);

y) Aggravated Vehicular Hijacking (Section 18-4);

z) Home Invasion (Section 19-6);

aa) Terrorism (Section 29D-14.9);

bb) Causing a Catastrophe (Section 29D-15.1);

cc) Possession of a Deadly Substance (Section 29D-15.2);

dd) Making a Terrorist Threat (Section 29D-20);

ee) Falsely Making a Terrorist Threat (Section 29D-25);

ff) Material Support for Terrorism (Section 29D-29.9);

gg) Hindering Prosecution of Terrorism (Section 29D-35);

hh) Boarding or Attempting to Board an Aircraft with Weapon (Section 29D-35.1);

ii) Armed Violence (Section 33A-2); and

jj) Attempt (Section 8-4) of any of the above specified offenses.

History

• Source: Section 1130.220 renumbered from Section 1130.120 and amended at 43 Ill. Reg. 5297, effective May 10, 2019

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1130 Administrative Procedures for General Professional Regulation Under the Administrative Code

68 Ill. Adm. Code 1130.230 Chaperone Orders

a) Within 5 days after receiving notice from a prosecuting attorney that a licensed health care worker has been charged with any offense for which the sentence includes registration as a sex offender; a criminal battery against a patient, including any offense based on sexual conduct or sexual penetration, in the course of patient care or treatment; or a forcible felony, the Department shall forward a chaperone order to the licensed health care worker that requires the worker to immediately cease professional practice and not to resume practice with patient encounters until authorized to do so by the Department pursuant to an approved plan of compliance.

b) A licensed health care worker subject to a chaperone order pursuant to Section 2105-165(c) of the Code shall submit to the Department a written plan of compliance within 5 days after receipt of the chaperone order. The plan of compliance shall include, at a minimum, the following:

1. The number of proposed chaperones;

2. The names, mailing address, email address, telephone number and license number of each proposed chaperone;

3. The days, times, and locations where the licensed health care worker subject to a chaperone order will practice;

4. The scheduled days, hours and practice locations for each chaperone proposed to be utilized; and

5. The method to be used to document the presence of a chaperone during all patient encounters. The presence of a chaperone shall be shown by:

A) Maintaining a schedule of the dates, times and locations each chaperone works and having the designated chaperone initial or make a notation in each patient chart every time the patient is seen by the licensed health care worker subject to a chaperone order; or

B) Maintaining a chaperone log listing each patient seen by the licensed health care worker subject to a chaperone order and signed by both that health care worker and the approved chaperone after each patient encounter.

c) A proposed chaperone shall be a licensed health care worker in good standing and shall be subject to the approval of the Department.

d) The written plan of compliance shall be sent to the Department's Probation Compliance Unit at the address included in the chaperone order.

e) No licensed health care worker subject to a chaperone order shall have any patient encounters until the Department has approved the health care worker's written plan of compliance. After approval of the written plan of compliance, the licensed health care worker subject to a chaperone order shall notify the Department in writing if the licensure status of any approved chaperone changes or if a chaperone can no longer serve for any reason. A chaperone approved by the Department shall automatically become ineligible to serve as a chaperone if the chaperone's license is disciplined by the Department, expires or changes to a status that does not permit active practice. The licensed health care worker subject to a chaperone order shall provide, in writing to the Department, the name, mailing address, email address, telephone number and license number of any replacement or additional proposed chaperone, including the scheduled days, hours and practice location for any replacement or additional chaperone proposed to be utilized. No person may act as chaperone until approved by the Department. No licensed health care worker subject to a chaperone order and acting under an approved written plan of compliance shall have any patient encounters without the presence of an approved chaperone. Failure to comply with all requirements of the approved written plan of compliance shall be prima facie evidence of practice without a chaperone.

f) The chaperone shall provide written notice of the chaperone order, by using the form provided in Appendix A or by using the chaperone's own form that is substantially similar to the form in Appendix A, to each of the licensed health care worker's patients at the time of the patient's first visit following the effective date of the chaperone order. A copy of the notice shall be signed by the patient and the chaperone and maintained in the patient's file. The chaperone shall also provide a copy of the signed notice to the patient.

g) A pharmacist subject to a chaperone order shall not be required to include in the written plan of compliance methods of documenting the presence of a chaperone as specified in subsection (b)(5) and notice to patients as specified in subsection (f). In place of these requirements, the pharmacist shall include in the written plan of compliance that the presence of a chaperone while the pharmacist is on duty at a pharmacy shall be shown by maintaining a written schedule of the dates, times and locations each chaperone works and having the designated chaperone verify by signature their presence for the dates, times and locations stated.

h) Any health care worker subject to a chaperone order may submit a request to the Director for a waiver of any of the requirements of subsections (b) and (f) to allow for the creation of an individually tailored written plan of compliance that achieves the objectives of the Code and this Part.

i) The Department may conduct random inspections and audits to determine compliance with the chaperone order and the written plan of compliance. A licensed health care worker subject to a chaperone order and any approved chaperones shall cooperate with any inspection or audit.

j) If the Secretary finds that evidence indicates that a licensed health care worker subject to a chaperone order has failed to comply with the chaperone order, failed to file a written plan of compliance, or failed to follow the terms of the written plan of compliance, the Secretary may temporarily suspend without hearing the license of the health care worker until completion of the criminal proceedings. In instances in which the Secretary temporarily suspends a license under this Section, the health care worker may contest in writing the factual basis underlying the temporary suspension by the filing of an appropriate petition, stating with specificity the particular reasons why the temporary suspension is not warranted, within 30 days after the imposition. A hearing on the merits must be commenced within 15 days after the filing of said petition and shall be completed without appreciable delay in accordance with this Part. An "appropriate petition" is one that disputes the factual basis of the temporary suspension relating to failure to comply with a chaperone order, failure to file a written plan of compliance, or failure to follow the terms of the written plan of compliance. A petition not in compliance with the requirements of this subsection (j) is subject to a motion to strike. The Secretary shall appoint an Illinois licensed attorney to serve as hearing officer in those hearings. The hearing officer shall report his or her findings of fact, conclusions of law, and recommendation to the Secretary. The burden of proof rests with the Department in hearings conducted under this Section, and a recommendation that the license shall remain temporarily suspended shall be made by the hearing officer when the Department establishes by clear and convincing evidence that the licensed health care worker subject to a chaperone order has failed to comply with the chaperone order, failed to file a written plan of compliance, or failed to follow the terms of the written plan of compliance. No temporary suspension shall be stayed during the pendency of any hearing.

k) Any information collected by the Department to investigate compliance with the requirements of this Section shall be maintained by the Department for the confidential use of the Department and shall not be disclosed. The Department may not disclose the information to anyone other than law enforcement officials or regulatory agencies or persons who have an appropriate regulatory interest, as determined by the Secretary. The Department shall have access to any records created by any person in compliance with the requirements of this Section or with a written plan of compliance. However, except for the purposes of the Department, these records shall be accorded the same confidentiality as required by the professional licensing Act governing the particular health care worker or as otherwise provided by law.

l) In the event that a licensed health care worker subject to a chaperone order or under a temporary suspension pursuant to this Part shall be subsequently charged with any additional offenses that would independently subject the licensed health care worker to the provisions of this Part, the existing chaperone order or temporary suspension order shall remain in effect until all pending charges are resolved by the Circuit Court.

History

• Source: Amended at 48 Ill. Reg. 8762, effective June 4, 2024

68 Ill. Adm. Code 1130.300 Disciplinary Sanctions

Upon a finding by the Department that a person has committed a violation of any licensing Act administered by the Department with regard to licenses, certificates or authorities of persons exercising their respective professions, trades or occupations, the Department may revoke, suspend, refuse to renew, place on probationary status, fine, or take any other disciplinary action as authorized in any licensing Act administered by the Department with regard to those licenses, certificates or authorities. When making a determination of the appropriate disciplinary sanction to be imposed, the Department shall consider, but is not limited to, the following factors in aggravation and mitigation:

a) Factors in Aggravation

1. The seriousness of the offenses;

2. The presence of multiple offenses;

3. Prior disciplinary history, including actions taken by other agencies in this State or by other states or jurisdictions, hospitals, healthcare facilities, residency programs, employers, insurance providers, or any of the armed forces of the United States or any state;

4. The impact of the offenses on any injured party;

5. The vulnerability of any injured party when considering such elements as, but not limited to, the injured party's age, disability or mental illness;

6. The motive for the offense;

7. The lack of contrition for the offenses;

8. Financial gain as a result of committing the offenses; and

9. The lack of cooperation with the Department or other investigative authorities.

b) Factors in Mitigation

1. The lack of prior disciplinary action by the Department or by other agencies in this State or by other states or jurisdictions, hospitals, healthcare facilities, residency programs, employers, insurance providers, or any of the armed forces of the United States or any state;

2. Contrition for the offenses;

3. Cooperation with the Department or other investigative authorities;

4. Restitution to injured parties;

5. Self-reporting of the misconduct; and

6. Any voluntary remedial actions taken.

c) The Division shall not renew a license if the licensee has an unpaid fine from a disciplinary matter or an unpaid fee from a non-disciplinary action imposed by the Division until the fine or fee is paid to the Division or the licensee has entered into a payment plan and is current on the required payments.

d) The Division shall not issue a license if the applicant has an unpaid fine imposed by the Division for unlicensed practice until the fine is paid to the Division or the applicant has entered into a payment plan and is current on the required payments.

History

• Source: Section 1130.300 renumbered from Section 1130.200 and amended at 43 Ill. Reg. 5297, effective May 10, 2019

68 Ill. Adm. Code 1130.400 Sexual Harassment Prevention Training

a) All persons who hold a professional license issued by the Division and are subject to a continuing education requirement shall complete a one-hour course in sexual harassment prevention training. A licensee may count this one hour for completion of this course towards meeting the minimum credit hours required for continuing education. A licensee who holds multiple licenses issued by the Division may count this one hour for completion of this course towards meeting the minimum credit hours required for continuing education for each professional license without having to repeat the course for each license.

b) The sexual harassment prevention training course may only be provided by the following persons or entities:

1. a Division-approved continuing education provider for any profession licensed by the Division;

2. an entity that is recognized as a continuing education provider under any licensing Act administered by the Division or its rules for any profession licensed by the Division;

3. a State of Illinois agency;

4. an Illinois county agency;

5. an Illinois municipality;

6. a federal agency;

7. an accredited community college, college, or university; or

8. a licensed health care institution, such as a hospital or nursing home, for its own employees and associates.

c) Notwithstanding subsection (b), a licensee completing a course on sexual harassment prevention developed or offered by the Illinois Department of Human Rights or offered by the licensee's employer that complies with the minimum training requirements articulated in the Illinois Human Rights Act [775 ILCS 5] may count that course toward the one-hour requirement under this Section.

d) The sexual harassment prevention training course shall comply with Section 2-109 of the Illinois Human Rights Act and include, at a minimum, the following topics:

1. an explanation of sexual harassment consistent with the Illinois Human Rights Act;

2. examples of conduct that constitutes unlawful sexual harassment;

3. a summary of relevant federal and State statutory provisions concerning sexual harassment, including remedies available to victims of sexual harassment; and

4. a summary of responsibilities of employers in the prevention, investigation, and corrective measures of sexual harassment.

e) The course shall be presented in a classroom setting, a webinar, or online.

f) Course providers shall be subject to all other continuing education requirements for each profession.

g) Completion of this course shall be a condition of renewing a license. This course must be repeated for each subsequent renewal period.

History

• Source: Amended at 50 Ill. Reg. 8067, effective June 1, 2026

68 Ill. Adm. Code 1130.500 Implicit Bias Awareness Training

a) All health care professionals who hold a professional license listed in this Section shall complete a one-hour course in implicit bias awareness training. Implicit bias is a form of bias that occurs automatically and unintentionally, that nevertheless affects judgments, decisions, and behaviors. A licensee may count this one hour for completion of this course towards meeting the minimum credit hours required for continuing education. A licensee who holds multiple licenses subject to this requirement may count this one hour for completion of this course towards meeting the minimum credit hours required for continuing education for each professional license without having to repeat the course for each license.

b) The requirement of completion of a one-hour course in implicit bias awareness training shall apply to any person who holds one or more of the following licenses:

1. Physician (medical);

2. Physician (osteopathic);

3. Chiropractic physician;

4. Advanced practice registered nurse;

5. Registered nurse;

6. Licensed practical nurse;

7. Clinical psychologist;

8. Dentist;

9. Dental hygienist;

10. Optometrist;

11. Pharmacist;

12. Registered certified pharmacy technician;

13. Physical therapist;

14. Physical therapist assistant;

15. Physician assistant;

16. Acupuncturist;

17. Athletic trainer

18. Clinical social worker;

19. Social worker;

20. Dietitian nutritionist;

21. Naprapath;

22. Nursing home administrator;

23. Occupational therapist;

24. Occupational therapy assistant;

25. Podiatric physician;

26. Respiratory care practitioner;

27. Clinical professional counselor;

28. Professional counselor;

29. Sex offender evaluator;

30. Sex offender treatment provider;

31. Associate sex offender provider;

32. Speech-language pathologist;

33. Speech-language pathology assistant;

34. Audiologist;

35. Perfusionist;

36. Registered surgical assistant;

37. Registered surgical technologist;

38. Genetic counselor.

c) The implicit bias awareness training course may only be provided by the following persons or entities:

1. a Division-approved continuing education provider for any profession subject to the requirement of implicit bias awareness training;

2. an entity that is recognized as a continuing education provider under any licensing Act administered by the Division for professions subject to the requirements of implicit bias awareness training;

3. a State of Illinois agency;

4. an Illinois county agency;

5. an Illinois municipality;

6. a federal agency;

7. an accredited community college, college, or university; or

8. a licensed health care institution, such as a hospital or nursing home, for its own employees or associates, or an association or other organization in partnership or collaboration with a licensed health care institution.

d) Notwithstanding subsection (c), a licensee completing a course on implicit bias awareness in order to meet any other State licensure requirement, professional accreditation or certification requirement, or health care institutional practice agreement may count that course toward the one-hour requirement under this Section.

e) Notwithstanding subsection (c), a licensee completing a course on implicit bias awareness training developed or offered by the licensee's employer that complies with the minimum training requirements articulated herein may count that course toward the one-hour requirement under this Section.

f) The implicit bias awareness training course shall include, at a minimum, the following topics:

1. explanation of implicit bias; the difference between explicit and implicit biases;

2. causes of implicit bias; how they form and operate;

3. effects of implicit bias; the harms they cause; and

4. recognizing, interrupting and mitigating implicit bias.

g) The course shall be presented in a classroom setting, a webinar, or online.

h) Course providers shall be subject to all other continuing education requirements for each profession.

i) Completion of this course shall be a condition of renewing a license. This requirement shall become effective for all applicable license renewals on or after January 1, 2023. The course must be repeated for each subsequent renewal period.

History

• Source: Added at 46 Ill. Reg. 2648, effective January 28, 2022

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1130 Administrative Procedures for General Professional Regulation Under the Administrative Code

68 Ill. Adm. Code 1130.525 Cultural Competency Training

a) All health care professionals who hold a professional license listed in this Section shall complete a one-hour course in cultural competency. Cultural competency training includes development of a set of integrated attitudes, knowledge, and skills that enables a health care professional or organization to care effectively for patients from diverse cultures, groups, and communities. A licensee may count this one hour for completion of this course towards meeting the minimum credit hours required for continuing education. A licensee who holds multiple licenses subject to this requirement may count this one hour for completion of this course towards meeting the minimum credit hours for continuing education for each professional license without having to repeat the course for each license.

b) The requirement of completion of a one-hour course in cultural competency training shall apply to any person who holds one or more of the following licenses:

1. Physician (medical);

2. Physician (osteopathic);

3. Chiropractic physician;

4. Advanced practice registered nurse;

5. Registered nurse;

6. Licensed practical nurse;

7. Clinical psychologist;

8. Optometrist;

9. Physical therapist;

10. Physical therapist assistant;

11. Pharmacist;

12. Registered certified pharmacy technician;

13. Physician assistant;

14. Clinical social worker;

15. Social Worker;

16. Nursing home administrator;

17. Occupational therapist;

18. Occupational therapy assistant;

19. Podiatric physician;

20. Respiratory care practitioner;

21. Clinical professional counselor;

22. Professional counselor;

23. Speech-language pathologist;

24. Speech-language pathology assistant;

25. Audiologist;

26. Dentist;

27. Dental hygienist;

28. Behavior analyst; and

29. Assistant behavior analyst.

c) The cultural competency training course may only be provided by the following persons or entities:

1. a Division-approved continuing education provider for any profession subject to the requirement of cultural competency training;

2. an entity that is recognized as a continuing education provider under any licensing Act administered by the Division for professions subject to the requirement of cultural competency training;

3. a State of Illinois agency;

4. an Illinois county agency;

5. an Illinois municipality;

6. a federal agency;

7. an accredited community college, college, or university; or

8. a licensed health care institution, such as a hospital or nursing home, for its own employees or associates, or an association or other organization in partnership or collaboration with a licensed health care institution.

d) Notwithstanding subsection (c), a licensee completing a course on cultural competency in order to meet any other State licensure requirement, professional accreditation or certification requirement, or health care institutional practice agreement may count that course toward the one-hour requirement under this Section.

e) The course shall be presented in a classroom setting, a webinar, or online.

f) Course providers shall be subject to all other continuing education requirements for each profession.

g) Completion of this course shall be a condition of renewing a license. This requirement shall become effective for each affected profession for the first applicable license renewal on or after January 1, 2025, at which continuing education requirements apply for that licensee. (See 20 ILCS 2105/2105-370.) The course shall be repeated once every six years. If a licensee elects to repeat the course more often, the course shall count towards meeting the minimum credit hours required for continuing education for that licensee's profession but no more than one credit hour for any one renewal period. (See 20 ILCS 2105/2105-375.)

History

• Source: Added at 48 Ill. Reg. 8762, effective June 4, 2024

68 Ill. Adm. Code 1130.550 Alzheimer's Disease and Other Dementias Training

a) All health care professionals who hold a professional license listed in this Section shall complete a one-hour course on the diagnosis, treatment, and care of individuals with Alzheimer's disease and other dementias. This training requirement only applies to health care professionals who provide health care services to and have direct patient interactions with adult populations age 26 or older in their practice. This training requirement does not apply to health care professionals whose practice is limited to persons under the age of 26. A licensee may count this one hour for completion of this course towards meeting the minimum credit hours required for continuing education. A licensee who holds multiple licenses subject to this requirement may count this one hour for completion of this course towards meeting the minimum credit hours for continuing education for each professional license without having to repeat the course for each license.

b) The requirement of completion of a one-hour course in Alzheimer's disease and other dementias shall apply to any person who holds one or more of the following licenses, subject to the limitation in subsection (a):

1. Physician (medical);

2. Physician (osteopathic);

3. Chiropractic physician;

4. Advanced practice registered nurse;

5. Registered nurse;

6. Licensed practical nurse;

7. Clinical psychologist;

8. Optometrist;

9. Physical therapist;

10. Physical therapist assistant;

11. Physician assistant;

12. Clinical social worker;

13. Social worker;

14. Nursing home administrator;

15. Occupational therapist;

16. Occupational therapy assistant;

17. Podiatric physician;

18. Respiratory care practitioner;

19. Clinical professional counselor;

20. Professional counselor;

21. Speech-language pathologist;

22. Speech-language pathology assistant; and

23. Audiologist.

c) The Alzheimer's disease and other dementias course may only be provided by the following persons or entities:

1. a Division-approved continuing education provider for any profession subject to the requirement of Alzheimer's disease and other dementias training;

2. an entity that is recognized as a continuing education provider under any licensing act administered by the Division for professions subject to the requirements of Alzheimer's disease and other dementias training;

3. a State of Illinois agency;

4. an Illinois county agency;

5. an Illinois municipality;

6. a federal agency;

7. an accredited community college, college, or university; or

8. a licensed health care institution, such as a hospital or nursing home, for its own employees or associates, or an association or other organization in partnership or collaboration with a licensed health care institution.

d) Notwithstanding subsection (c), a licensee completing a course on Alzheimer's disease and other dementias in order to meet any other State licensure requirement, professional accreditation or certification requirement, or health care institutional practice agreement may count that course toward the one-hour requirement under this Section.

e) The course shall be presented in a classroom setting, a webinar, or online.

f) Course providers shall be subject to all other continuing education requirements for each profession.

g) Completion of this course shall be a condition of renewing a license. This requirement shall be effective for each affected profession, subject to the limitation in subsection (a), for the first applicable licensed renewal on or after January 1, 2023, at which continuing education requirements apply for that licensee. (See 20 ILCS 2105/2105-365.) The course shall be repeated once every six years. If a licensee elects to complete the course more often, the course shall count towards meeting the minimum credit hours required for continuing education for that licensee's profession but no more than one credit hour for any one renewal period. (See 20 ILCS 2105/2105-375.) If a licensee whose profession is listed in subsection (b) but is not subject to the requirement to complete a course of Alzheimer's disease and other dementias elects to complete the course, the course shall count towards meeting the minimum credit hours required for continuing education for that licensee's profession but no more than one credit hour for any one renewal period.

History

• Source: Added at 48 Ill. Reg. 8762, effective June 4, 2024

68 Ill. Adm. Code 1130.600 Variances

The Director may grant variances from any provision in the administrative rules for any licensed professional Act administered by the Division on a profession-wide basis when directed by the Governor pursuant to Section 7 of the Illinois Emergency Management Agency Act [20 ILCS 3305/7] or when the Secretary has determined that there is an emergency operational need, provided that the Secretary finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No member of the public will be substantially injured by granting the variance; and

c) The administrative rule from which the variance is granted would be unreasonable or unnecessarily burdensome for the licensed profession to comply with for the duration of the emergency operational need.

History

• Source: Amended at 50 Ill. Reg. 8067, effective June 1, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter a Administrative Rules

Part 1130 Administrative Procedures for General Professional Regulation Under the Administrative Code

68 Ill. Adm. Code 1130.APPENDIX A Notice of Order Requiring Chaperone

NOTICE OF ORDER REQUIRING CHAPERONE

The Illinois Department of Financial and Professional Regulation has ordered INSERT PRACTITIONER'S NAME to have a chaperone who is a licensed health care worker present during all patient encounters pending the outcome of criminal charges against him/her. In compliance with this Order, please sign below to acknowledge that you have received a copy of this notice.

The health care worker is presumed innocent until proven guilty of the charges.

Patient:

---

Print Name

---

Signature Date

Chaperone:

---

Print Name

---

Signature Date

History

• Source: Added at 37 Ill. Reg. 1192, effective February 1, 2013

Subchapter b Professions and Occupations

Part 1140 Acupuncture Practice Act

68 Ill. Adm. Code 1140.10 Definitions

"Act" means the Acupuncture Practice Act [225 ILCS 2].

"ACAOM" means the Accreditation Commission for Acupuncture and Oriental Medicine, which is a U.S. Department of Education recognized body that accredits educational programs in the fields of acupuncture and oriental medicine.

"Acupuncturist" means a person licensed under the Acupuncture Practice Act to practice acupuncture as defined in that Act.

"Board" means the Board of Acupuncture.

"CCAOM" means the Council of Colleges of Acupuncture and Oriental Medicine.

"CE" means continuing education.

"CNT Course" means a clean needle technique course as administered by CCAOM.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"NCCAOM" means the National Certification Commission for Acupuncture and Oriental Medicine, which certifies Diplomates of Acupuncture and Diplomates of Oriental Medicine.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.20 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for a license as an acupuncturist is $500.

2. The fee for application as a continuing education sponsor is $250.

b) Renewal Fees

1. The fee for the renewal of an acupuncturist license shall be calculated at the rate of $250 per year.

2. The fee for the renewal of continuing education sponsor approval is $250 for a 2-year license.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees, not to exceed $1,000.

2. The fee for the certification of a license for any purpose is $20.

3. The fee for a roster of persons licensed as acupuncturists in this State shall be the actual cost of producing such a roster.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.30 Application for Licensure

a) An applicant for licensure as an acupuncturist shall file an application with the Division that includes the following:

1. Acupuncture Program

A) An official transcript certifying that the applicant has graduated from a school accredited by ACAOM or a similar accrediting body approved by Division; or

B) An official transcript certifying that the applicant has graduated from a comprehensive educational program approved by the Division in accordance with Section 1140.40;

2. For applications submitted on or before December 31, 2019, proof of passage of the NCCAOM examinations for Acupuncture with Point Location, Biomedicine, and Foundations of Oriental Medicine or a substantially equivalent examination approved by the Division;

3. For applications submitted on or after January 1, 2020, proof of status as a Diplomate of Acupuncture (3-year program) or Diplomate of Oriental Medicine (4-year program) with NCCAOM, or a substantial equivalent approved by the Division;

4. Proof of successful completion of the CNT course administered by CCAOM; and

5. The required fee specified in Section 1140.20.

b) All documents shall be submitted to the Division in English.

c) If the applicant has ever been licensed as an acupuncturist in another state, he/she shall also submit a certification from the state in which the applicant was originally licensed and in which the applicant is currently licensed, stating:

1. The time during which the applicant was licensed as an acupuncturist in that jurisdiction, including the date of the original issuance of the license;

2. A description of the examination in that jurisdiction; and

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

d) When the accuracy of any submitted documentation or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.35 Guest Instructor

a) Any person not licensed in this State to practice acupuncture who is an invited guest of a professional acupuncture association, scientific acupuncture foundation, acupuncture training program or Division approved continuing education provider may provide professional education through lectures, clinics or demonstrations as set forth in Section 20.1 of the Act.

b) Any individual providing services pursuant to this Section shall, upon written request of the Division, provide the following:

1. One of the following:

A) Current certification as an active Diplomate of Acupuncture or an active Diplomate of Oriental Medicine from NCCAOM or similar body approved by the Department; or

B) Current certification of active licensure as an acupuncturist in another state or country.

2. Certification from an acupuncture association, scientific acupuncture foundation, acupuncture training program or approved continuing education sponsor indicating:

A) That the person has received an invitation or appointment to teach acupuncture technique in conjunction with lecture, clinics or demonstrations;

B) The nature of the educational services to be provided by the applicant; and

C) The term of the invitation or contract;

3. A copy of the applicant's current curriculum vitae.

c) A guest instructor may engage in the application of acupuncture techniques in conjunction with the lecture, clinics or demonstration, but may not open an office, appoint a place to meet private patients, consult with private patients, or otherwise engage in the practice of acupuncture beyond what is required in conjunction with these lectures, clinics or demonstrations.

d) If an individual providing services under the provisions of this Section desires to remain in the State and practice or teach his/her profession, he/she must apply for and receive a license to practice acupuncture. Nothing shall prohibit individuals providing services pursuant to this Section from applying for and receiving a license to practice acupuncture in this State while providing services as allowed by this Section.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.40 Acupuncture Programs

The Division shall approve an applicant's acupuncture program if it meets the minimum criteria of subsection (a) and of either subsection (b) or (c).

a) The school from which the applicant has graduated:

1. Is legally recognized and authorized by the jurisdiction in which it is located to confer an acupuncture degree;

2. Has a faculty that comprises a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their areas of teaching from professional colleges or institutions; and

3. Maintains permanent student records that summarize the credentials for admission, attendance and grades and other records of performance.

b) For a 3-year program, the core curriculum includes a minimum of 1905 hours or its equivalent, within no less than 27 calendar months. This must be composed of at least:

1. 795 hours (or its equivalent) in theory and treatment techniques in acupuncture and related studies.

A) Topics shall include, but not be limited to, the following:

i) History of Acupuncture;

ii) Basic Theory. Topics shall include, but not be limited to, basic Yin-Yang theory, 8 principles and 5 elements; Zang (viscera) organs and Fu (bowels) organs and extraordinary organs; theory and function of channels (meridians) and collaterals; Qi, blood and body fluids; Qi tonification (supplementation) and sedation (reducing); etiology (the causes of diseases) such as 6 exogenous, 7 emotional factors and non-internal or non-external reasons; pathology;

iii) Point Location and Channel (Meridian) Theory. Topics shall include, but not be limited to, nomenclature and distribution of the 14 channels on the body surface – 12 regular channels, Ren (conception) channel and Du (governing) channel; classification of points; points study should include the method of locating the points, anatomic structures, classification of points, functions and indications, and contraindications; knowledge of the specific point categories, such as the Five Shu points, Yuan (source) points, Luo (connecting) points, Xi (cleft) points, Back-Shu points, Front-Mu points, Crossing points; knowledge of the 8 extraordinary channels and their corresponding points;

iv) Acupuncture Treatment. Topics shall include, but not be limited to, the various evaluation methods utilized in acupuncture practice, differentiation of syndromes according to 8 principles, Qi and blood, Zang-Fu organs and theory of meridians and collaterals; case review, based on history of the patient and charting; the four-examination methods; measuring and recording vital signs and symptoms, to make treatment plans and future prognosis; contraindications of treatment; indications of potential risk to the patient; the need to modify standard therapeutic approach (e.g., infants and children, pregnancy) and apparently benign presentations that may have a more serious cause (hypertension, headaches);

v) Treatment Techniques. Topics shall include, but not be limited to, needle insertion depth, duration, manipulation and withdrawal; the appearance of Qi; Moxa application, direct and indirect, etc.; other techniques (e.g., bleeding, moxibustion, cupping, Gua Sha, 7 star); tonification and sedation techniques; knowledge relating to the treatment of acute and chronic conditions, first aid, analgesia, anesthesia, and electrical stimulation; safety issues; Oriental bodywork therapy (e.g., Tui Na, Shiatsu, Amma, acupressure, etc.); contraindication for certain conditions; and

vi) Ethics and Practice Management. Topics shall include, but not be limited to, confidentiality; informed consent; HIPAA guidelines; understanding the scope of practice; recordkeeping: legal requirements, release of data; ethical and legal aspects of referring patients to another practitioner; professional conduct and appropriate interpersonal behavior; laws and regulations governing the practice of acupuncture; recognition and clarification of patient expectations; general liability insurance; legal requirements; professional liability insurance: risk management and quality assurance; building and managing a practice, including ethical and legal aspects of third party reimbursement; professional development.

B) No more than 90 hours may count towards history and ethics and practice management.

2. 660 hours (or its equivalent) in clinical training.

A) The program must assure that each student participates in a minimum of 510 hours in the supervised care of patients using acupuncture. This portion of the clinical training, conducted under the supervision of program-approved supervisors, must consist of at least 250 student-performed treatments where students conduct patient interviews, perform diagnosis and treatment planning, perform appropriate acupuncture treatments, and follow-up on patients' responses to treatment.

B) The supervised clinical practice must be an internship that provides the student training in all phases of patient care and must be conducted in a teaching clinic operated by the institution or in a clinical facility with a formal affiliation with the institution where the institution exercises academic oversight substantially equivalent to the academic oversight exercised for teaching clinics operated by the institution, where:

i) Clinical instructors' qualifications meet school requirements for clinical instruction;

ii) Regular, systematic evaluation of the clinical experience takes place; and

iii) Clinical training supervision procedures are substantially equivalent to those within the teaching clinic operated by the institution. Student interns must receive training from a variety of clinical faculty in order to ensure that interns are exposed to different practice styles and instructional methods.

C) The program must assure that each student acquires a minimum of 150 hours in observation.

3. 450 hours (or its equivalent) in biomedical clinical sciences.

A) Biomedical Clinical Sciences. Topics shall include, but not be limited to, basic science courses; biomedical and clinical concepts and terms; human anatomy and physiology; pathology and the biomedical disease model; pharmacology; the nature of the biomedical clinical process, including history taking, diagnosis, treatment and follow-up; the clinical relevance of laboratory and diagnostic tests and procedures, as well as biomedical physical examination findings; the basis and need for referral and/or consultation; the range of biomedical referral resources and the modalities they employ; and

B) Clean Needle Technique. Topics shall include infectious diseases, sterilization procedures, needle handling and disposal, and other issues relevant to bloodborne and surface pathogens.

c) For a 4-year program, the core curriculum includes a minimum of 2625 hours, or its equivalent, within no less than 36 calendar months. This must be composed of at least:

1. 795 hours (or its equivalent) in theory and treatment techniques in acupuncture and related studies.

A) Topics shall include, but not be limited to, the following:

i) History of Acupuncture;

ii) Basic Theory. Topics shall include, but not be limited to, basic Yin-Yang theory, 8 principles and 5 elements; Zang (viscera) organs and Fu (bowels) organs and extraordinary organs; theory and function of channels (meridians) and collaterals; Qi, blood and body fluids; Qi tonification (supplementation) and sedation (reducing), etiology (the causes of diseases) such as 6 exogenous, 7 emotional factors and non-internal or non-external reasons; pathology;

iii) Point Location and Channel (Meridian) Theory. Topics shall include, but not be limited to, nomenclature and distribution of the 14 channels on the body surface – 12 regular channels, Ren (conception) channel and Du (governing) channel; classification of points; points study should include the method of locating the points, anatomic structures, classification of points, functions and indications, and contraindications; knowledge of the specific point categories, such as the Five Shu points, Yuan (source) points, Luo (connecting) points, Xi (cleft) points, Back-Shu points, Front-Mu points, Crossing points; knowledge of the 8 extraordinary channels and their corresponding points;

iv) Acupuncture Treatment. Topics shall include, but not be limited to, the various evaluation methods utilized in acupuncture practice, differentiation of syndromes according to 8 principles, Qi and blood, Zang-Fu organs and theory of meridians and collaterals; case review, based on history of the patient and charting; the four-examination methods; measuring and recording vital signs and symptoms, to make treatment plans and future prognosis; contraindications of treatment; indications of potential risk to the patient; the need to modify standard therapeutic approach (e.g., infants and children, pregnancy) and apparently benign presentations that may have a more serious cause (hypertension, headaches);

v) Treatment Techniques. Topics shall include, but not be limited to, needle insertion depth, duration, manipulation and withdrawal; the appearance of Qi; Moxa application, direct and indirect, etc.; other techniques (e.g., bleeding, moxibustion, cupping, Gua Sha, 7 star); tonification and sedation techniques; knowledge relating to the treatment of acute and chronic conditions, first aid, analgesia, anesthesia, and electrical stimulation; safety issues; Oriental bodywork therapy (e.g., Tui Na, Shiatsu, Amma, acupressure, etc.); contraindication for certain conditions; and

vi) Ethics and Practice Management. Topics shall include, but not be limited to, confidentiality; informed consent; HIPAA guidelines; understanding the scope of practice; recordkeeping: legal requirements, release of data; ethical and legal aspects of referring patients to another practitioner; professional conduct and appropriate interpersonal behavior; laws and regulations governing the practice of acupuncture; recognition and clarification of patient expectations; general liability insurance; legal requirements; professional liability insurance: risk management and quality assurance; building and managing a practice, including ethical and legal aspects of third party reimbursement; professional development.

B) No more than 90 hours may count towards history and ethics and practice management.

2. 450 hours (or its equivalent) in didactic Oriental herbal studies.

A) Topics shall include, but not be limited to:

i) Introduction to Oriental herbal medicine, development of herbal medical systems throughout the Orient, history of the development of Oriental herbal medicine in the USA, and legal and ethical considerations of herbal medicine;

ii) Basic Herbal Medicine Theory. Topics shall include, but not be limited to, plant-part terminology and significance to usage; herbal properties (e.g., concepts of herbal categories, taste, temperature, entering meridians); methods of preparation (i.e., dried, honey baked); methods of delivery (e.g., decoction, topical, timing); laws of combining, including common contraindications, prohibitions, precautions; methods of treatment (i.e., induce sweat, clearing, harmonize);

iii) Oriental Diagnostic and Treatment Paradigms. Topics shall include, but not be limited to, herbal medicine within the context of Shan Han/6 stages; Wen Bing/4 levels; Zang Fu; Chinese Internal and External Medicine;

iv) Herbal Strategies. Topics shall include, but are not limited to, methods and systems for planning, carrying out and evaluating a treatment; differentiation and modifications of herbal formula for various patterns of disharmony according to Chinese medical principles; Chinese herbal medicine protocols applied to patients with a biomedical diagnosis;

v) Materia Medica. Includes instruction in a minimum of 300 different herbs with topics including, but not limited to, functions and meaning; visual identification, including differing methods of cutting; temperature, taste and entering meridians; taxonomy and nomenclature; introduction to Chinese names of herbs; functions and actions with a focus on classical and new developments; specific contraindications for each herb; applications of herbal dosages; current developments in individual herb research; endangered species and substitutions for them;

vi) Herbal Formulas. Includes instruction in a minimum of 150 formulas with topics including, but not limited to, traditional formula categories, functions and meanings; meanings of the traditional Chinese formula names; functions and actions with a focus on classical and new developments; specific contraindications for each formula; current development in formula research; composition and proportion of individual herbs in each formula; major modifications of formulations; patient education regarding administration, potential side effects, preparation and storage of formulas; prepared herbal formulations focusing on modifications and format of delivery;

vii) Clinical Internship and Herbal Dispensary. Topics include, but are not limited to, clinical internship in which students interview, diagnose, and write appropriate herbal formulae moving from complete supervision to independent formula development; standards of cleanliness in herbal dispensary; storage of herbs (both raw and prepared formulas), covering issues of spoilage and bugs; practice in the filling of herbal formulas in an herbal dispensary setting; Western science for herbal medicine; botany, non-botanical and horticulture (e.g., changes in the characteristics of herbs due to environmental factors) as they pertain to herbal medicine; general principles of pharmacognosy; biochemical components of herbs and natural substances; considerations of pharmaceutical interactions with reference to current texts.

3. 870 hours (or its equivalent) in an integrated acupuncture and herbal clinical training.

A) The program must assure that each student participates in a minimum of 700 hours in the supervised care of patients using acupuncture. This portion of the clinical training, conducted under the supervision of program-approved supervisors, must consist of at least 350 student-performed treatments in which students conduct patient interviews, perform diagnosis and treatment planning, perform appropriate acupuncture treatments, and follow up on patients' responses to treatment.

B) The supervised clinical practice must be an internship that provides the student training in all phases of patient care and must be conducted in a teaching clinic operated by the institution or in a clinical facility with a formal affiliation with the institution under which the institution exercises academic oversight substantially equivalent to the academic oversight exercised for teaching clinics operated by the institution when:

i) Clinical instructors' qualifications meet school requirements for clinical instruction;

ii) Regular, systematic evaluation of the clinical experience takes place; and

iii) Clinical training supervision procedures are substantially equivalent to those within the teaching clinic operated by the institution. Student interns must receive training from a variety of clinical faculty in order to ensure that interns are exposed to different practice styles and instructional methods.

C) The program must assure that each student acquires a minimum of 150 hours in observation.

4. 510 hours (or its equivalent) in biomedical clinical sciences.

A) Biomedical Clinical Sciences. Topics shall include, but not be limited to, basic science courses; biomedical and clinical concepts and terms; human anatomy and physiology; pathology and the biomedical disease model; pharmacology; the nature of the biomedical clinical process, including history taking, diagnosis, treatment and follow-up; the clinical relevance of laboratory and diagnostic tests and procedures, as well as biomedical physical examination findings; the basis and need for referral and/or consultation; the range of biomedical referral resources and the modalities they employ; and

B) Clean Needle Technique. Topics shall include infectious diseases, sterilization procedures, needle handling and disposal, and other issues relevant to bloodborne and surface pathogens.

d) An individual who is deficient in course work may complete the required courses at a regionally accredited college or university or a school of acupuncture accredited by ACAOM. The individual will be required to submit a transcript from the program indicating successful completion of the course and a course description.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.50 Endorsement

a) An applicant who is currently licensed as an acupuncturist under the laws of another state or territory of the United States who wishes to be licensed in Illinois as an acupuncturist shall file an application with the Division, together with:

1. One of the following:

A) For applicants licensed in another state on or before December 31, 2001, proof of one of the following:

i) Successful completion of the NCCAOM comprehensive acupuncture examination or a substantially equivalent examination approved by the Division; or

ii) Current certification as an active Diplomate of Acupuncture or an active Diplomate of Oriental Medicine from NCCAOM;

B) For applicants licensed in another state after December 31, 2001, proof of:

i) Either:

• An official transcript certifying that the applicant has graduated from a school accredited by the ACAOM or a similar accrediting body approved by the Division; or

• An official transcript certifying that the applicant has graduated from a comprehensive educational program approved by the Division in accordance with Section 1140.40; and

ii) Proof of successful completion of the NCCAOM comprehensive acupuncture examination or a substantially equivalent examination approved by the Division; or

C) For applicants licensed on or after January 1, 2020 in another state, current certification as an active Diplomate of Acupuncture or Diplomate of Oriental Medicine with NCCAOM or substantially equivalent credential as approved by the Division;

2. Proof of successful completion of the CNT course as administered by CCAOM;

3. Certification from the state of original licensure and the state in which the applicant is currently licensed and practicing as an acupuncturist, if other than original, stating the applicant's license number, the time during which the applicant was licensed in that state, a description of the licensure examination in that jurisdiction, and whether the file on the applicant contains any disciplinary actions taken or pending; and

4. The required fee specified in Section 1140.20.

b) The Division shall examine each endorsement application to determine whether the requirements and examination in the jurisdiction at the date of licensing were substantially equivalent to the requirements and examination of the Act or whether the applicant possesses individual qualifications that were substantially equivalent to the requirements of the Act.

c) The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.60 Renewals

a) Every license issued under the Act shall expire on June 30 of odd numbered years. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee. A renewal applicant will be required to complete 30 hours of continuing education in accordance with Section 1140.90.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 110 of the Act.

History

• Source: Amended at 30 Ill. Reg. 2512, effective February 8, 2006

68 Ill. Adm. Code 1140.70 Inactive Status

a) A licensed acupuncturist who notifies the Division in writing, may place his or her license on inactive status and shall be excused from paying renewal fees until he or she notifies the Division in writing of the intention to resume active status.

b) A person seeking restoration of an acupuncturist license that has been placed on inactive status shall do so in accordance with Section 1140.80.

c) A person whose acupuncturist license is on inactive status shall not use the title "acupuncturist" or any of the other designations listed in Section 50 of the Act in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to discipline pursuant to Section 110 of the Act.

History

• Source: Amended at 41 Ill. Reg. 6340, effective June 2, 2017

68 Ill. Adm. Code 1140.80 Restoration

a) A person seeking restoration of an acupuncturist license after it has been expired or placed on inactive status for 5 years or less shall file an application with the Division, together with the fee specified in Section 1140.20 and proof of having completed 30 continuing education (CE) hours not more than 2 years prior to submitting the restoration application. The CE hours must have been completed and documented in accordance with Section 1140.90.

b) A person seeking restoration of an acupuncturist license after it has been expired or placed on inactive status for more than 5 years shall file an application with the Division, on forms supplied by the Division, together with the fee specified in Section 1140.20 and proof of having completed 30 CE hours not more than 2 years prior to submitting the restoration application. The CE hours must have been completed and documented in accordance with Section 1140.90. In addition, the applicant shall submit:

1. One of the following:

A) Sworn evidence of active practice as a licensed acupuncturist in another state or territory of the United States within 2 years prior to submitting the restoration application. The evidence shall include a statement from the appropriate licensing board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice; or

B) An affidavit attesting to military service as provided in Section 70 of the Act; or

C) Proof of having successfully completed the Acupuncture with Point Location examination, Biomedicine examination, and Foundations of Oriental Medicine examination of NCCAOM or a substantially equivalent examination approved by the Division not more than 2 years prior to submitting the restoration application; or

D) Proof of having completed educational programs or post-graduate courses related to the clinical aspects of acupuncture, including courses at a school of acupuncture accredited by ACAOM or a similar accrediting body approved by the Division, professionally oriented continuing education classes, special seminars, or any other similar program approved by the Board. The programs or courses shall not be completed more than 2 years prior to submitting the restoration application.

i) An applicant whose license has been expired or placed on inactive status for 5 to 10 years shall submit proof of 90 hours of educational programs or courses relating to the clinical aspects of acupuncture; or

ii) An applicant whose license has been expired or placed on inactive status for more than 10 years shall submit proof of 120 hours of educational programs or courses relating to the clinical aspects of acupuncture.

2. Proof of having successfully completed the CNT course administered by CCAOM not more than 5 years prior to submitting the restoration application.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 41 Ill. Reg. 6340, effective June 2, 2017

68 Ill. Adm. Code 1140.90 Continuing Education

a) Continuing Education Hours Requirements

1. Every licensee who applies for renewal or restoration of an acupuncturist license shall complete 30 hours of CE relevant to the professional skills and scientific knowledge of the licensee in the practice of acupuncture.

2. A pre-renewal period is the 24 months preceding June 30 of each odd-numbered year.

3. One CE hour shall equal one 60-minute clock hour with not less than 50 minutes of instructional content within the hour. 30 to 49 minutes of instructional content would be reported be as 0.5 CE hour and 50 to 60 minutes of instructional content would be reported as 1.0 CE hour.

4. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois acupuncturist license.

5. Acupuncturists licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

6. CE credit hours used to satisfy the CE requirements of another state may be applied to fulfill the CE requirements of the State of Illinois if they meet the requirements for CE in Illinois.

b) Approved Continuing Education

1. Except for those activities listed in subsections (b)(3), (4), (5) and (6), all CE hours must be earned through sponsors approved under subsection (c) and must comply with program requirements set forth in subsection (c).

2. A maximum of 23 hours of CE credit may be earned in a pre-renewal period for completion of self-study (including online, correspondence, audio or video) courses that are provided by a sponsor approved by the Division pursuant to subsection (c). Each self-study course shall include an examination that the licensee must pass to obtain credit.

3. A maximum of 30 hours of CE credit may be earned in a pre-renewal period for successful completion of post-graduate courses related to the clinical aspects of acupuncture at a school of acupuncture accredited by ACAOM or a similar accrediting body approved by the Division. CE credit will be allotted at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

4. A maximum of 15 hours of CE credit may be earned in a pre-renewal period for verified teaching of coursework that is part of the curriculum of an acupuncture program accredited by ACAOM or a similar accrediting body approved by the Division and/or as an instructor of CE programs provided by a sponsor approved by the Division pursuant to subsection (c). Credit will be applied at the rate of 1.5 hours for each hour of teaching or presenting the course or program material and only for the first presentation of the course or program (i.e., credit shall not be allowed for repetitious presentations of the same program).

5. A maximum of 5 hours of CE credit may be earned in a pre-renewal period for completion of coursework that is part of the curriculum of an accredited college or university and/or for completion of CE programs in Illinois approved by the Division but not approved under this Part. The course or program material must be relevant to the professional skills and scientific knowledge of the licensee in the practice of acupuncture.

6. A maximum of 5 hours of CE credit may be earned in a pre-renewal period for authoring papers published in refereed professional journals or books.

c) Approved CE Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) American Association of Acupuncture and Oriental Medicine or its affiliates;

B) Asian American Acupuncture Association, or its affiliates;

C) Illinois Association of Acupuncture and Oriental Medicine, or its affiliates;

D) Korean American Acupuncture Association of Illinois, or its affiliates;

E) Chicago Korean American Acupuncture Association, or its affiliates;

F) The National Certification Commission for Acupuncture and Oriental Medicine and individuals and organizations approved by NCCAOM to provide acupuncture CE programs; or

G) American Society of Acupuncturists, or its affiliates;

H) American Academy of Medical Acupuncture; or

I) Any other person, firm, association, corporation or group that has been approved and authorized by the Division pursuant to subsection (c)(2) upon the recommendation of the Board to coordinate and present CE programs.

2. Entities seeking registration as a CE sponsor pursuant to subsection (c)(1)(I) shall file a CE sponsor application, a sample CE program in accordance with subsection (c)(3), a sample evaluation in accordance with subsection (c)(4), and a sample certificate of attendance in accordance with subsection (c)(5) along with the fee specified in Section 1140.20. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The applicant shall also certify to the following:

A) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(3) and all other criteria in this Section;

B) That the sponsor will be responsible for verifying attendance at each program and provide a certificate of attendance as set forth in subsection (c)(5);

C) That, upon request by the Division, the sponsor will submit evidence necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of acupuncture that includes direct and indirect patient care, acupuncture treatment, treatment techniques, point location and theory, herbal therapy or preparation, and ethics;

B) Foster the enhancement of general or specialized acupuncture practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for acupuncturist license renewal.

4. Each CE program shall provide a mechanism for participants to evaluate the program and the instructor.

5. It shall be the responsibility of the sponsor to provide each participant in a program with a certificate of attendance to verify completion of the program. The sponsor's certificate of attendance shall contain:

A) The sponsor's name, address and Illinois CE sponsor registration number;

B) The participant's name and Illinois acupuncturist license

number;

C) The title of the program and a brief description of the

subject matter;

D) The number of hours attended by the participant;

E) The date and location of the program; and

F) The signature of the sponsor.

6. The sponsor shall be responsible for assuring that each participant receives CE credit only for time spent attending the program.

7. The sponsor shall maintain attendance records for not less than 5 years.

8. All programs given by approved sponsors shall be open to all licensed acupuncturists and not be limited to members of a single organization or group.

9. An approved sponsor may subcontract with individuals and organizations to provide programs in accordance with the criteria set forth in this Section.

10. To maintain approval as a registered CE sponsor, each sponsor shall submit a renewal application in accordance with Section 1140.60, along with the renewal fee specified in Section 1140.20. Upon the Division's request, the sponsor shall provide a list of each program provided by the sponsor in the pre-renewal period, including the name of the program, a brief description of the subject matter, the number of credit hours available, the program date, and the location of the program.

11. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until such time as the Division receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with the requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence may be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, a renewal applicant shall be notified in writing, which shall include electronic communication. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee will be earning or has earned CE hours in another state or territory for which the licensee will be claiming credit toward full compliance in Illinois and the sponsor is not approved by the Division pursuant to subsection (c), the applicant shall submit an out-of-state CE approval form, a description and schedule of the CE program, a description of the instructor's qualifications, proof of registration or attendance, and a $25 processing fee, prior to participation in the program or 90 days prior to the expiration of his or her acupuncturist license. The Board or division shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

2. If a licensee fails to submit an out of state CE approval form within the time frame specified in subsection (e)(1), late approval may be obtained by submitting an out-of-state CE approval form, a description and schedule of the CE program, a description of the instructor's qualifications, and proof of attendance, along with the required fee. The required fee shall be a $25 processing fee plus a late fee of $10 for each CE hour for which late approval is requested. The late fee shall not exceed $150. The Board or Division shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application along with the required fee set forth in Section 1140.20, a statement setting forth the facts concerning non-compliance, and a request for waiver of all or part of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the expiration date of the license. If the Division, upon the written recommendation of the Board, finds from such affidavit or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of the CE requirements for the license renewal for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the pre-renewal period;

B) An incapacitating illness during a substantial part of the pre-renewal period, documented by a statement from a currently licensed physician;

C) A physical inability to travel to the sites of approved programs during a substantial part of the pre-renewal period, documented by a currently licensed physician; or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.100 Unprofessional Conduct

a) Pursuant to Section 110 of the Act, unethical, unauthorized or unprofessional conduct in the practice of acupuncture shall include, but not be limited to:

1. Procuring, attempting to procure or renewing a license by bribery or by fraudulent misrepresentation;

2. Willfully making or filing a false report or record, willfully failing to file a report or record required by State or federal law, or willfully impeding or obstructing such filing or inducing another person to do so;

3. Circulating untruthful, fraudulent, deceptive or misleading advertising;

4. Willfully failing to report any violation of the Act or this Part;

5. Willfully or repeatedly violating a lawful order of the Board or the Division previously entered in a disciplinary hearing;

6. Accepting and performing professional responsibilities that the licensee knows, or has reason to know, he/she is not competent to perform;

7. Delegating professional responsibilities to a person when the licensee delegating such responsibilities knows, or has reason to know, that such person is not qualified by training, experience or licensure to perform them;

8. Gross or repeated malpractice or the failure to deliver acupuncture services with that level of care, skill and treatment that is recognized by a reasonably prudent acupuncturist with similar professional training as being acceptable under similar conditions and circumstances;

9. Dividing with anyone, other than physicians with whom the licensee receives referrals or another acupuncturist with whom the licensee works, any fee, commission, rebate or other form of compensation for any professional services not actually and personally rendered. Nothing contained in this subsection prohibits persons holding valid and current licenses under this Act from practicing in a partnership, limited liability partnership, limited liability company or a corporation under the Professional Corporation Act or from pooling, sharing, dividing or apportioning the fees and monies received by them or by the partnership or corporation;

10. Engaging in immoral conduct in the commission of any act related to the licensee's practice;

11. Engaging in sexual abuse, sexual misconduct, or sexual exploitation.

b) The Division hereby incorporates by reference the "Code of Ethics" of the National Certification Commission for Acupuncture and Oriental Medicine, 2025 M Street NW, Suite 800, Washington DC 20036 (January 2016), with no later amendments or editions.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1140.110 Granting Variances

The Director may grant variances from this Part in individual cases when he or she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in that particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 42 Ill. Reg. 16524, effective September 7, 2018

68 Ill. Adm. Code 1150.10 Education Requirements and Diversified Professional Training Requirements

The education and diversified professional training required for initial licensure under the Illinois Architecture Practice Act of 1989 [225 ILCS 305] ("Act") are set forth in this Section. Applicants shall meet the requirements set forth in this Section.

a) Education Requirements

Applicants shall prove that they meet one of the following education requirements:

1. Applicants with a professional degree from a program accredited by the National Architectural Accrediting Board (NAAB) or the Canadian Architectural Certification Board (CACB) not later than 2 years after termination of an applicant's enrollment, or with a professional degree in architecture from a Canadian university certified as accredited by CACB; or

2. Completion of the education requirements as specified in the National Council of Architectural Registration Boards (NCARB) Education Standard. This includes the requirement that applicants with a degree from a program not accredited by NAAB or CACB must obtain an Education Evaluation Services for Architects (EESA)-NCARB Evaluation Report prepared by EESA, which is administered by NAAB. Applicants must establish an NCARB record in order to request an evaluation; or

3. Completion of the education requirements as specified in the NCARB Foreign Architect Program. Applicants with a degree gained from a program outside of the U.S. or its territories must satisfy the education requirements as specified in the NCARB Foreign Architect Program. Applicants must establish an NCARB record (national dossier of an applicant's education, exam history and experience documentation which has been verified by NCARB) as part of the Foreign Architect Program requirements with NCARB.

b) Diversified Professional Training Requirements

1. An applicant must complete the Architect Experience Program (AXP), formerly known as the Intern Development Program (IDP), of the National Council of Architectural Registration Boards (NCARB), 1401 H Street NW, Suite 500, Washington, DC 20005, as set forth in the NCARB AXP Guidelines (2024, no later additions or amendments included). (A copy of these Guidelines is available from NCARB.)

2. To satisfy diversified professional training requirements, each applicant must acquire a minimum number of training hours in prescribed experience categories and tasks and in accordance with the requirements set forth in the NCARB AXP Guidelines. An applicant who has satisfied the training requirements is expected to have been exposed to the comprehensive practice of architecture. Accordingly, each applicant must demonstrate that the training undertaken has been sufficiently diversified as to include exposure to each of the training categories set forth in the AXP Guidelines. (An applicant with the required number of training hours may nonetheless be denied approval of training if that training is not diversified.)

3. Program Requirements

A) A "licensed architect" is a person licensed to practice architecture in the jurisdiction in which the individual practices.

B) A person practices as a "principal" by being:

i) A licensed architect; and

ii) The person in charge of the organization's architectural practice, either alone or with other licensed architects.

C) A person who has completed the minimum education requirements is actively participating in the diversified professional training program, and maintains in good standing a training record as required by this Section, may use the title "architectural associate", but may not use the term "architect" and may not independently engage in the practice of architecture.

c) All applicants for initial license, shall utilize NCARB to collect, evaluate and certify all training data and records required for compliance with this Part.

d) The verification of training shall be submitted to the Department of Financial and Professional Regulation − Division of Professional Regulation ("Division") at the time of application.

e) If the accuracy of any submitted documentation or the relevance or sufficiency of the training is questioned by the Division or the Architecture Licensing Board ("Board") because of discrepancies or conflicts in information, a need for additional information or clarification, the applicant will be requested to provide such information as is necessary.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1150 Illinois Architecture Practice Act of 1989

68 Ill. Adm. Code 1150.20 Category Ii - Education Requirements and Diversified Professional Training Requirements for Individuals Whose Education Was Initiated Prior to January 1, 1990 (repealed)

History

• Source: Repealed at 22 Ill. Reg. 15324, effective August 10, 1998

68 Ill. Adm. Code 1150.30 Application for Licensure by Acceptance of Examination

a) An applicant for licensure as an architect by acceptance of examination shall file an application on forms supplied by the Division. The application shall include:

1. Proof of successful completion of the examination set forth in Section 1150.40;

2. Proof of successful completion of the necessary education and training, as required by Section 1150.10.

A) The proof shall include official transcripts completed by the school, college or university attended, and certification of completion of the training requirements.

B) Applicants who received their education in a foreign country shall have the education comprehensively evaluated, at their expense. The Board will review all transcripts and the comprehensive evaluation submitted to the Division to determine if the education meets the requirements set forth in Sections 1150.10. Applicants shall:

i) Establish an NCARB record and request an Education Evaluation Services for Architects (EESA) Evaluation Report prepared by and administered by NCARB; or

ii) Satisfy the requirements through the NCARB Foreign Architect program.

3. Certification that the applicant has read and understands the Act and this Part; and

4. The required fee.

b) If an applicant fails to submit all required items for licensure under the Act within 3 years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application.

c) The Division shall examine each application to determine whether the applicant has submitted the required supporting documentation set forth in subsection (a). If the application is lacking the required items or is questioned by the Division, the application shall be submitted to the Board for review and recommendation. The Division shall either issue a license to the applicant or notify the applicant in writing of the reason for the denial of the application.

d) An applicant has one year from the date of notification of successful completion of all the examination and experience requirements to apply to the Division for a license. If an applicant fails to apply within one year, the applicant shall be required to again take and pass the examination, unless the Division, upon recommendation of the Board, determines that there is sufficient cause for the delay that is not due to the fault of the applicant. [225 ILCS 305/12(e)]

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

68 Ill. Adm. Code 1150.40 Examination

a) The examination for licensure as an architect is a computer-based examination prepared by NCARB. An applicant who has a conferred NAAB accredited professional degree, EESA-NCARB equivalent degree or is an applicant actively participating in an NCARB accepted Integrated Path to Architectural Licensure (IPAL) option within an NAAB-accredited professional degree program in architecture, may begin taking the NCARB ARE with concurrent enrollment in the AXP.

b) As of November 1, 2016, the ARE 5.0 examination consists of the following divisions:

1. Practice Management;

2. Project Management;

3. Programming & Analysis;

4. Project Planning & Design;

5. Project Development & Documentation; and

6. Construction & Evaluation.

c) All divisions are graded with a score of pass or fail. To pass the examination, the applicant must achieve a passing grade on each division of the examination.

d) An applicant failing a division may repeat that division test after the applicant's unsuccessful attempt, pursuant to NCARB requirements.

e) A passed exam division shall remain valid throughout the delivery of the exam version under which it was taken, as well as the next exam version.

f) If an applicant does not complete all divisions of the ARE before the end of the next ARE examination version delivery, the divisions passed under the previous ARE version will be retired, and the applicant shall be required to retake the divisions passed under the prior ARE version examination to satisfy the examination requirement to be licensed.

g) Applicants who fail to achieve the required passing score in any division of the examination will be afforded unlimited opportunities to repeat the failed parts of the examination subject to the Act and NCARB requirements.

h) The provisions of this Section shall be waived for an applicant for licensure as an architect who makes application in form and substance satisfactory to the Division pursuant to the standards set forth in Section 1150.30 and causes to be filed with the Division, in addition to the individual's application, proof of successful completion of the NCARB examination administered pursuant to the standards in this Section in another jurisdiction. The proof of successful completion must be forwarded directly to the Division from the jurisdiction in which the examination was taken.

i) Divisions of the examination passed in another jurisdiction will be accepted toward licensure in this State if the division was not subsequently failed.

j) Examination Review

The Division does not allow for review of NCARB examinations for applicants who failed a division and abides by the outcome of the examinations provided by the test administrator.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1150 Illinois Architecture Practice Act of 1989

68 Ill. Adm. Code 1150.50 Approved Architecture Programs

a) An architecture program, upon recommendation of the Board, shall be approved by the Division if it meets the following minimum criteria:

1. The educational institution is legally recognized and authorized by the academic jurisdiction in which it is located to confer any of the degrees required for licensure.

2. Has a faculty that comprises a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence in their area of teaching as evidenced by appropriate degrees from reputable professional colleges or institutions; and

3. Maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

4. Has a curriculum that confers a first professional degree in architecture and is accredited by NAAB or CACB.

b) In determining whether a program should be approved, the Division shall be bound by accreditation by NAAB or CACB.

History

• Source: Amended at 41 Ill. Reg. 3966, effective April 7, 2017

68 Ill. Adm. Code 1150.60 Licensure by Endorsement

a) An applicant who holds an active license or registration to practice architecture under the laws of another state, the District of Columbia, a territory of the United States, or foreign country, all hereinafter referred to as "jurisdiction" and who desires to become licensed by endorsement shall file an application with the Division together with:

1. Either NCARB Council Certification or other proof of qualifications and licensure as follows:

A) NCARB Council Certification, issued by and forwarded directly to the Division by NCARB, showing proof of having met the requirements established in the NCARB Certification Guidelines with a NAAB/CAAB professional degree or one of the following alternate NCARB pathways:

i) Education Alternative (two-times AXP) program; or

ii) Foreign Architect Program; or

iii) One of the following Mutual Recognition Agreements: Australia and New Zealand; Canada; Mexico; or United Kingdom.

B) Other Proof of Qualifications and Licensure

i) Proof that the applicant has met requirements substantially equivalent to those in force in this State at the time of original or subsequent licensure by written examination in the other state or jurisdiction, including official transcripts and affidavits of training and experience on forms prescribed by the Department; and

ii) A certification by the jurisdiction of original licensure and any other jurisdiction in which the applicant is or has ever been licensed, including the date of issuance of the applicant's license and the current status of each license; the basis of licensure and a description of all examinations by which the applicant was licensed in that jurisdiction and the date of passage of any such examinations; and whether the records of the licensing authority contain any record of disciplinary action taken against the applicant;

2. The required fee as set forth in Section 1150.75; and

3. Certification that the applicant has read and understands the Act and this Part.

b) The Division, upon recommendation from the Board, may require an applicant applying from a foreign jurisdiction to take and pass the required examination specified in Section 1150.50 of this Part, to verify the applicant has satisfactory knowledge and competence of U.S. accessibility, building, energy conservation, electrical, fire, plumbing, etc. codes, to safeguard the health, safety, and welfare of the public.

c) The Division shall examine each endorsement application to determine whether the requirements in the jurisdiction of original or subsequent licensure were substantially equivalent to the requirements then in force in this State. The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reason for the denial of the application.

d) The Division may, in individual cases, upon recommendation of the Board, waive passage of one or more parts of the examination upon proof that the applicant has been lawfully engaged in the practice of architecture in another jurisdiction for a minimum of 5 years and has provided evidence demonstrating competence in the area or areas of the examination being considered for waiver (i.e., architectural education, training, experience). If an applicant has previously failed to pass a part or parts of the examination, the applicant shall not be granted a waiver for that part or parts pursuant to this provision.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

f) If an applicant fails to submit all required items for licensure under the Act within 3 years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

68 Ill. Adm. Code 1150.65 Inactive Status

a) Any licensed architect, who notifies the Division on forms prescribed by the Division, may elect to place their license on inactive status and shall be excused from the payment of renewal fees until the licensee notifies the Division of the desire to resume active status.

b) Any licensee seeking restoration from inactive status shall do so in accordance with Section 1150.70.

c) Any licensed architect or professional design firm whose license is on inactive status shall not practice architecture in the State of Illinois. Practicing or offering to practice architecture on a license which is on inactive status shall be grounds for discipline pursuant to Section 22 of the Act [225 ILCS 305/22].

d) Any professional design firm that notifies the Division on forms prescribed by the Division and submits evidence that the firm will no longer be offering services in the State of Illinois, may elect to place the firm registration on inactive status, and shall be excused from the payment of renewal fees until the registrant notifies the Division of the desire to resume active status.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1150 Illinois Architecture Practice Act of 1989

68 Ill. Adm. Code 1150.70 Restoration

a) A licensee seeking restoration of a license that has expired for less than 5 years shall have the license restored upon receipt of an application as provided by the Division and payment of $50 plus the lapsed renewal fee required by Section 1150.75 and proof of 24 hours of continuing education completed in accordance with Section 1150.105 and within 2 years prior to the date of submitting the application.

b) A licensee seeking restoration of a license that has been placed on inactive status for less than 5 years shall have the license restored upon receipt of an application as provided by the Division and payment of the current renewal fee as specified by Section 1150.75 and proof of 24 hours of continuing education completed in accordance with Section 1150.105 and within 2 years prior to the date of submitting the application.

c) A licensee seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms provided by the Division, for review by the Board, together with the fee required by Section 1150.75 and proof of 24 hours of continuing education completed in accordance with Section 1150.105 and within 2 years prior to the date of submitting the application. The licensee shall also submit one of the following:

1. Sworn evidence of active practice in another U.S. jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other U.S. jurisdiction that the licensee was authorized to practice during the term of said active practice;

2. An affidavit attesting to military service as provided in Section 16 of the Act; or

3. Other evidence of continued active practice of architecture for at least the last 2 years. Evidence shall be satisfied by one of the below:

A) Employment in a responsible capacity under the direct supervision and control of a licensed architect;

B) Lawfully practicing architecture as an employee of a governmental agency;

C) Teaching architecture courses in a college or university program accredited by the NAAB; or

D) Submit a written proposal to the Division for review by the Board of college level architectural courses, professional architectural association programs or certifications, or similar programs the licensee plans to complete (subject to pre-approval of the Board) to demonstrate continued evidence of practice and competence. Continuing education, as required in Sections 1150.70 or 1150.105, cannot be utilized for this requirement.

d) Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 16 of the Act will be required to pay only the current renewal fee.

e) A signed and dated affidavit attesting the applicant has read and understands the Act and this Part.

f) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration may be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information. Upon the recommendation of the Board and approval by the Director of the Department of Financial and Professional Regulation‑Division of Professional Regulation (Director), an applicant shall have the license restored or will be notified in writing of the reason for the denial of the application.

g) A professional design firm seeking restoration of a license that has expired for any length of time shall have the license restored upon payment of the late fee plus any lapsed renewal fee required by Section 1150.75 and submitting proof of meeting the following current requirements:

1. Certificate of Good Standing from the Illinois Secretary of State or a copy of the letter or certificate received from the county clerk where an assumed name has been filed.

2. Proof of meeting the ⅔ requirements of Section 12 of the Act.

3. Proof that the Managing Agent-in-Charge is still a member of the Board/partner/member and a full-time employee.

4. Listing of all offices in Illinois and the name and license number of the architect for each location.

History

• Source: Amended at 46 Ill. Reg. 19600, effective November 23, 2022

68 Ill. Adm. Code 1150.75 Fees

a) The following fees shall be paid to the Division and are not refundable:

1. Application Fees

A) The fee for application for a license as an architect is $175.

B) The application fee for a certificate of registration as a professional design firm is $150.

2. Renewal Fees

A) The fee for the renewal of a license shall is $125.

B) The fee for renewal of a certificate of registration as a professional design firm is $150 for the renewal period (See Section 1150.100(c)).

3. General Fees

A) The fee for the restoration of a license or registration, other than from inactive status, is $50 plus payment of all lapsed renewal fees, but not to exceed $425 for an architect license and $500 for a professional design firm.

B) There is no charge for the issuance of a replacement license or registration for a license that has been lost or destroyed, or for issuance of a license or registration with a change of name or address. Licenses or registrations are available electronically through the Department website.

C) The fee for a certification of a licensee's or registrant's record for any purpose is $25.

D) There is no fee to change the name of a professional design firm within the same business entity type; however, there is a $25 fee to change the business entity type of an existing professional design firm.

E) The fee to change the services offered by the professional design firm is $25.

F) The fee to change the name of a managing agent for a professional design firm is $25.

4. Additional Fees

A) Any person who delivers a check or other payment to the Department that is returned to the Department unpaid by the financial institution upon which it is drawn shall pay to the Department, in addition to the amount already owed to the Department, a fee of $50.

B) If the returned check or other payment as described in subsection (a)(4)(A) was for a renewal or issuance fee and that person practices without paying the renewal fee or issuance fee and the fee for a returned check, an additional fee of $100 shall be imposed.

C) The fees imposed by this Section are in addition to any other discipline provided under the Act for unlicensed practice or practice on a nonrenewed license. The Division shall notify the person that payment of fees shall be paid to the Department by certified check or money order within 30 calendar days after the notification.

D) If, after the expiration of 30 days from the date of the notification, the person has failed to submit the necessary remittance, the Division shall automatically terminate the license or certificate of registration or deny the application, without hearing.

E) If, after termination or denial, the person seeks a license or certificate, the person shall apply to the Division for restoration or issuance of the license or certificate and pay all fees due to the Division.

b) All of the fees collected pursuant to this Section shall be deposited in the Design Professionals Administration and Investigation Fund. [225 ILCS 305/19]

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

68 Ill. Adm. Code 1150.80 Professional Design Firm

a) Persons who desire to practice architecture in this State in the form of a corporation, professional service corporation, partnership, professional limited liability company, limited liability partnership, or sole proprietorship (if the sole proprietorship is conducting or transacting business under an assumed name in accordance with the Assumed Business Name Act [805 ILCS 405]) shall, in accordance with Section 21 of the Act [225 ILCS 305/21], file an application with the Division, on forms provided by the Division, together with the following:

1. For Corporations or Professional Service Corporations. Professional design firms shall meet the registration requirements of Section 12 of the Professional Service Corporation Act [805 ILCS 10/12]:

A) The name of the corporation and its registered address, the names of all members of the board of directors, and the name of the state and license number for each director who is licensed as an architect, structural engineer, professional engineer or land surveyor. To qualify under Section 21(b) of the Act [225 ILCS 305/21(b)], at least one member of the board of directors shall be an Illinois licensed architect and shall serve as a managing agent;

B) A signed and dated resolution adopted by the board of directors designating a member of the board of directors who is an Illinois licensed architect and full-time employee of the corporation as the managing agent in charge of the architectural activities in this State. The Illinois license number of the architect designated as the managing agent shall also be included in the resolution;

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the corporation, if applicable; and

D) A certificate of good standing from the Illinois Secretary of State.

2. For Partnerships:

A) General

i) A copy of the signed and dated partnership agreement containing the name of the partnership, its business address and the names of all general partners. The name of the state in which each partner is licensed and the license number of each general partner who is licensed as an architect, structural engineer, professional engineer or land surveyor shall be listed on the application. To qualify under Section 21(b) of the Act [225 ILCS 305/21(b)], one partner of the general partners shall be an Illinois licensed architect and shall serve as a managing agent.

ii) A signed and dated resolution adopted by the general partners designating the general partner who is an Illinois licensed architect and a regular full-time employee of the partnership as the managing agent in charge of the architectural activities in this State. The Illinois license number of the architect designated as the managing agent shall also be included in the resolution.

iii) A copy of the partnership documentation bearing the stamp of the county clerk where the partnership has been filed.

iv) A letter or certificate from the county clerk where an assumed name has been filed, if applicable.

B) Limited Partnership

i) A copy of the signed and dated partnership agreement indicating it has been filed with the Illinois Secretary of State authorizing the partnership to provide architectural services. The partnership agreement shall contain the name of the partnership, its business address and the names of all partners. The name of the state in which each partner is licensed and the license number shall be listed on the application. To qualify under Section 21(b) of the Act [225 ILCS 305/21(b)], at least one member of the board of directors shall be an Illinois licensed architect and shall serve as a managing agent.

ii) A signed and dated resolution adopted by the general partners designating the general partner who is an Illinois licensed architect and a full-time employee of the partnership as the managing agent in charge of the architectural activities in this State. The Illinois license number of the architect designated as the managing agent shall also be included in the resolution.

iii) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the partnership, if applicable.

iv) A certificate of good standing from the Illinois Secretary of State.

3. For Professional Limited Liability Company or Limited Liability Partnerships:

A) An application containing the name of the professional limited liability company or limited liability partnership, the business address and the members or partners of the company/partnership, the name of the state in which each is licensed and the license number of each member/partner. To qualify under Section 21(b) of the Act [225 ILCS 305/21(b)], at least one member of the members or general partners shall be an Illinois licensed architect and shall serve as a managing agent.

B) A signed and dated resolution of the members or partners designating a member of the company/partnership who is an Illinois licensed architect and a regular full-time employee as the managing agent in charge of the architectural activities in this State. The license number shall be included in the resolution.

C) For any assumed name, a copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State.

D) A certificate of good standing from the Illinois Secretary of State.

4. For Sole Proprietorships with an Assumed Name (A sole proprietorship operating under the name of the licensee is not required to register as a professional design firm.):

A) An application containing the name of the sole proprietorship and its business address and the name and license number of the architect who owns and operates the business.

B) A letter or certificate received from the county clerk where an assumed name has been filed.

5. A list of all office locations in Illinois at which the corporation, professional service corporation, professional limited liability company, limited liability partnership, partnership or sole proprietorship provides architectural services. Each individual architectural office maintained for the preparation of drawings, specifications, reports or other professional work shall have a resident architect, licensed in Illinois and regularly employed in that office full-time who shall be responsible for overseeing professional work, and who shall serve as resident architect for that office only. Nothing in this Section shall relieve the managing agent in charge of architectural activities in this State of any legal responsibility for the overall supervision of the individual architectural offices.

6. A list of all assumed names used by the corporation, professional limited liability company, limited liability partnership, partnership, or sole proprietorship.

7. The fee required in Section 1150.75.

b) A professional design firm may designate more than one managing agent in charge of architectural activities. However, a licensee designated as managing agent may not serve as managing agent for more than one corporation, professional service corporation, professional limited liability company, limited liability partnership, or partnership doing business in Illinois.

c) Upon receipt of a completed application, the Division shall issue a registration authorizing the corporation, professional service corporation, professional limited liability company, limited liability partnership, partnership, or sole proprietorship to engage in the practice of architecture or notify the applicant in writing of the reason for the denial of the application.

d) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, partnership, or sole proprietorship shall be responsible for notifying the Division within 30 days after any changes in:

1. The membership of the board of directors, members/partners of the professional limited liability company, limited liability partnership, partnership, or of the general partners;

2. The licensure status of any of the general partners, members/partners of the professional limited liability company, limited liability partnership, partnership, or any of the design professional members of the board or partners; and

3. An assumed name.

e) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship shall be responsible for notifying the Division, in writing, by certified mail, within 10 business days after the termination or change in status of the managing agent. Thereafter, the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship if it has so informed the Division, has 30 days to notify the Division of the name and license number of the architect licensed in Illinois who is the newly designated managing agent.

f) Failure to notify the Division as required in subsections (d) and (e) or any failure of the corporation, professional service corporation, professional limited liability company, limited liability partnership, partnership, or sole proprietorship to continue to comply with the requirements of Section 21 of the Act [225 ILCS 305/21] will subject the corporation or partnership to the loss of its registration to practice architecture in Illinois.

g) Sole Proprietorships. Any sole proprietorship owned and operated by an architect who has an active Illinois license is exempt from the registration requirement of a professional design firm. However, if the sole proprietorship operates under an assumed name, the sole proprietor shall file an application in accordance with subsection (a)(4) as a professional design firm with the Division indicating all assumed names utilized. A sole proprietorship shall notify the Division of any assumed name changes. Any sole proprietorship not owned and operated by an Illinois licensed architect shall be prohibited from offering architectural services to the public.

h) In addition to the seal requirements in Section 14 of the Act [225 ILCS 305/14], all documents or technical submissions prepared by the design firm shall contain the design firm registration number issued by the Division.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1150 Illinois Architecture Practice Act of 1989

68 Ill. Adm. Code 1150.85 Acts Constituting the Practice of Architecture Pursuant to Section 5 of the Act

a) Design/Build

1. The design/build project delivery process is a process characterized for its single point of responsibility in managing, directing and coordinating the design and construction of a project whereby an entity signs a single contract with a client to provide a combination of services that includes architectural and construction services. Design, as used in the term design/build identifying the project delivery process, shall mean architectural services.

2. The design/build entity will not be required to register as a professional design firm pursuant to Section 21 of the Act and Section 1150.80 of this Part only if the architectural services in the design/build project delivery process are provided by the entity in accordance with the following:

A) An Illinois licensed architect practicing as a sole proprietorship or a professional design firm registered in Illinois to offer the practice of architecture, as set forth in Section 21 of the Act and Section 1150.80 of this Part, independently contracts with the entity and participates substantially in all material aspects of the offering and providing of architectural services relating to any bid process, contract negotiations, design, consultation, development, preparation and coordination of technical submissions, and verification of adherence to technical submissions and completion.

B) At the time of offering services, a written disclosure shall be given to the client by the entity identifying the architect who will be engaged by and is contractually responsible to the entity offering design/build project services.

C) The entity agrees that the architect will have direct supervision of the architectural work and the architect's services will not be terminated on the project without the immediate replacement by another architect mutually agreed to by the client and the entity.

3. A design/build entity shall not offer to provide or provide architectural services, unless the design/build entity is an Illinois licensed architect practicing as a sole proprietorship or registered professional design firm offering architectural services. Offering to provide architectural services shall include, but shall not necessarily be limited to, any tender of architectural services either independently or in combination with construction services by any sign, card, advertisement or other device that might indicate to the public that the entity is entitled to provide architectural services. However, an entity that is not an Illinois licensed architect practicing as a sole proprietorship or registered professional design firm offering architectural services may advertise the design/build project delivery process provided the advertisement does not imply to the public that the entity by itself is either entitled or qualified to offer or provide design services.

b) Architectural Competitions

1. Participants in architectural competitions in Illinois shall comply with the Act. All services, such as preliminary design and design development, are to be prepared by or under the direct supervision and control of an Illinois licensed architect.

2. If an architectural competition is conducted in an academic setting or the project is fictitious and will not be constructed, a person/professional design firm is not required to be licensed in Illinois.

c) Use of Title

1. A person, sole proprietorship, professional service corporation, limited liability company, corporation or partnership, or other entity practicing pursuant to an exemption from licensure contained in Section 3 of the Act shall not use the title "architect" or any of its derivations unless the person or other entity holds an active license as an architect or registration as a professional design firm in this State.

2. No person, sole proprietorship, professional service corporation, limited liability company, corporation or partnership, or other entity that practices architecture shall advertise or display any sign or card or other device that might indicate to the public that the person or entity is entitled to practice as an architect or use the title "architect" or any of its derivations unless the person or other entity holds an active license as an architect or registration as a professional design firm in this State.

3. No person, without possessing a valid license as an architect issued by the Division, shall in any manner hold himself or herself out to the public as an architect, attach the title "architect" or any of its derivations, or offer to render or render to individuals, corporations, or the public any architectural services as defined in the Act if the word "architect" or any of its derivations are used to describe the person offering to render or rendering them or describe the services rendered or offered to be rendered.

d) Prototypical Documents

1. "Prototypical documents" consist of drawings or specifications that are not intended as final and complete technical submissions for a building project, but rather are to serve as a prototype for a building or buildings to be constructed in more than one location, with minimal design changes or additions, except those required to adapt the prototype building or buildings to each particular site and to the regulations and codes that apply. Prototypical documents may or may not be premised upon laws, rules and regulations, or an adopted building code of a particular state, county or municipality, but shall be adaptable to the regulations or codes of each applicable construction location. Prototypical documents are generally not designated for a specific climate, weather, topography, soil, or other site-specific conditions or requirements, but are intended to be adapted to those and other site-specific conditions.

2. Prototypical documents shall be prepared by an architect licensed in any jurisdiction. Technical submissions for the construction of the project shall be prepared by or under the responsible control of an Illinois licensed architect.

3. The documents shall be identified as "prototypical documents". The name, address and seal of the architect who prepared the prototypical documents, and the date the documents were prepared, shall be provided on the first sheet of any bound set or loose sheets of documents utilized as prototypical documents.

4. Nothing in this Part precludes the use of prototypical documents, provided the Illinois licensed architect:

A) Obtains written permission from the architect who prepared or sealed the prototypical documents, and from the legal owner of the prototypical documents, to use, revise, amend and otherwise adapt the prototypical documents;

B) Thoroughly analyzes the prototypical documents, makes necessary revisions, and adds all required elements and design information (including the design services of engineering consultants, if warranted), so that the prototypical documents become suitable complete technical submissions, in full compliance with applicable codes, regulations, and site-specific requirements;

C) Independently performs and maintains on file the necessary calculations and analysis to verify the public health and safety suitability of all elements or features portrayed by the original prototypical documents; and

D) After analyzing, calculating and making revisions and additions, issues the technical submissions with his or her title block, Illinois seal and design firm registration number, as required (including the seals and design firm registration numbers of engineering consultants, as applicable), and maintains control over the use of the final adapted documents as if they were his or her original design, assuming full responsibility as the architect of record.

History

• Source: Amended at 33 Ill. Reg. 11477, effective July 22, 2009

68 Ill. Adm. Code 1150.90 Standards of Professional Conduct

In order to safeguard life, health and property, to promote the public welfare, and to establish and maintain a high standard of integrity in the practice of architecture, the following Standards of Professional Conduct shall be binding on every person applying for or holding a license as an architect and on all partnerships and corporations authorized to practice architecture in this State.

a) Competence

1. An architect shall undertake to perform professional services only when the architect, together with those whom the architect may engage as consultants, are qualified by education and training in the specific technical areas involved.

2. An architect engaging in the practice of architecture shall act with reasonable care and competence, and shall apply the technical knowledge and skill that are ordinarily applied by licensed architects of good standing, practicing in the same locality.

3. An architect in designing a project shall take into account all applicable State and municipal building laws and regulations (e.g., the Illinois Environmental Barriers Act [225 ILCS 75]). While an architect may rely on the advice of other professionals, attorneys, engineers and other qualified persons (i.e., building code officials, authorized governmental officials) as to the intent and meaning of the regulations, once having obtained the advice, an architect shall not knowingly design a project in violation of those laws and regulations.

b) Conflict of Interest

1. An architect shall not accept compensation for his/her services from more than one party on a project unless the circumstances are fully disclosed and agreed to in writing by all interested parties.

2. If an architect has any business association or direct or indirect financial interest that is substantial enough to influence the architect's judgment in connection with the architect's performance of professional services, the architect shall fully disclose in writing to the architect's client or employer the nature of the business association or financial interest, and if the client or employer objects to that association or interest, the architect will either terminate the association or interest or offer to give up the commission or employment.

3. An architect shall not solicit or accept compensation from material or equipment suppliers in return for specifying or endorsing their products.

4. When acting as the interpreter of building contract documents and the judge of contract performance, an architect shall render decisions impartially, favoring neither party to the contract.

c) Full Disclosure

1. An architect, making public statements on architectural questions, shall disclose when he/she is being compensated for making those statements.

2. An architect shall accurately represent to a prospective or existing client or employer the architect's qualifications and the scope of the architect's responsibility in connection with work for which the architect is claiming credit.

3. If, in the course of the architect's work on a project, an architect becomes aware of a decision taken by the architect's employer or client, against the architect's advice, that violates applicable State or municipal building laws and regulations and that will, in the architect's judgment, materially and adversely affect the safety to the public of the finished project, the architect shall:

A) Report the decision to the local building inspector or other public official charged with the enforcement of the applicable State or municipal building laws and regulations;

B) Refuse to consent to the decision; and

C) In circumstances in which the architect reasonably believes that other such decisions will be taken, notwithstanding his or her objection, terminate the architect's services with respect to the project. In the case of a termination in accordance with this clause, the architect shall have no liability to the architect's client or employer on account of the termination.

d) Compliance with Laws

1. An architect shall not, in the conduct of his/her architectural practice, knowingly violate any state or federal criminal law of a state or territory of the U.S.

2. An architect shall comply with the licensing and registration laws and regulations governing architectural practice in any state or territory of the U.S. in which the architect is practicing or offering to practice architecture.

3. An architect shall neither offer nor make any payment or gift to a government official (whether elected or appointed) with the intent of influencing the official's judgment in connection with a prospective or existing project in which the architect is interested.

4. An architect shall not knowingly make a materially false statement or fail deliberately to disclose a material fact requested in connection with his or her application for a license or renewal thereof.

5. An architect shall not assist the application for a license of an individual known by the architect to be unqualified in respect to education, training or character.

6. An architect possessing knowledge of a violation of the provisions set forth in Sections 22, 23 and 23.5 of the Act by another architect shall report that knowledge to the Division.

e) Professional Conduct

1. An architect shall not sign or seal drawings, specifications, reports or other professional work for which the architect has not exercised responsible control as set forth in Section 14 of the Act; provided, however, that in the case of the portions of the professional work prepared by the architect's consultants, licensed under another professional licensure law of this jurisdiction, the architect may sign and seal that portion of the professional work if the architect has reviewed the portion, has coordinated its preparation and intends to be responsible for its adequacy pursuant to Section 14(2) of the Act. The signing and sealing of the work of a consultant by the architect does not exempt the consultant from signing and sealing professional work prepared by the consultant as required by the Act or by another licensure law of this jurisdiction.

2. When an architect signs and seals technical submissions not prepared by the architect, but prepared under the architect's responsible control by persons not regularly employed in the office where the architect is resident, those persons shall meet the requirements for licensure as an architect and professional design firm registration to offer or provide architectural services as set forth in the Act and this Part.

3. In the event of the death or incapacity of the architect, a subsequent architect may utilize the drawings, specifications, reports or other professional work produced by the deceased or incapacitated architect, after independent review, in order to complete the project.

4. An architect shall neither offer nor make any payment or gift, other than gifts of nominal value (including, but not necessarily limited to reasonable entertainment and hospitality), with the intent of influencing the judgment of an existing or prospective client in connection with a project in which the architect is interested.

5. An architect shall not engage in conduct involving fraud or wanton disregard of the rights of others.

History

• Source: Amended at 33 Ill. Reg. 11477, effective July 22, 2009

68 Ill. Adm. Code 1150.95 Architecture Complaint Committee

a) The Architecture Complaint Committee of the Architecture Licensing Board, authorized by Sections 10 and 24 of the Act, shall be composed of at least 2 members of the Architecture Licensing Board, a Supervisor over Design Investigations and a Chief of Prosecutions over Design Prosecutions. The Director of Enforcement shall designate the Supervisor and Chief assigned to the Complaint Committee.

b) The Complaint Committee shall meet at least once every 2 months to exercise its functions and duties set forth in subsection (c). The Complaint Committee may meet concurrently with the Complaint Committees of the Land Surveyors Examining Board, the State Board of Professional Engineers and the Structural Engineering Board to discuss interrelated professional matters. The Complaint Committee shall make every effort to consider expeditiously and take prompt action on each item on its agenda.

c) The Complaint Committee shall have the following duties and functions:

1. To review investigative case files after an initial inquiry into the involved parties and their licensure status have been obtained. "Case file" means the allegation made against an involved party that resulted in a preliminary inquiry and other information being obtained in order to determine whether an investigation should be initiated or prosecution pursued. A "Formal Complaint" means the notice of allegations and charges or basis for licensure denial that begins the formal proceedings.

2. To refer the case file to the Supervisor over the Design Investigators for further action. The Complaint Committee shall give the Supervisor an indication as to the prosecutorial merit and relative severity of the allegations to aid in the prioritization of investigative activity.

3. To recommend that a case file be closed.

4. To recommend that an Administrative Warning Letter be issued and the case file closed.

5. To refer the case file to Prosecutions for review and action.

6. To report the actions of the Complaint Committee at each Board meeting and to present enforcement statistics such as the type of alleged violation.

d) In determining what action to take or whether to proceed with investigation and prosecution of a case file, the Complaint Committee shall consider the following factors, but not be limited to: the effect on the public's health, safety and welfare; the sufficiency of the evidence presented; prosecutorial merit; and sufficient cooperation from complaining parties.

e) At any time after referral to Prosecutions, the Division may enter into negotiations to resolve issues informally by way of a Consent Order. Factors to be considered in deciding whether to enter into settlement negotiations shall include, but not be limited to: the effect on the public's health, safety and welfare caused by the respondent's alleged conduct; sufficient investigation of the case; prosecutorial merit; relative severity of the respondent's alleged conduct; and past practices of the Division.

f) No file shall be closed nor Formal Complaint dismissed except upon recommendation of the Complaint Committee and/or approval by the Architecture Licensing Board. Those case files that previously have been before the Board and are the subject of a Consent Order or Formal Order of the Director may be closed without further recommendation or approval of the Architecture Licensing Board or the Complaint Committee.

g) Complaints Involving Imminent Danger to the Public

1. When a complaint is made to the Division that alleges that a building, or other structure that requires the involvement of an architect in its design, is under construction, construction is imminent, or construction has been completed, and an architect is not or was not involved in its design, the investigation of that complaint shall be expedited to ensure the health and safety of the public. This investigation will be referred to as an "Emergency Investigation".

2. An Emergency Investigation will be given priority attention and assigned to an investigator as soon as possible.

3. Once assigned to an investigator, the Division, through its investigator, will convene a meeting of the Complaint Committee by teleconference to determine if the complaint shall continue to be treated as an Emergency Investigation. Such meetings will be deemed an emergency and notice of the meeting shall be provided in accordance with the Open Meetings Act.

4. Upon determination by the Complaint Committee that the complaint should be treated as an Emergency Investigation, the complaint will be investigated as soon as possible.

5. Upon completion of the Emergency Investigation, the investigator will again convene a meeting of the Complaint Committee by teleconference. This meeting shall also be considered an emergency and notice of the meeting shall be provided in accordance with the Open Meetings Act. The Complaint Committee will then decide whether to recommend to the Division that the complaint be referred to the Attorney General to seek a temporary restraining order and permanent injunction against the start or further construction of the project or, when the project has already been completed, to enjoin the use of the building or structure. The Complaint Committee will recommend that the case be referred to the Attorney General only upon a finding that the facts alleged in the complaint are credible and constitute an imminent danger to the public.

h) Disqualification of an Architecture Licensing Board member.

1. A Board member shall be recused from consideration of a case file or Formal Complaint when the Board member determines that a conflict of interest or prejudice would prevent that Board member from being fair and impartial.

2. Participation in the initial stages of the handling of a case file, including participation on the Complaint Committee and in informal conferences, shall not bar a Board member from future participation or decision making relating to that case file.

i) An informal conference is the procedure established by the Division that may be used for compliance review, fact finding, discussion of the issues, resolving case files, licensing issues or conflicts prior to initiating any Formal Complaint or formal hearing. An informal conference may only be conducted upon agreement of both parties. Informal conferences shall be conducted by a Division attorney and shall include a member or members of the Board. Board members shall be scheduled for informal conferences on a rotating basis.

History

• Source: Amended at 33 Ill. Reg. 11477, effective July 22, 2009

68 Ill. Adm. Code 1150.100 Renewals

a) Every license issued to an individual under the Act shall expire on November 30 of each even numbered year. The holder of a license may renew the license during the month preceding the expiration date thereof by paying the fee required by Section 1150.75 and meeting the continuing education requirements set forth in Section 1150.105.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal notice from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew one's license.

c) Every license issued to a professional design firm under the Act shall expire on April 30 of each odd numbered year. The holder of the license may renew that license for a two-year period during the month preceding the expiration date thereof by paying the fee specified in Section 1150.75 and by certifying that the firm still meets the requirements of Section 21 of the Act and is in good standing with the Illinois Secretary of State (if applicable) and has an active managing agent-in-charge.

d) Practicing or operating on a license which has expired or been placed on inactive status shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 22 of the Act.

e) It is the responsibility of each licensee to notify the Division of any discipline or conviction of or entry of a plea of guilty or nolo contendere to any crime that is a felony under the laws of the United States or any state or territory thereof, or that is a misdemeanor, an essential element of which is dishonesty, or any crime that is directly related to the practice of the profession of architecture during the last renewal.

History

• Source: Amended at 46 Ill. Reg. 19600, effective November 23, 2022

68 Ill. Adm. Code 1150.105 Continuing Education

The continuing education ("CE") required as a condition for license renewal under the Act is set forth in this Section. All architects shall meet these requirements.

a) Beginning with the November 30, 2004 renewal (for the period from December 1, 2002 through November 30, 2004) and every renewal thereafter, in addition to other requirements, an architect must have acquired continuing education for each 24-month period since the architect's last renewal of licensure, or be exempt from the continuing education requirements, as provided in subsection (h). Failure to comply with these requirements may result in non-renewal of the architect's license or other disciplinary action, or both.

b) A total of 24 CE hours must be obtained by the licensee for each renewal. CE hours need not be acquired within this jurisdiction, and may be acquired in-person or virtually.

1. A minimum of 16 core hours are required which must be relevant to safeguarding public health, safety, and welfare ("HSW"), and acquired in structured educational activities. The 16 hours shall include the following two courses:

A) Beginning with the November 30, 2020, renewal and every renewal thereafter, the total CE hours required shall include one hour of sexual harassment prevention training which shall meet the requirements of 68 Ill. Adm. Code 1130.400. A licensee that completed a course on sexual harassment prevention developed or offered by the Illinois Department of Human Rights pursuant to the Illinois Human Rights Act [775 ILCS 5], the licensee's employer, or an acceptable provider listed within this Section, may count that course toward the one-hour requirement under this Section. (See Section 2105-15.5 of the Civil Administrative Code of Illinois [20 ILCS 2105/2105-15.1])

B) Beginning with the November 30, 2024, renewal, and every renewal thereafter, one hour of programs, courses, or activities related to design practices that reflect improved understanding of high winds or natural disasters.

2. The remaining 8 CE hours are elective and may be in related practice subjects acquired either in structured educational activities or individually planned educational activities.

3. A maximum of 12 qualifying CEs gained within six months from the current renewal deadline and not used for the current renewal period may be carried over to the subsequent renewal period but shall not include the requirements for high wind or natural disasters and/or sexual harassment prevention training, which must be satisfied during each pre-renewal period. CEs used in this manner must be documented on the appropriate Department-issued form.

c) Restored Licensees: In addition to other requirements as set forth in Sections 16 and 17 of the Act [225 ILCS 305/16 and 225 ILCS 305/17] and Sections 1150.65 and 1150.70 of this Part, a licensee who has placed their license on inactive status or has allowed a license to lapse for reasons other than active duty in the military service of the United States, as set forth in Section 16 of the Act [225 ILCS 305/16], and desires to have the license restored shall evidence completion of all continuing education hours that would have been required in order to maintain the license in an active status, not to exceed 24 CE hours.

d) Reporting and Record Keeping

1. Each renewal applicant shall certify, on the renewal application, to full compliance with the continuing education requirements set forth in this Section.

2. For auditing or restoration purposes, it is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The evidence shall be retained for at least 6 years following the renewal period for which the continuing education was taken. The evidence may include, but not be limited to the following:

A) Certificate of attendance;

B) Signed attendance receipts;

C) Sponsor's list of attendees (signed by a person in responsible charge of the activity);

D) Records showing activity claimed, sponsoring organization, location, duration, etc.;

E) A log of learning that may consist of diaries, summary of activities, photographs, public or organization records, receipts, etc.; or

F) Transcripts or records of continuing education credits maintained by an acceptable provider of continuing education as defined by subsection (f).

3. The Division may conduct random audits to verify compliance with continuing education requirements.

4. If the Division disallows any continuing education hours, unless the Division finds, following notice and hearing, that the licensee willfully disregarded these requirements, then the licensee shall have 6 months from notice of the disallowance to make up the deficiency by acquiring the required number of CE hours. Those contact hours shall not be used again for the next renewal.

5. When it is determined by the Division that the licensee has willfully disregarded these requirements, the licensee will be subject to discipline as set forth in Section 22 of the Act [225 ILCS 305/22].

e) Acceptable Activities

1. The following types of activities will qualify to fulfill the requirement for a minimum of 16 CE hours to be acquired in structured educational activities (all 24 hours may be acquired in these activities):

A) Attendance at short courses or seminars, dealing with architectural subjects and sponsored by colleges or universities.

B) Attendance at presentations on architectural subjects that are held in conjunction with meetings, conferences or conventions of architect professional organizations recognized by the Division to the extent that contact hours are credited only to that portion of the meeting, conference or convention that comprises the educational program.

C) Attendance at short courses or seminars, relating to professional practice or new technology and offered by colleges, universities, professional organizations or system suppliers.

D) Teaching or instructing an architectural course, seminar, lecture, presentation or workshop shall constitute 3 CE hours for each hour spent in the actual presentation. Teaching credit shall be valid for the initial presentation only. Teaching credit shall not apply to faculty teaching regularly scheduled curriculum courses at a college, university or other educational institution.

E) Architectural research and the authoring of published papers, articles, or books that are published or is formally presented to the profession or public. A maximum of 12 contact hours may be acquired in this activity.

F) Successfully completing structured architectural self-study courses, presented by correspondence, internet, television, video or audio, ending with examination or other verification processes. The contact hours acquired for this activity shall be as recommended by the program sponsor.

G) College or university credit courses dealing with architectural subjects or business practice. Each semester hour shall equal 15 contact hours. A quarter hour shall equal 10 contact hours.

H) CE hours spent in educational tours of architecturally significant projects, when the tour is sponsored by a college, university or professional organization.

2. The following types of activities will qualify for the maximum of 8 CE hours allowed to be acquired in individually planned educational activities that are self-directed:

A) Professional service to the public that draws upon the licensee's professional expertise on boards and commissions, such as: serving on planning commissions, building code advisory boards, urban renewal boards, code study committees or regulatory boards.

B) CE hours for serving as a mentor or supervisor for the AXP required to satisfy the diversified professional training requirements pursuant to Section 1150.10. This service to an associate, or associates, shall be consistent with the responsibilities set forth in the April 2025 of the NCARB AXP Guidelines for an associate's intern's mentor and supervisor.

C) CE hours spent in planned activities, such as business and practice efficiency, business development, personal improvement, new skills and general education related to the practice of architecture.

D) CE hours spent in unstructured self-study tours of architecturally significant projects when there is a clear objective to maintain and strengthen competency in a design or technical field.

E) Actively participating on an architectural board, in a technical or professional society or organization shall be the equivalent of 2 contact hours. CE hours shall be limited to 2 per organization and shall not be acquired until the completion of each year of service.

3. The content of public protection subjects acceptable for purposes of continuing education under subsection (e)(1) shall be limited to:

A) Codes, statutes and administrative regulations governing the practice of architecture.

B) Environmental issues.

C) Professional ethics.

D) State licensing law.

E) Design proficiency.

F) Interface with other design disciplines (e.g., planners, consultants, specialists and financiers) other than through normal day-to-day contact.

G) Legal aspects of contracts, documents, insurance, bonds, project administration, etc.

H) Specialization in preservation, adaptive reuse or building types.

I) Construction documents and services.

J) Materials and methods.

K) Mechanical, plumbing, electrical and life safety.

L) Structural technology.

M) Energy efficiency.

N) Project Administration.

O) Accessibility issues.

P) New technical/professional skills.

f) Acceptable providers for structured educational activities under this Section shall include, but not be limited to:

1. American Institute of Architects (AIA).

2. National Council of Architectural Registration Boards (NCARB).

3. Construction Specifications Institute (CSI).

4. Association of Licensed Architects (ALA).

5. Colleges, universities or other educational institutions.

6. Other technical or professional societies or organizations.

g) The Division will not pre-approve individual courses or programs.

h) Exemptions: A licensee will be exempt from the continuing education requirements of this Section if one of the following situations occurs. If an exemption is claimed, it is required that the renewal fee and any documentation needed to support the exemption be submitted for renewal of a license.

1. A licensee shall not be required to report continuing education hours during the first biennial renewal period in which the licensee obtained initial licensure in Illinois but shall be subject to the continuing education requirements for all subsequent biennial renewal periods.

2. A licensee who is on full-time active duty in the military service of the United States, or is a licensee who is called to temporary active duty in the military service or Armed Forces of the United States for a period of time exceeding 120 consecutive days during the renewal period, when that activity or location restricts participation in a continuing education program.

3. A licensee who demonstrates to the satisfaction of the Division that meeting these requirements would be an undue hardship by reason of disability, illness, or other clearly mitigating circumstances shall submit supporting documentation.

A) The documentation shall be in the form of a sworn statement by the licensee, statement from a licensed healthcare provider, or medical record showing the disability, illness, or circumstance preventing the licensee's participation in the continuing education program during a substantial part of the renewal period.

B) If the Division finds from the evidence that good cause has been shown for non-compliance, the Division may waive enforcement, extend the time within which the applicant shall comply, or establish a particular program or schedule of continuing education for the renewal period in which the undue hardship existed.

C) Consecutive waiver requests made for reasons of disability, illness, or other circumstances may be prima facie evidence for non-renewal of applicant's license based on an inability to actively engage in licensed practice.

i) Definitions

1. "CE Hour" means one 60-minute clock hour of an educational activity with no less than 50 minutes of instructional content within the hour. Credit shall be granted in half-hour increments. A qualifying activity of 30 to 49 minutes is reported as 0.5 CE hours and an activity of 50 to 60 minutes is reported as 1.0 CE hour.

2. "Individually Planned Educational Activities" means educational activities in which the teaching methodology primarily consists of the architect addressing public protection subjects or related practice subjects that are not systematically presented by others, including the study of such related subjects, rendering service to the public and advancing the profession's and public's understanding of the practice of architecture.

3. "Structured Educational Activities" means educational activities in which the teaching methodology consists primarily of the systematic presentation of public protection subjects by qualified individuals or organizations, including monographs, course of study taught in person or by correspondence, organized lectures, presentations or workshops and other means through which identifiable technical and professional subjects are presented in a planned manner. To qualify as a structured education activity, continuing education credit shall be awarded by the sponsor upon completion of the activity.

j) There is no restriction on the amount of continuing education that can be completed through on-line or self-administered courses, provided that the courses meet the requirements of this Section.

k) Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver for exemption under subsection (h), in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1150 Illinois Architecture Practice Act of 1989

68 Ill. Adm. Code 1150.110 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 46 Ill. Reg. 19600, effective November 23, 2022

68 Ill. Adm. Code 1150.APPENDIX A Categories of Diversified Professional Training (repealed)

History

• Source: Repealed at 25 Ill. Reg. 1754, effective January 8, 2001

68 Ill. Adm. Code 1150.APPENDIX B Historical Summary of Minimum Requirements to Qualify for Examination for Licensure as an Architect in Illinois

(For specific details refer to the Rules for the Administration of the Illinois Architecture Practice Act of 1989 that were in effect for the appropriate time period specified in this Appendix B)

a) July 1, 1897 through June 30, 1919: Applicants who are 21 years old and have made payment of $15 fee to take examination. Any person who is shown by affidavit to have been engaged in the practice of architecture on July 1, 1897 shall be entitled to a license without examination; provided that the application is made within 6 months after passage of the Act.

b) July 1, 1919 through July 10, 1957: 21 years old; citizen of U.S. Applicants who are graduates of a high school or secondary school approved by the Department of Registration and Education and 3 years of experience in the office of a reputable architect.

c) July 11, 1957 through September 30, 1977: 21 years old; citizen of U.S. Applicants who are graduates of a high school or secondary school approved by the Department of Registration and Education and 8 years of experience in the office of a registered architect. Applicants with up to 5 years of architectural study in an approved school of architecture and additional years experience in the office of a registered architect that total 8 years of experience and study.

d) October 1, 1977 through December 31, 1984: 21 years old; citizen of U.S. Applicant with a professional degree from an accredited school of architecture were eligible to take Phase I and upon completion of 3 years practical experience could take Phase II. Applicants who are graduates of an approved high school and 8 years of experience.

e) January 1, 1985 through December 31, 1995: The following education and architectural experience under the direct supervision of a U.S. licensed architect qualified for examination/licensure:

1. Applicants with a professional degree from a program accredited by NAAB:

A) 6-year professional degree (M/Arch) and 2 years of architectural experience;

B) 5-year professional degree (B/Arch) and 3 years of architectural experience;

2. Applicants with a degree in architecture from a Board-approved program not accredited by NAAB:

A) Master's degree and 4 years of architectural experience;

B) 5-year bachelor's degree and 4.5 years of architectural experience;

C) 4-year bachelor's degree and 5 years of architectural experience;

D) 4-year degree in architecture-related field or program as listed below and 6 years of architectural experience:

landscape architecture;

interior design;

building technology;

construction management;

urban and regional planning;

historic preservation;

architectural, civil, mechanical, structural, general or electrical engineering;

E) 4-year or more degree in any field and 7 years of architectural experience.

f) January 1, 1996 through August 9, 1998: The following education and architectural experience under the direct supervision of a U.S. licensed architect qualified for examination/licensure:

1. 6-year professional degree (M/Arch) in architecture from a program accredited by NAAB and 2 years (or 465 Intern Development Program Training Units (IDP TU's)) of architectural experience;

2. 5-year professional degree (B/Arch) in architecture from a program accredited by NAAB and 3 years (or 700 IDP TU's) of architectural experience;

3. Pre-professional 4-year baccalaureate degree in architecture from a program acceptable for direct entry into a first professional master of architecture degree program accredited by NAAB and 5 years (or 1170 IDP TU's) of architectural experience.

g) August 10 through December 31, 1998: An NCARB IDP Record certifying to the completion of the following education and indicated minimum number of acceptable TU's is required for examination/licensure:

1. 6-year professional degree (M/Arch) in architecture from a program accredited by NAAB and 465 TU's;

2. 5-year professional degree (B/Arch) in architecture from a program accredited by NAAB and 700 TU's;

3. Pre-professional 4-year baccalaureate degree in architecture from a program acceptable for direct entry into a first professional master of architecture degree program accredited by NAAB and 1170 TU's.

h) After December 31, 1998: An NCARB IDP Record certifying to the completion of the following education and indicated minimum number of acceptable TU's is required for examination/licensure:

1. 6-year professional degree (M/Arch) in architecture from a program accredited by NAAB and 700 TU's;

2. 5-year professional degree (B/Arch) in architecture from a program accredited by NAAB and 700 TU's;

3. Pre-professional 4-year baccalaureate degree in architecture from a program acceptable for direct entry into a first professional master of architecture degree program accredited by NAAB and 1170 TU's.

i) January 1, 2000: Section 16.5 of the Act required continuing education. November 12, 2002, Section 1150.105 of the Administrative Rules was approved, requiring the CE for the 2002-2004 renewal and all renewals thereafter.

j) September 2002: Illinois became a "Direct Registration Program" participant with NCARB. Subsequent to that date, all applicants applied directly through NCARB for IDP and approval to take the ARE. Applicants who were previously approved for testing through Continental Testing Services, Inc. before that date continued testing through CTS. Applicants who completed the IDP and ARE through NCARB then were required to submit an application for "Acceptance of Exam" to the Division.

k) October 20, 2004: Section 1150.60 was amended to allow licensure by endorsement based upon the NCARB Council Record.

l) Effective January 1, 2005, pursuant to PA 93-1009, the pre-professional degree was acceptable only until January 1, 2010.

m) Pursuant to PA 94-0543, effective July 1, 2005, the Act changed. The Division will no longer accept pre-professional degrees for licensure after January 1, 2014.

n) January 1, 2006: NCARB "5-year Rolling Clock" for ARE was accepted. All scores prior to January 1, 2006 will be kept indefinitely. After January 1, 2006, all portions of the ARE must be completed within 5 years. If all exams are not passed within the 5-year period, the earliest score is voided and the exam must be retaken.

o) As of July 1, 2008, the ARE 4.0 examination shall consist of the following divisions:

1. Programming Planning and Practice;

2. Site Planning and Design;

3. Building Planning and Construction Systems;

4. Schematic Design;

5. Structural Systems;

6. Building Systems; and

7. Construction Documents and Services.

p) As of January 1, 2011, any division passed prior to January 1, 2006 shall no longer remain valid if all remaining divisions have not been passed by January 1, 2014. Scores prior to January 1, 2006 will cease to be valid as of January 1, 2014. All scores must meet the NCARB "5-year Rolling Clock" requirements.

q) In 2010 NCARB changed the requirements for IDP 2.0 from IDP Training Units to IDP Training Hours. One Training Unit equals 8 hours of acceptable activity. One Training Hour is one hour of acceptable activity. In March of 2010, the Test of English as a Foreign Language (TOEFL) and the Test of Spoken English (TSE) ceased to be offered as the TOEFL-iBT (Internet Based Test) was established and superseded this exam. While in effect, the TOEFL and TSE requirements were a minimum score of 550 or 213 for the computer-based test and the TSE was a minimum score of 50.

r) Pursuant to PA 98-288 (see 225 ILCS 305/13) effective August 9, 2013, acceptance of a pre-professional degree for licensure was extended to December 31, 2015.

s) On July 1, 2015, NCARB reduced the training requirements for IDP from 5600 Training Hours to the core Training Hours of 3740 for a professional degree. Illinois still required the 9360 Training Hours for the pre-professional degree through December 31, 2015. Through that date, an applicant could not sit for the ARE with a pre-professional degree before completing the IDP requirements of 9360 Training Hours.

t) The definition of a pre-professional degree, acceptable through December 31, 2015, had the following requirements:

The overall curriculum shall include a minimum of 120 semester hours or the equivalent and shall include at least the following subjects:

Advanced Mathematics – including calculus and analytical geometry – 8 hours

Basic Sciences – 8 hours

Architectural Sciences – 16 hours

Architectural Design – 18 hours – which may include up to 6 hours of art or freehand drawing

Humanities/Social Studies – 12 hours

History of Architecture – 12 hours

u) On July 1, 2016 NCARB changed the name of the IDP to AXP (Architect Experience Program) and changed the definitions and requirements to 6 experience areas and 96 tasks. The minimum requirement for a professional degree is 3740 hours.

v) On November 1, 2016, NCARB introduced the new ARE 5.0. The ARE 4.0 will run concurrently with the 5.0 until 4.0 is phased out on June 30, 2018. Those applicants who started under 4.0 will have the choice of attempting to complete under 4.0 before June 30, 2018. Any applicant not completing the ARE 4.0 by June 30, 2018 will be transferred into the ARE 5.0 program, and the examinations will be converted by NCARB.

History

• Source: Amended at 46 Ill. Reg. 19600, effective November 23, 2022

68 Ill. Adm. Code 1150.APPENDIX C Historical Summary of Examination Requirements

a) Pre-Design is satisfied by one of the following:

1. Examination Syllabus C (1954-1973)

2. Equivalency Examination I (1973-1977, or Qualifying Test – Section A (1977-1978), and Professional Examination – Parts I and II (1973-1978), or Professional Examination – Section B, Parts I and II (1979-1982) – see subsection (h)

3. Division A of the ARE (1983-1996)

4. Pre-Design (PD) of the ARE 3.1 (1996-2009)

5. Programming, Planning & Practice (PP) of the ARE 4.0 (2008-June 30, 2018)

b) Site Planning is satisfied by one of the following:

1. Examination Syllabus D (1954-1973)

2. Equivalency Examination III (1973-1977)

3. Qualifying Test – Sections E, F (1977-1978)

4. Professional Examination – Section A (1979-1982)

5. Division B of the ARE (1983-1987)

6. Division B (Written and Graphic of the ARE (1988-1996))

7. Site Planning (SP) of the ARE 3.1 (1996-2009)

8. Programming, Planning & Practice (PP) and Site Planning & Practice (SPD) of the ARE 4.0 (2008-June 30, 2018)

c) Building Planning and Building Technology are satisfied by one of the following:

1. Examination Syllabus E (1954-1973)

2. Equivalency Examination III (1973-1977)

3. Qualifying Test – Sections E, F (1977-1978)

4. Professional Examination – Section A (1979-1982)

5. Division C of the ARE (1983-1996)

6. Building Planning (BP) & Building Technology (BT) of the ARE 3.1 (1996-2009)

7. Schematic Design (SD), Building Design & Construction Systems (BD), Building Systems (BS), Construction Documents & Service (CDS), and Structural Systems (SS) of the ARE 4.0 (2008-June 30, 2018)

d) General Structures is satisfied by one of the following:

1. Examination Syllabus G (1954-1973)

2. Equivalency Examination II (1973-1977) – see subsection (i)

3. Qualifying Test – Section B (1977-1982) – see subsection (i)

4. Professional Examination Part III (1973-1978) – see subsection (i)

5. Professional Examination – Section B, Part III (1979-1982) – see subsection (i)

6. Divisions D and F of the ARE (1983-1996)

7. Divisions D/F of the ARE (1988-1996)

8. General Structures (GS) of the ARE 3.1 (1996-2009)

9. Structural Systems (SS) of the ARE 4.0 (2008-June 30, 2018)

e) Lateral Forces is satisfied by one of the following:

1. Examination Syllabus G (1954-1973)

2. Equivalency Examination II (1973-1977) – see subsection (i)

3. Qualifying Test – Section B (1977-1982) – see subsection (i)

4. Professional Examination Part III (1973-1978) – see subsection (i)

5. Professional Examination – Section B, Part III (1979-1982) – see subsection (i)

6. Division E of the ARE (1983-1996)

7. Lateral Forces (LF) of the ARE 3.1 (1996-2009)

8. Structural Systems (SS) of the ARE 4.0 (2008-June 30, 2018)

f) Mechanical & Electrical Systems is satisfied by one of the following:

1. Examination Syllabus I (1954-1973)

2. Equivalency Examination II (1973-1977) – see subsection (i)

3. Qualifying Test – Section D (1977-1982) – see subsection (i)

4. Professional Examination Part III (1973-1978) – see subsection (i)

5. Professional Examination – Section B, Part III (1979-1982) – see subsection (i)

6. Division G of the ARE (1983-1996)

7. Mechanical & Electrical Systems (ME) of the ARE 3.1 (1996-2009)

8. Building Systems (BS) of the ARE 4.0 (2008-June 30, 2018)

g) Materials & Methods is satisfied by one of the following:

1. Examination Syllabus F (1954-1973)

2. Equivalency Examination II (1973-1977) – see subsection (i)

3. Qualifying Test – Section C (1977-1982) – see subsection (i)

4. Professional Examination Part III (1973-1978) – see subsection (i)

5. Professional Examination – Section B, Part III (1979-1982) – see subsection (i)

6. Division H of the ARE (1983-1996)

7. Materials & Methods (MM) of the ARE 3.1 (1996-2009)

8. Building Design & Construction Systems (BD) of the ARE 4.0 (2008‑June 30, 2018)

h) Construction Documents & Services is satisfied by one of the following:

1. Examination Syllabus H (1954-1973)

2. Professional Examination Part IV (1973-1977)

3. Professional Examination – Section B, Part IV (1978-1982)

4. Division I of the ARE (1983-1996)

5. Construction Documents & Services (CD) of the ARE 3.1 (1996-2009)

6. Construction Documents & Services (CDS) of the ARE 4.0 (2008-June 30, 2018)

i) Since the history and theory of architecture are incorporated into all Divisions of the ARE, no credit will be given for only having passed the Qualifying Test – Section A, History.

j) In order to be eligible for transfer credits for any part of the Professional Examination-Section B, the candidate must have passed three parts of the examination in one sitting, on or after December 1980.

k) Applicants shall, in all cases, pass the Pre-Design Division of the ARE if they have not passed the Equivalency Examination I or Section A of the Qualifying Test even though the applicant may have passed the Professional Examination‑Section B, Parts I and II.

l) Applicants without an NAAB-accredited degree must, in all cases, pass the General Structures, Lateral Forces, Mechanical & Electrical Systems and Materials & Methods divisions of the ARE if they have not passed the Equivalency Examination II or equivalent portions of the Qualifying Test, even though the applicant may have passed the Professional Examination-Section B, Part III.

m) After January 1, 2006, the Division will hold scores of examinations passed as valid for a period of 5 years reflecting the NCARB "5-year Rolling Clock". All scores of previously passed examinations prior to January 1, 2006 will be valid permanently.

n) As of January 1, 2014, any division passed prior to January 1, 2006 shall no longer remain valid if all remaining divisions have not been passed by July 1, 2014. Scores prior to January 1, 2006 will cease to be valid as of January 1, 2014. All scores must meet the NCARB "5-year Rolling Clock" requirements.

o) Pursuant to PA 98-288 (see 225 ILCS 305/13) effective August 9, 2013, acceptance of a pre-professional degree for licensure was extended to January 1, 2016. After that date, approvals to sit for the ARE or for licensure requires an NAAB-accredited professional degree.

p) As of January 1, 2016, Illinois requires either an NAAB accredited professional degree or a degree meeting NCARB requirements for a professional degree (CACB or EESA evaluation) for approval to sit for the ARE.

q) As of January 1, 2025, divisions of the NCARB ARE examination will remain active throughout the delivery of the exam version under which it was taken, as well as the next exam version. There is no longer a "5-year Rolling Clock" on the passage.

History

• Source: Amended at 49 Ill. Reg. 10074, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1150 Illinois Architecture Practice Act of 1989

68 Ill. Adm. Code 1150.ILLUSTRATION A Architect Seal and Signature Requirements

a) Every licensed architect shall have a reproducible seal, or facsimile, the print of which shall contain the name of the architect, the license number, and words "Licensed Architect, State of Illinois". The licensed architect shall affix the signature, current date, date of license expiration and seal to the first sheet of any bound set or loose sheets of technical submissions utilized as contract documents between the parties to the contract or contracts or prepared for the review and approval of any governmental or public authority having jurisdiction by that licensed architect or under that licensed architect's responsible control. The seal and dates may be electronically affixed. The licensee may provide, at his or her sole discretion, an original signature in the licensee's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer. The sheet of technical submissions on which the seal is affixed shall indicate those documents or parts of documents for which the seal shall apply (Section 14 of the Act).

b) All technical submissions issued by an architectural firm, corporation, limited liability company, professional limited liability company or partnership are required to bear the corporate or assumed business name and design firm registration number, in addition to the seal requirements.

c) The following is a suggested facsimile of the design and lettering of the seal:

---

signature

---

date

expires 11-30-____

History

• Source: Amended at 46 Ill. Reg. 19600, effective November 23, 2022

Part 1160 Illinois Athletic Trainers Practice Act

68 Ill. Adm. Code 1160.20 Examination

a) The examination for licensure shall be the certification examination for the National Athletic Trainers Association Board of Certification (BOC) or its successor agency.

b) Candidates shall make application for the examination, and pay the examination fee, directly to the designated testing service.

c) Unsuccessful candidates may retake the examination as many times as they wish. Retake application shall be made to the designated testing service.

d) Application to the designated testing service for purposes of taking the examination shall not constitute application to the Department of Financial and Professional Regulation-Division of Professional Regulation (Division) and shall not entitle an applicant to practice on a temporary basis under the provisions of Section 4(5) of the Illinois Athletic Trainers Practice Act (the Act).

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.30 Application for Licensure by Examination

a) Any person seeking licensure as an athletic trainer shall file an application with the Division on forms provided by the Division. The application shall include the following:

1. Certification of graduation from an athletic training program approved in accordance with Section 1160.31 or a program approved by the Commission on Accreditation of Athletic Training Education (CAATE) or its successor agency;

2. Verification of successful completion of the examination set forth in Section 1160.20 received directly from the designated testing service;

3. The required fee specified in Section 1160.35(a); and

4. Proof of current certification in cardiopulmonary resuscitation (CPR) and automated external defibrillation (AED) for Healthcare Providers and Professional Rescuers or its equivalent based on American Red Cross or American Heart Association standards.

b) An applicant who applies to the Division in accordance with subsection (a) is eligible to practice temporarily in accordance with the provisions of Section 4 of the Act.

1. An applicant who has not yet taken the required examination may practice, under the supervision of a licensed athletic trainer, pending examination in accordance with the provisions of Section 4(5) of the Act, for no longer than 3 months. If an applicant fails the examination, he/she shall cease practice immediately. Practicing after failure of an examination or beyond the 3 months shall be considered the unlicensed practice of athletic training.

2. An applicant who has applied in writing to the Division for licensure and has complied with all the provisions of Section 9 of the Act may practice in accordance with the provisions of Section 4(9) for no longer than 6 months or until notification has been given that licensure has been granted or denied. Practicing after denial of an application or beyond the 6 months shall be considered the unlicensed practice of athletic training.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.31 Approved Programs

a) In determining whether a program shall be approved, the Division shall take into consideration, but not be bound by, accreditation or approval by CAATE or its successor entity.

b) All athletic training programs accredited or approved by CAATE as of January 1, 2006 meet the minimum criteria set forth in this Section and are, therefore, approved.

c) The Division, upon recommendation of the Illinois Board of Athletic Trainers (the Board), may approve athletic training programs that are not accredited or approved by CAATE, provided the institution:

1. Is legally recognized and authorized by the jurisdiction in which it is located to confer a baccalaureate degree or master's degree;

2. Has a faculty which comprises a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their area of teaching from professional colleges or institutions;

3. Has a designated program director;

4. Has a curriculum that covers the domains of athletic training as stated in the Role Delineation Study, 7th Edition, published by the BOC, 1415 Harney St., Ste. 200, Omaha NE 68102, 2006 (this incorporation includes no later amendments or editions), or its successor agency, and provides evidence of completion of the clinical competencies established by CAATE or its successor agency.

d) The Division or Board may require additional information in order to evaluate the program.

e) Programs evaluated under subsection (c) must be approved on a case-by-case basis for each licensure application.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.35 Fees

The following fees shall be paid to the Department and are nonrefundable:

a) The fee for application for a license as an athletic trainer is $200.

b) The fee for application for licensure of a person licensed as an athletic trainer in another jurisdiction is $200.

c) The fee for renewal of an athletic trainer license is $100 per year.

d) The fee for application for a sponsor of continuing education (CE) is $500.

e) The fee for renewal as a sponsor of CE is $125 per year.

f) The fee for restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees.

g) The fee for issuance of a duplicate license or for the issuance of a replacement license for a license that has been lost or destroyed is $20.

h) The fee for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is replaced.

i) The fee for certification of a license for any purpose is $20.

j) The fee for a wall certificate showing licensure is the actual cost of producing the license.

k) The fee for a roster of persons licensed under the Act is the actual cost of producing the roster.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.40 Renewals

a) Each license issued under the Act shall expire on May 31 of even-numbered years. The holder of the license may renew the license during the month preceding the expiration date by paying the required fee and completing 40 hours of CE in accordance with Section 1160.65.

b) It is the responsibility of each license holder to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired license shall be considered the unlicensed practice of athletic training and subject to discipline or other penalties set forth in Section 16 of the Act.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.50 Restoration

a) A person seeking restoration of a license that has expired for less than 5 years shall have the license restored upon payment of $20 plus all lapsed renewal fees as set forth in Section 1160.35(g). A person seeking restoration of a license shall provide evidence of successful completion of 40 hours of CE in accordance with Section 1160.65 earned within the 2 years immediately preceding the restoration.

b) A person seeking restoration of a license that has been placed on inactive status for less than 5 years shall have the license restored upon payment of the current renewal fee specified in Section 1160.35(d). A person seeking restoration of a license shall provide evidence of successful completion of 40 hours of CE in accordance with Section 1160.65 earned within the 2 years immediately preceding the restoration.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fees set forth in Section 1160.35, and shall provide evidence of successful completion of 40 hours of continuing education in accordance with Section 1160.65 earned within 2 years immediately preceding the application for restoration. The application shall also include one of the following documents:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of the active practice; or

2. An affidavit attesting to military service as provided in Section 12 of the Act; or

3. Other evidence of continued active participation in athletic training for at least the last 2 years.

A) The evidence shall show that he/she has been:

i) employed in a responsible capacity under the supervision of a licensed athletic trainer; or

ii) an officer or employee of the United States government as a practicing athletic trainer; or

iii) teaching athletic training in a college or university; or

B) The applicant shall submit proof of an additional 20 hours of CE in accordance with Section 1160.65, for a total of 60 hours.

d) Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 12 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the CE requirements.

e) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division because of lack of information, discrepancies or conflicts in information given or a need for clarification, the person seeking restoration of a license shall be required to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.60 Application for Licensure by Endorsement

a) An applicant seeking licensure in Illinois who is licensed/registered under the laws of another jurisdiction shall file an application with the Division, on forms provided by the Division, that includes:

1. Proof of successful completion of the examination set forth in Section 1160.20;

2. Certification from the state or territory of the United States in which the applicant was originally licensed, and the states in which the applicant is currently licensed, stating:

A) The time during which the applicant was licensed/registered in that jurisdiction;

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending;

3. Proof of current certification in CPR and AED or its equivalent based on American Red Cross or American Heart Association standards.

b) An applicant licensed in another state who has applied in writing to the Division for licensure by endorsement may practice in accordance with the provisions of Section 4(8) of the Act. This temporary right to act as an athletic trainer shall expire 6 months after the filing of the written application with the Department, upon the withdrawal of the application for licensure under this Act, when the applicant has received a license from the Department, or upon delivery of a notice of intent to deny the application by the Department, whichever occurs first. Practicing after denial of an application or beyond the 6 months shall be considered the unlicensed practice of athletic training.

c) The Division may request additional information to determine if the requirements in the state or territory of original licensure were substantially equivalent to the requirements then in effect in Illinois or to determine whether the requirements of another state or territory, together with education and professional experience qualifications of the applicant, are substantially equivalent to the requirements in Illinois at the time of application.

d) The Division shall either issue a license by endorsement to the applicant or notify him/her of the reasons for the denial of the application.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.64 Supervision

Individuals who are completing a course of study in an approved educational program and who are performing athletic training as a part of their supervised experience, pursuant to Section 4(3) of the Act, shall be supervised by a licensed athletic trainer. If the experience has been completed in another state where licensure is not required, the experience shall be under the supervision of an athletic trainer certified by the Board of Certification for the Athletic Trainer or its successor agency.

History

• Source: Amended at 31 Ill. Reg. 16823, effective December 13, 2007

68 Ill. Adm. Code 1160.65 Continuing Education

a) CE Hour Requirements

1. Renewal applicants shall complete 40 hours of CE relevant to the practice of athletic training during each prerenewal period. The Division may conduct audits, at a level consistent with its resources for conducting such an audit, to verify compliance with this Section. The prerenewal period is the 24 months preceding the expiration date of the license.

2. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

3. Athletic trainers licensed in Illinois but residing and practicing in another state must comply with the CE requirements set forth in this Section.

b) Activities for which CE credit may be earned are as follows:

1. Verified attendance or participation in any CE course approved by the BOC or CE sponsors approved by the BOC or its successor agency.

2. Verified attendance at or participation in a program given by a sponsor as set forth in subsection (c)(1).

3. A maximum of 26 hours per prerenewal period for:

A) Papers prepared for or delivered before recognized athletic trainer organizations;

B) Papers published in nationally recognized athletic training journals; and

C) Writing a chapter in a book about athletic training.

4. A licensee who has completed an Emergency Medical Technician training program for EMT-B, EMT-I or EMT-P certification in accordance with 77 Ill. Adm. Code 515 or who has taken CE for renewal of those certifications in accordance with 77 Ill. Adm. Code 515.590 may apply up to 10 hours toward meeting the CE hours set forth in this Section, provided the topics covered during these hours are relevant to the practice of athletic training.

5. A licensee who serves as an instructor, speaker or discussion leader of a course given by an approved sponsor will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course. In no case shall credit for actual time of presentation and preparation be given for more than 9 hours during any renewal period.

6. The CE hours used to satisfy the CE requirements for renewal of an athletic trainer license held in another jurisdiction shall be applied toward the CE requirements for renewal of an Illinois athletic trainer license.

7. College course work relevant to athletic training completed at an accredited college or university. One semester hour of course work is equivalent to 15 hours of CE and one quarter hour of course work is equivalent to 10 hours of CE.

8. A CE hour equals 50 minutes. After completion of the initial CE hour, credit may be given in one-half hour increments.

9. CPR certification by the American Red Cross, American Heart Association, National Safety Council, or their international affiliates, or AED certification by the American Red Cross or other qualified organization as authorized by the Automated External Defibrillator Act. Five hours of CE may be earned for one CPR and AED certification. No more than 2 certifications may be submitted per renewal.

c) CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) The BOC or CE sponsors approved by the BOC or its successor agency;

B) Any other school, college or university, State agency, or any other person, firm or association that has been approved and authorized by the Division to coordinate and present CE courses and programs in conjunction with this Section.

2. An entity seeking approval as a CE sponsor, as provided in subsection (c)(1)(B), shall file an application, along with the required fee set forth in Section 1160.35(e), that includes:

A) Certification:

i) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(5) below and all other criteria in this Section;

ii) That the sponsor will be responsible for verifying attendance at each course or program and provide a certificate of completion as set forth in subsection (c)(7); and

iii) That, upon request by the Division, the sponsor will submit evidence as is necessary to establish compliance with this Section. The evidence shall be required when the Division has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance;

B) A copy of a Certificate of Attendance or Participation that meets the requirements set forth in subsection (c)(7); and

C) A sample of a CE course that includes, but is not limited to, course materials, books, instructor credentials.

3. Each sponsor shall submit by May 31 of even-numbered years a renewal application along with the required renewal fee set forth in Section 1160.35(f).

4. State agencies, colleges and universities shall submit a sponsor application in accordance with subsections (c)(2) and (3); however, they shall be exempt from payment of the fee.

5. All courses and programs shall:

A) Contain materials that contribute to the advancement, extension and enhancement of professional skills and knowledge in the practice of athletic training;

B) Specify the course objectives, course content and teaching methods to be used;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal; and

E) Include some mechanism whereby participants evaluate the overall quality of the program.

6. All programs given by sponsors shall be open to all licensed athletic trainers and not be limited to the members of a single organization or group.

7. Certificate of Attendance or Participation. It shall be the responsibility of the sponsor to provide each participant in an approved program or course with a certificate of attendance or participation that shall contain the following information:

A) The name, address and license number of the sponsor;

B) The name and license number of the participant;

C) A brief statement of the subject matter;

D) The number of clock hours actually attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

8. The sponsor shall maintain course materials and attendance records containing all information in subsection (c)(7) for not less than 5 years, except for the signature of the sponsor.

9. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

10. The Division, upon recommendation of the Board, shall withdraw, suspend or place on probation the approval of a CE sponsor when, at any time, the quality of the CE fails to meet the established criteria as set forth in this Section or if the sponsorship approval was based upon false or deceptive information or if any other related license of the sponsor or instructor is suspended, revoked or otherwise disciplined.

11. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any CE program at any time.

12. The Division shall maintain a list of all approved CE sponsors.

d) CE Earned in Other Jurisdictions

1. If a renewal applicant will be earning or has earned CE hours in another jurisdiction, the applicant is not licensed in that jurisdiction and the course is not presented by an approved sponsor, the applicant shall submit an individual program approval request form, along with a $20 processing fee, to have the program reviewed. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(5). Applicants may seek individual program approval prior to participation in the course or program. All individual program approval requests shall be submitted at least 90 days prior to the expiration date of the license.

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $20 processing fee plus a $10 per CE hour late fee not to exceed $150. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional documentation in order to demonstrate compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The additional documentation will be required in the context of a Division audit.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

f) Restoration of Nonrenewed License. Upon evidence of compliance with CE requirements, the Division may restore the license upon payment of the required fee.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, the required renewal fee, a statement setting forth the facts concerning the noncompliance, and a request for waiver of the CE requirements on the basis of these facts. The applicant may request an interview with the Board at the time of the waiver request. If the Division, upon the written recommendation of the Board, finds from the applicant's affidavit or any other evidence submitted that extreme hardship has been shown to substantiate granting of a waiver, the Division shall waive enforcement of the CE requirements for the renewal period for which the applicant has applied.

2. If an interview with the Board is requested at the time the request for waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

3. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness, documented by a currently licensed physician; or

C) Any other similar extenuating circumstances (i.e., family illness and prolonged hospitalization).

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, pursuant to the provisions of this Section, shall be deemed to be in good standing and may practice until the Division's final decision on the waiver has been made.

History

• Source: Amended at 41 Ill. Reg. 981, effective January 27, 2017

68 Ill. Adm. Code 1160.70 Annual Report of Board (repealed)

History

• Source: Repealed at 27 Ill. Reg. 9476, effective June 9, 2003

68 Ill. Adm. Code 1160.80 Granting Variances

a) The Director of the Division of Professional Regulation (Director), with authority delegated by the Secretary, may grant variances from this Part in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance;

3. The rule from which the variance is granted would in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of a variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 31 Ill. Reg. 16823, effective December 13, 2007

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.100 Fees

a) Licensure fees for cosmetologists, barbers, estheticians, hair braiders, nail technicians, cosmetology teachers, cosmetology clinic teachers, barber teachers, esthetics teachers, hair braiding teachers, and nail technology teachers are:

1. License. The fee for a license is $30 and is to be submitted with the application.

2. Examination. Applicants for any examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of providing the examination.

3. Licensure by Acceptance of Examination. The fee for an application to accept an examination is $30 and is to be submitted with the application.

4. Renewal. The fee for renewal of a license shall be calculated at the rate of $25 per year.

5. Restoration. The fee for restoration of a license is $50 plus payment of all lapsed renewal fees not to exceed $200.

6. Restoration from Inactive Status. The fee for restoration of a license from inactive status is the current renewal fee.

7. Endorsement. The fee for a license for a cosmetologist, barber, esthetician, hair braider, nail technician, cosmetology teacher, barber teacher, esthetics teacher, hair braiding teacher, or nail technology teacher licensed under the laws of another jurisdiction is $45.

b) Licensure fees for cosmetology schools, barber schools, esthetics schools, hair braiding schools or nail technology schools are:

1. License. The fee for a license is $450 plus the cost of inspection ($50).

2. Change of Ownership. The fee for a license resulting from a change of ownership is $150 plus the cost of inspection ($50).

3. Change of Location. The fee for a license resulting from a change of location is $150 plus the cost of inspection ($50).

4. Change of Name. The fee for a license resulting from a change of name is $20.

5. Renewal. The fee for renewal of a license shall be calculated at $100 per year.

6. Expansion. The fee for on-site and off-site expansion is $50.

7. Cosmetology School Approval to Teach Esthetics. The fee for approval to upgrade to teach esthetics shall be the cost of the inspection ($50).

8. Cosmetology School Approval to Teach Nail Technology. The fee for approval to upgrade to teach nail technology shall be the cost of the inspection ($50).

9. Cosmetology School Approval to Teach Hair Braiding. The fee for approval to upgrade to teach hair braiding shall be the cost of the inspection ($50).

10. Cosmetology School Approval to Teach Barbering. The fee for approval to upgrade to teach barbering shall be the cost of the inspection ($50).

c) Salon Fees

1. Registration. The fee for registration of a barber shop or cosmetology, nail technician, hair braiding or esthetics salon (salon) is $40.

2. Change of Name. The fee for changing the name or address of a registered barber shop or salon is $20.

3. Renewal. The fee for renewal of a registration for a barber shop or salon is calculated at $20 per year.

4. Reissuance Reprint. The fee for reissuance of a registration with a change of name is $20.

5. Restoration. The fee for restoration of a registration for a barber shop or salon is $40.

d) Sponsor Fees

1. Registration. The fee for registration as a continuing education (CE) sponsor shall be $200.

2. Renewal. The fee for renewal as a CE sponsor shall be $100 every two years. If a sponsor allows the registration to lapse, he/she will be required to submit $250 to restore the registration.

3. Registration. The fee for registration as a domestic violence and sexual assault awareness education sponsor shall be $100.

4. Renewal. The fee for renewal as a domestic violence and sexual assault awareness education sponsor shall be $50 every two years. If a sponsor allows the registration to lapse, he/she will be required to submit $100 to restore the registration.

5. State agencies, community colleges and State universities in Illinois who are approved as CE sponsors shall be exempt from registration and renewal fees.

e) General Fees

1. Change of Name or Address. The fee for issuance of a license with a change of name or address other than during the renewal period is $20.

2. Certification of Record. The fee for certification of a licensee's record for any purpose is $20.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.105 English Translations

Any document submitted to the Division, in accordance with the Act and this Part, in a foreign language must be accompanied by an original, notarized English translation. The translator must be fluent in both English and the foreign language and must certify to the accuracy of the translation.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.110 Granting Variances

The Director may grant variances from this Part in individual cases when he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be substantially injured by granting the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.115 Sanitary Standards

The sanitary standards set forth in this Section shall be followed by all licensees as appropriate to their practice. Failure to comply with these standards shall be considered unprofessional conduct and may be determined to be a violation pursuant to Section 4-7 of the Act.

a) Definitions

1. "Clean" means free of soil, dust, contaminants or impurities, or recently laundered and unused, or the removal of soil, dust, etc., by washing, sweeping, clearing away, or any other appropriate method

2. "Disinfect" means the use of a chemical agent that eliminates harmful bacteria, fungi and viruses on surfaces.

3. "Disinfectant" means a chemical agent that eliminates harmful bacteria, fungi and viruses.

4. "Hospital Grade Disinfectant" means a disinfectant that is registered with the Environmental Protection Agency (EPA) as a hospital-level disinfectant and that performs the functions of bactericides (kill harmful bacteria), virucides (kill pathogenic viruses), and fungicides (destroy fungus).

b) Sanitary Requirements

1. Adequate disinfecting or sterilizing equipment shall be maintained for the number of licensees, usage requirements, and volume of business.

2. All disinfecting agents shall be kept at adequate strengths to maintain effectiveness, be free of residue and be available for immediate use at all times the salon or shop is open for business.

3. All tools, implements and items that come in direct contact with a client shall be cleaned and disinfected or disposed of after use on each client.

4. All non-disposable manicure tools and implements shall be cleaned and disinfected with a hospital grade disinfectant after use on each client.

5. All items designed to be disposed of after a single use, such as orangewood sticks, cotton, gauze, neck strips, nail wipes, tissues, sponges, paper towels, wooden applicators and spatulas, emery boards or porous nail files, buffer blocks, pumice stones, sanding bands or sleeves and disposable nail bits shall be disposed of after each use.

6. New and/or disinfected and cleaned tools shall be stored separately from all others.

7. Manicure tables, work stations and facial chairs shall be cleaned and disinfected with a hospital grade disinfectant before and after serving each client.

8. Head rests of any chair shall be protected with a disposable cover and changed after each use, or a clean washable towel may also be used.

9. Items subject to cross-contamination by re-dipping into a multi-use container, such as creams, cosmetics, astringents, lotions, removers, waxes, moisturizers, masks and oils used within a field of practice, shall be dispensed from containers to prevent contamination of the unused portion. Any product that becomes contaminated shall be discarded after use on that particular client.

10. Paraffin wax must be used in a manner that prevents contamination of wax remaining in the paraffin bath or container, such as application with a single use or sanitized spatula or applicator or disposal of any used wax. Paraffin must be covered when not in use and maintained at a temperature specified by the manufacturer's instructions.

11. All articles that come in direct contact with the client's skin that cannot be cleaned or disinfected shall be disposed of immediately after use.

12. All clean towels shall be kept in a closed or covered space.

13. All clean or disposable esthetics sheets, gowns and head coverings shall be kept in a closed or covered space.

14. Licensees shall observe and follow thorough hand washing with soap and water or any equally effective cleansing solution or waterless hand sanitizer before and after serving each client.

15. Licensees shall ensure that each client's hands or feet are washed with soap and water or waterless hand sanitizer prior to performing any manicuring or pedicuring services.

16. The use of nail products or the distribution of nail products containing monomer Methyl Methacrylate (MMA) is prohibited.

17. Clean towels shall be used for each client.

18. Clean or disposable esthetics sheets, gowns and head coverings shall be used for each client.

19. A neck strip or towel shall be placed around the client's neck and changed after each use to prevent direct contact between a common use hair cloth or cape and the client's skin.

20. Hair clippings shall not be allowed to accumulate and shall be disposed of in a covered container.

21. Floor surfaces shall be kept clean, orderly and in good repair.

22. Storage drawers for clean tools and implements shall be clean, free of hair and used only for clean tools and implements.

23. All soiled towels shall be kept in a covered container. Containers shall be large and sturdy enough to store soiled items, towels or linens after use.

24. Shampoo bowls and sinks shall be clean and free of hair and residue after each use.

25. Equipment, mirrors, lights and similar closures, furnishings, attached equipment, decorative materials and fixtures shall be kept clean and in good repair.

26. Walls, doors, windows and ceilings shall be clean and free of excessive spots, mildew, condensation or peeling paint.

27. Storage cabinets, work stations and vanities shall be kept clean.

28. Roller-storage receptacles and contents shall be clean and free of hair and residue.

29. Outer surfaces of waste disposal containers shall be kept clean.

30. All salons and shops shall provide adequate ventilation as required by the city, county or municipality to keep them free of excessive heat, steam, condensation, vapors, obnoxious odors, smoke and fumes.

31. All salons and shops shall provide a safe and adequate supply of continuous hot and cold running water from an approved source (see Illinois Plumbing Code (77 Ill. Adm. Code 890)). Sinks located in the restroom do not qualify as a water source.

32. Licensees shall have immediate access to a supply of hot and cold running water.

33. No owner or manager of a salon or shop shall knowingly permit any person suffering from a serious communicable disease, as defined in 77 Ill. Adm. Code 690, to work on the premises.

34. No licensee shall be required or permitted to massage any surface of the skin or scalp where the skin is inflamed or where a skin infection or eruption is present.

35. No licensee shall be required or permitted to work upon a person suffering from a serious communicable disease, as defined in 77 Ill. Adm. Code 690.

36. Pets or other animals shall not be permitted in a salon or shop at any time. This prohibition does not apply to an animal assistant for the physically impaired.

c) Pedicure Equipment Cleaning and Disinfecting Procedures

The following procedures, as developed by the International Nail Technicians Association, shall be followed for all pedicure equipment, such as whirlpool pedicure foot spas, self-contained foot basins, sinks and pedicure bowls:

1. After each client:

A) Drain all water from the foot spa, pedicure basin or bowl;

B) Clean the interior surfaces and walls of the foot spas or basin with soap or detergent to remove all visible debris; rinse with clean, clear water;

C) Disinfect by spraying the interior surface of the foot basin or bowl with either an EPA-registered disinfectant (demonstrated bactericidal, fungicidal, and virucidal activity used according to manufacturer's instructions) or 10% bleach solution; and

D) Wipe dry.

2. At the end of every day, after the last client:

A) Perform the procedures of subsection (c)(1);

B) Remove the screen from whirlpool basin. All debris trapped behind the screen of each foot spa shall be removed with a brush and soap or detergent; then the screen and the inlet shall be cleaned to remove all visible debris with soap or detergent and water;

C) Before replacing the screen, totally immerse the screen in either an EPA-registered disinfectant or 10% bleach solution;

D) Fill the basin with warm water and low-sudsing soap, turn the system on and flush the spa system for 5 minutes, then rinse and drain.

3. Once every week:

A) Repeat the procedures of subsection (c)(2); then fill the foot spa or basin with cold water and one tablespoon of 5.25% liquid household bleach (or the equivalent) for each one gallon of water based on the capacity of unit;

B) Turn unit on and circulate the bleach solution through the system for 5 to 10 minutes; turn unit off;

C) Let the bleach solution sit in the spa or pedicure basin overnight (at least 6-10 hours);

D) The following morning, and before the first client, drain bleach solution;

E) Fill the basin with clean water, turn the system on and flush the system with clean water and drain.

4. Logs:

Make a record of the date and time of the weekly cleaning and disinfecting. The record for the last 90 days shall be readily accessible and available upon client or inspector request. Separate logs for weekly and daily procedures are needed but may be kept in the same document log.

d) Devices/Equipment

1. All manual or mechanical devices and equipment used in the practice of barbering, cosmetology, esthetics, hair braiding or nail technology must meet all "product registration requirements" imposed by any federal, State, county or local authority.

2. All manual or mechanical devices or equipment used in the practice of barbering, cosmetology, esthetics, hair braiding or nail technology must be used in accordance with the "product safety requirements” imposed by any federal, State, county or local authority.

3. Each licensee must verify, maintain, or be able to access documentation related to any device classified by the FDA that is used in the practice of barbering, cosmetology, esthetics, hair braiding or nail technology.

4. Licensees may not use any manual or mechanical device or equipment unless the use is part of the delivery of services within the licensee's scope of practice and is consistent with the manufacturer's intended use of the device and with client health and safety.

e) Compliance with All Applicable Regulations

Owners or managers of a salon or shop and licensees shall observe and be subject to all Illinois Department of Public Health, as well as other city, county and State, regulations pertaining to public health and safety. Compliance with building, State fire, plumbing, and electrical regulations is also required.

History

• Source: Amended at 38 Ill. Reg. 21098, effective November 7, 2014

68 Ill. Adm. Code 1175.120 Dishonorable, Unethical or Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license, or take other disciplinary action based upon its findings of dishonorable, unethical or unprofessional conduct (see Section 410/4-7(a)(1)q of the Act), which is interpreted to include, but is not limited to, the following acts or practices:

a) Engaging in conduct likely to deceive, defraud or harm the public, or demonstrating a willful disregard for the health, welfare or safety of a client or student. Actual injury need not be established;

b) Practicing or offering to practice beyond the scope permitted by law, or accepting and performing professional responsibilities that the licensee knows or has reason to know that he/she is not competent to perform;

c) Using products and chemicals that have not been approved by the United States Food and Drug Administration or utilizing those products or substances in a manner that is contrary to the manufacturer indication for use, e.g. using hair dye meant for hair on the scalp for dyeing eyebrows;

d) Violating labor laws in the practice of the profession under this Act, or using persons to provide services in a manner that constitutes involuntary labor and other forms of servitude to repay debts, or engaging in sex trafficking in which a commercial sex act is induced by force, fraud or coercion or in which the person induced to perform the sex act has not attained 18 years of age;

e) Engaging in conduct that is a departure from or failure to conform to the standards of practice. Actual injury to a client need not be established;

f) Demonstrating actual or potential inability to practice with reasonable skill, safety or judgment:

1. by reason of illness, use of alcohol, drugs, chemicals or any other material; or

2. as a result of any mental or physical condition;

g) Committing gross negligence or multiple acts of negligence in practice. The Department may take into account relevant factors and practices, including but not limited to the standard of practice generally and currently followed and accepted by persons licensed to practice the profession in this State, and the current accepted teachings among licensed schools;

h) Engaging in deception regarding licensure; for example, the licensee or applicant:

1. assisted in examination fraud or cheating or other misconduct or subversion of the examination;

2. allowed a license to be used by another person;

3. allowed the license to be displayed to the public when the license has expired, is inactive, or has been revoked or suspended;

4. provided or assisted in the provision of credentials to a person who has not earned the credential in compliance with the Act, for example, selling transcripts or CE certificates to a person who did not attend or receive the training as the document asserts or providing unearned transcripts to family members or friends; or

5. produced or facilitated the production of forged or falsified licenses, transcripts, credentials or certificates to the Department.

i) Obtaining products and chemicals for sale to licensees and conveying that material to another, or allowing an unlicensed person to use the licensee's credential to obtain material that is not for sale to the public in the quantity or formulation sold only to licensees, e.g., conveying acetone, hydrochloric acid, or ammonia to unlicensed persons or those who use the product or substances in the manufacture of other chemicals or illegal substances;

j) Engaging in fraud or material deception in the course of professional services or activities, including advertising services or goods, in a false or misleading manner;

k) Failing to cooperate with the Department, which includes but is not limited to the following in regard to the licensee's practice or applicant's conduct or credentials:

1. Refusing to permit or interfering with an inspection authorized under the Act;

2. Failing to respond fully and truthfully to a question or request for information from the Department;

3. Failing to provide information or documents to the Board within the time specified by the Board;

4. Failing to appear and provide information at an interview requested by the Department;

5. Deceiving or attempting to deceive the Department regarding any matter related to the licensee's or applicant's practice, including but not limited to altering or destroying any record or document;

6. Failing to comply with the terms, conditions and recommendations of a Non-Disciplinary Order or Non-Disciplinary Consent Order issued by the Department; or

7. Interfering with or using threats or harassment to delay or obstruct any person in providing information or evidence to the Department in any matter, investigation, contested case proceeding, or other legal action instituted by the Department;

l) Engaging in fraud or misconduct or misrepresentations regarding student financial aid;

m) Failing to comply with an Order, Consent Order or other Order or Subpoena of the Department or another licensing authority or another authority having jurisdiction over the practice of the profession, or surrendering licensure to any other licensing or regulatory authority having jurisdiction over the licensee or applicant in the same occupation or related professions while an investigation or inquiry into allegations of unprofessional or unlawful conduct is in progress or after a charging document has been filed against the applicant or licensee alleging unprofessional or unlawful conduct;

n) Engaging in conduct that constitutes the offer to sell, sale or provision of controlled substances or illegal substances or sex acts in, or in areas adjacent to, the location where professional services are provided;

o) Engaging in any act of sexual misconduct involving a client, including but not limited to any nonconsensual acts or statements of a sexual nature that do not contribute to an appropriate licensee-client relationship or the professional provision of services; or

p) Engaging in any act involving moral turpitude, including but not limited to fraud, deceit, dishonesty or illegal activity undertaken for personal gain.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.125 Citations

a) The Division may issue citations to licensees and registrants or to unlicensed or unregistered persons or entities for the following violations of the Act:

1. Unlicensed practice;

2. Practice on an expired license;

3. Failure to register a salon or shop;

4. Operating a salon or shop on an expired registration;

5. Aiding and abetting unlicensed practice;

6. Failure to display a license as required by the Act; and

7. Failure to comply with sanitary rules (Section 1175.115).

b) A nondisciplinary fee shall be assessed for a first citation for any one of the violations listed in subsection (a) in the amount of $100, with the exception that the fine (disciplinary) for a violation of subsection (a)(5) shall be $200. If there are multiple violations cited, the Division may assess a nondisciplinary fee or a fine, as applicable, in these amounts per violation.

c) The fine to be assessed for a second citation issued within 12 months after the first citation for the same violation for any one of the violations listed in subsection (a) shall be $250, with the exception of the violation listed in subsection (a)(5), which shall be $500. If there are multiple violations cited, the Division may assess a fine in these amounts per violation.

d) Payment of the nondisciplinary fee or the fine does not absolve the person or entity cited from the responsibility to correct the violation. A continuing or repeated violation may subject the person or entity cited to a further citation or to disciplinary action as authorized by the Act and this Part.

e) Failure to timely satisfy the nondisciplinary fee or the fine assessed may result in disciplinary action for the violations noted.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.150 Definitions

"Act" means the Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985 [225 ILCS 410].

"Approved Education Credentialing Evaluation Service" means a credential evaluation services company that was an accredited member of the National Association of Credential Evaluation Services (NACES) or Association of International Credentials Evaluators (AICE) on the date that the evaluation was completed.

"Board" means the Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Board.

"Department" means the Illinois Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation, with the authority delegated by the Secretary.

"Division" means the Illinois Department of Financial and Professional Regulation-Division of Professional Regulation.

"Licensee" means a licensee under the Act.

"Private School" means any educational institution not meeting the definition of public school that conducts a cosmetology, barbering, esthetics, hair braiding or nail technology program.

"Public School" means a public high school, a community college, public university, or any other institution operated by a governmental body or agency that conducts a cosmetology, barbering, esthetics, hair braiding or nail technology program.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.175 Applicant and Licensee Address of Record and Email Address of Record

Pursuant to Section 2105-7 of the Civil Administrative Code of Illinois [20 ILCS 2105], all applicants and licensees shall:

a) provide a valid address and email address to the Department, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) inform the Department of any change of address of record or email address of record within 14 days after any changes, either through the Department's website or by contacting the Department's licensure maintenance unit.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.200 Examination – Barber

a) Eligibility. Each applicant must meet the following requirements, pursuant to Section 2-2 or 2-3 of the Act, prior to filing an application for the barber examination.

1. Be at least 16 years of age;

2. Be a high school graduate or its equivalent or beyond the age of compulsory school attendance;

3. Either:

A) Pursuant to Section 2-2 of the Act, graduate from a barber school approved by the Division that meets the requirements set forth in Subpart C; or

B) Pursuant to Section 2-3 of the Act, graduate from a cosmetology school approved by the Division that meets the requirements set forth in Subpart E.

b) Application. Each applicant shall file an application for examination, on forms provided by the Division. The application shall include:

1. An official transcript showing successful completion of the required training outlined in Section 2-2(c) and 2-3(c) and (d) of the Act and a passing grade on the final examination administered by the school as set forth in Section 1175.340;

2. The required fee set forth in Section 1175.100;

3. Official transcripts showing successful completion of remedial training when required by Section 2-7 of the Act or Section 1175.210;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit, or court order) if the applicant's name is other than that shown on submitted documents;

5. If licensed as a barber in another state, a certification of licensure from the state of original licensure and from the state of current licensure or most recent practice; and

6. All applicants shall submit the required examination fee to the Department's testing service.

c) Examination. Each applicant shall take and pass the barber examination as required in Section 1175.210.

d) An applicant's training received from a barber school or similar institution located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart C. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts B and C. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 250-hour barber refresher course from a school licensed by the Division as set forth in Section 1175.331. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.205 Licensure by Examination – Barber Teacher

a) Eligibility. Each applicant must meet the following requirements pursuant to Section 2-4(a), (b), (c) and (d) of the Act prior to filing an application for the barber teacher examination.

1. Be at least 18 years of age;

2. Be a high school graduate or its equivalent;

3. Hold a license in good standing as a barber or cosmetologist;

4. Either:

A) Complete a program of 500 hours of barber teacher training in an approved barber school and 3 years of practical experience as a licensed barber within 5 years preceding the application; or

B) Complete a program of 1000 hours of barber teacher training in an approved barber school.

b) Application. Each applicant shall file an application, on forms provided by the Division. The application shall include:

1. Either:

A) In the case of a barber teacher training graduate, pursuant to Section 2-4(d)(1) of the Act:

i) An official transcript from an approved barber school showing successful completion of a program of 500 hours of barber teacher training as set forth in Section 1175.335; and

ii) 2 employment verification forms showing at least 3 years of practical experience as a licensed barber within the last 5 years.

B) In the case of a barber teacher training graduate, pursuant to Section 2-4(d)(2) of the Act, an official transcript from an approved barber school showing successful completion of a program of 1000 hours of barber teaching training as set forth in Section 1175.335;

2. The applicant's Illinois barber license number;

3. If licensed as a barber teacher in another state, other jurisdiction of the United States, or foreign jurisdiction, a certification of licensure from the state or jurisdiction of original licensure and from the state or jurisdiction of current licensure or most recent practice;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit, or court order) if the applicant's name is other than that shown on any document submitted; and

5. All applicants under this Section shall submit the required examination fee to the Department's testing service.

c) Examination. Each applicant shall take and pass the barber teacher examination as required in Section 1175.210.

d) An applicant's training received from a barber or cosmetology school or similar institution located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart C. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts B and C. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 250-hour barber refresher course from a school licensed by the Division as set forth in Section 1175.331. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

e) The required fee set forth in Section 1175.100.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.206 Licensure by Acceptance of Examination - Barber

a) Eligibility. If the applicant does not hold a license as a barber or barber teacher in any jurisdiction of the United States but has completed barber training and passed a barber licensing examination in that jurisdiction substantially similar to the requirements of the Act and this Part, the applicant shall apply for licensure under this Section.

b) Application. Each applicant shall file an application for acceptance of examinations on forms provided by the Division. The application shall include:

1. An official transcript from the school or program showing successful completion of training;

2. Proof of passage of the licensing examination within 12 months preceding the application; and

3. The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.207 Licensure by Acceptance of Examination - Barber Teacher

a) Eligibility. If the applicant has a barber license in any jurisdiction of the United States, does not hold a barber teacher license in any jurisdiction of the United States, and has completed teacher training and passed a teacher examination in another jurisdiction of the United States other than Illinois substantially similar to the requirements of the Act and this Part, the applicant shall apply for licensure under this Section.

b) Application. Each applicant shall file an application for acceptance of examination on forms provided by the Division. The application shall include:

1. Proof of licensure as a barber in this or any other jurisdiction of the United States;

2. Proof of 3 years of practical experience as a licensed barber within 5 years preceding the application;

3. An official transcript from the school or program showing successful completion of teacher training;

4. Proof of passage of a teacher licensing examination within 12 months preceding the application; and

5. The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.210 Examination Requirements

a) Examinations shall be administered by the Division or its designated testing service for barbers and teachers of barbering.

b) The passing grade on each examination is 75 or another state's passing grade.

c) Retakes

1. A barber applicant who fails to pass a third examination must submit an official transcript from a licensed barber or cosmetology school showing successful completion of a 100-hour refresher course (see Section 1175.331), or the 250-hour barber refresher course from a school licensed by the Division as set forth in Section 1175.331, prior to taking the exam a fourth time;

2. A barber teacher applicant who fails to pass a third examination must submit an official transcript from a licensed barber or cosmetology school showing successful completion of 80 hours of additional study in teaching methodology and educational psychology prior to taking the examination a fourth time;

3. The requirement for remedial training set forth in this Section may be waived in whole or in part by the Division upon proof to the Division that the applicant has demonstrated competence to again sit for the examination. Pursuant to Section 2-7 of the Act, the Division shall consider the following factors when waiving remedial training, including but not be limited to: the percentage points by which the applicant failed the examination, the number of times the applicant failed the examination, and extenuating circumstances that explain the applicant's failure to pass the examination;

4. For purposes of the examination retakes, the fourth attempt shall count as the first;

5. An applicant shall make a written request for an examination retake at least 45 days in advance of the examination date. The request must include the required examination fee and official transcripts when further study is required in accordance with subsections (b)(1), (2) and (3).

d) If an applicant has not submitted an application for licensure within 12 months after taking and passing the examination, the applicant must retake and pass the examination prior to being granted a license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.215 Application for Licensure (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.220 Licensure by Endorsement

a) An applicant who is currently registered or licensed as a barber in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the barber license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the barber license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

b) An applicant who is currently registered or licensed as a barber teacher in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the barber teacher license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the barber teacher license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

c) An applicant who is currently registered or licensed as a barber in a foreign country and who is seeking licensure as a barber in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's original jurisdiction of practice stating the applicant's name, the barber license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country and its requirements must be the same or substantially similar to the barber license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the board, agency or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country must be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts B and C. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the barber license issued by the Division. The Board may require additional coursework or a 250-hour barber refresher course from a school licensed by the Division as set forth in Section 1175.331 or may require an applicant to pass the barber examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. Evidence that the applicant has practiced barbering in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers or business owners who can verify the applicant's practice as a barber;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

5. The required fee set forth in Section 1175.100.

d) An applicant who is currently registered or licensed as a barber teacher in a foreign country and who is seeking licensure as a barber teacher in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's original jurisdiction of practice stating the applicant's name, the barber teacher license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country and its requirements must be the same or substantially similar to the barber teacher license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the board, agency or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country shall be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts B and C. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the barber teacher license issued by the Division. The Board may require additional coursework or a 250-hour barber refresher course from a school licensed by the Division as set forth in Section 1175.331 or may require an applicant to pass the barber and/or barber teacher examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. Evidence that the applicant has practiced as a barber teacher in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers, business owners, students or school administrators who can verify the applicant's practice as a barber teacher;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant’s name is other than that shown on submitted documents; and

5. The required fee set forth in Section 1175.100.

e) An applicant for licensure as a barber who is licensed in another jurisdiction may be given 300 hours of educational credit for every 12-month period during which he/she was lawfully employed as a barber. To obtain credit for work experience, the applicant must submit verification of employment on forms provided by the Division in support of the work experience from at least three clients, coworkers or business owners. A certification of licensure from the jurisdiction in which the lawful practice is claimed must also be submitted.

f) An applicant applying for licensure as a barber or barber teacher on the basis of endorsement who has previously failed the licensing examination in Illinois shall not be approved for licensure on the basis of endorsement unless and until he/she provides verification of successful completion of a substantially equivalent licensure examination. The successful completion of the substantially equivalent examination must occur after the most recently failed examination attempt in Illinois. An applicant may be required to appear before the Board to answer questions about any examination taken by the applicant. The Board may recommend the completion of additional education by an applicant prior to licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.221 Licensed Cosmetologist or Cosmetology Teacher Seeking License as Barber

A licensed cosmetologist or cosmetology teacher may apply for licensure as a barber. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current cosmetologist or cosmetology teacher license number;

b) An official transcript showing successful completion of the supplemental barber course (see Section 1175.332);

c) Proof of passage of the barber examination; and

d) The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.222 Licensed Cosmetology Teacher Seeking License as Barber Teacher

A licensed cosmetology teacher may apply for licensure as a barber teacher. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current cosmetology teacher license number;

b) The applicant's current barber license number or an official transcript showing successful completion of the supplemental barber course (see Section 1175.332) or, in accordance with Section 2-12 of the Act, proof of three (3) years of experience as a cosmetology teacher and an official transcript showing successful completion of only the barber subjects in the supplemental barber course that are not also required in the supplemental cosmetology course (see Section 1175.441) and proof of passage of the barber examination; and

c) The required fee set forth in Section 1175.100.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.225 Renewals

a) Barber, barber teacher and barber school licenses shall expire on July 31 of each odd numbered year. The holder of a license may renew that license during the month preceding its expiration date.

b) Applicants for renewal shall:

1. Return a completed renewal application; and

2. Submit the required fee set forth in Section 1175.100.

c) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew a license.

d) Practicing or operating on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 4-7 of the Act.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.230 Restoration – Barber

a) Application for Restoration

1. A person applying for restoration of a license as a barber that has been expired for less than 5 years shall submit an application on forms provided by the Division and pay the required fee set forth in Section 1175.100.

2. If restoring after active military service, the applicant shall submit a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of his/her license as a barber that has been expired for 5 years or more shall submit an application on forms provided by the Division along with either:

1. All of the following:

A) Verification of employment as a barber in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 clients, coworkers or business owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment stating that the existing practice was authorized;

C) A completed Restoration Questionnaire; and

D) The required fee set forth in Section 1175.100; or

2. A copy of the applicant's DD-214 and the current renewal fee, if restoring from active military service.

c) An applicant for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 250-hour refresher course from a licensed barber or cosmetology school or successful completion of the examination set forth in Section 1175.210 within 2 years prior to or within 2 years after application for restoration. An applicant shall comply with the remaining requirements of subsection (b).

d) If an applicant takes and fails the examination, the license will not be restored until he/she has successfully completed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.235 Restoration – Barber Teacher

a) A person applying for restoration of a license as a barber teacher that has been expired for less than 5 years shall file an application, on forms provided by the Division, and the required fee (see Section 1175.100). If restoring after active military service, the applicant shall submit a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of a license as a barber teacher that has been expired for 5 years or more shall submit an application on forms provided by the Division, along with either:

1. All of the following:

A) Verification of employment as a barber teacher in another jurisdiction for at least 24 months within the 5 years preceding application for restoration;

B) A certification of licensure from the licensing authority in the jurisdiction of employment;

C) A completed Restoration Questionnaire;

D) The required fee set forth in Section 1175.100; or

2. A copy of the applicant's DD-214 and the current renewal fee, if restoring from active military service.

c) An applicant for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 250-hour barber teacher refresher course set forth in Section 1175.331 or successful completion of the examination set forth in Section 1175.210 within 2 years prior to or within 2 years after applying for restoration of the license. An applicant shall comply with the remaining requirements of subsection (b).

d) If an applicant takes and fails the examination, the license will not be restored until he/she has passed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.300 School Licensure Application – Private Schools

a) An applicant for a private barber school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A copy of:

A) a lease showing at least a 1-year commitment to the use of the school site, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the proposed school site;

3. If the owner is a corporation, a filed copy of the Articles of Incorporation; if the owner is a limited liability company, a filed copy of the Articles of Organization; or if the owner is a partnership, a listing of all partners and their current addresses;

4. If the owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

5. An official fire inspection report by the local fire inspection authority within the last 6 months giving approval for use of the site as a school;

6. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

7. A copy of the official enrollment agreement to be used by the school, which shall be consistent with the requirements of Section 1175.310;

8. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

9. A copy of the curricula that will be followed for each program that meets the requirements of this Part;

10. A copy of the school's official transcript for each program that complies with the requirements of this Part;

11. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

12. The required fee set forth in Section 1175.100.

b) When the items required by subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations shall not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if the requirements of this Subpart have been met.

c) Barber schools shall only offer instruction in barbering and barber teacher education.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.301 School Licensure Application – Public Schools

a) An applicant for a public barber school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

3. A copy of the curricula that will be followed for each program that meets the requirements of this Part;

4. A copy of the school's official transcript for each program that meets the requirements of this Part;

5. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

6. The required fee set forth in Section 1175.100.

b) When the items required by subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with Subpart C. School operations may not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart have been met.

c) Barber schools shall only offer instruction in barbering and barber teacher education.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.305 Physical Site Requirements

a) Space Requirements

1. A school shall have a minimum of 500 square feet of work space or 40 square feet of work space for each student, or a maximum of 25 students, whichever is greater. An additional 30 square feet of work space is required for each additional student if attendance exceeds 25 at any given time.

2. Work space shall include dispensary and laboratory area. Work space shall not include classrooms, rest rooms, halls, checkrooms, conference rooms, storage space or other areas or facilities for school administration.

3. Two restrooms shall be provided.

4. Separate cloak space shall be provided for the public.

5. A public waiting area must be provided.

6. Schools shall provide a student lounge area, which shall be separated from the work area, and sufficient space for each student to keep school related and personal items.

7. All areas of the school shall be ventilated and lighted.

b) Equipment Requirements – All equipment shall be in working condition and sufficient for the number of students enrolled. Minimum requirements for school equipment are:

1. An entrance sign designating the name of the school.

2. A school seal.

3. A time clock or other equipment necessary for verification of attendance and hours earned.

4. Four shampoo chairs and 4 shampoo bowls with adequate hot and cold running water.

5. Clinic stations shall have at least 3 feet per student in the class, including electrical outlets, mirror space and either a barber chair or styling chair. One wet sanitizer shall be provided for each 10 clinic stations.

6. A chair for each student in the classroom and, when appropriate, sufficient desk or table space.

7. Adequate covered disposal cans placed at convenient locations.

8. At least one covered container for soiled towels in each work space.

9. Closed or covered space equipped for storing towels and having sufficient storage space for 10 dozen towels per 20 students in the clinical work area.

10. One bearded mannequin for each student in attendance.

11. One straight razor and strop for each student and a lather machine for every two students.

c) Sanitary Regulations

1. Clean outer garments must be worn at all times. No open toed shoes shall be worn by students.

2. All instruments shall be sanitized before and after use on each patron.

3. Clean towels shall be used for each patron.

4. Shampoo bowls must be sanitized after each use.

5. Hands must be cleansed before and after serving each patron.

6. After each patron is served, combs and brushes must be cleansed, then immersed in a disinfectant, then rinsed in water and dried. Combs and brushes shall be kept in a closed or covered container or space apart from appliances that have not been disinfected.

7. The head rests of any chair shall be protected with a disposable cover or clean towel and changed after each patron.

8. Non-disposable head coverings must be laundered and sanitized after each separate use.

9. All powders, lotions, creams, and other cosmetics shall be kept in clean, closed containers. All cosmetics shall be applied by sanitary applicators and removed from the container with a sanitary spatula.

10. No owner, manager, teacher, or school administrator shall knowingly permit any person suffering from a serious communicable disease as defined in 77 Ill. Adm. Code 690 to work on the premises, or knowingly permit a student to serve a patron with a serious communicable disease.

11. No animals or pets, except animal assistants for the physically impaired, shall be permitted on school premises.

12. The floors, walls and furniture shall be kept clean at all times.

13. An adequate supply of hot and cold running water shall be available for school operation.

d) Textbooks/Teaching Materials – Textbooks shall be provided for each student in attendance.

e) Teachers – The student/teacher ratio shall not exceed a 25 to 1 ratio.

History

• Source: Amended at 38 Ill. Reg. 21098, effective November 7, 2014

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.310 Enrollment Agreements and Refund Policies

a) All licensed private barber schools shall have enrollment agreements that meet the requirements of Section 3B-12 of the Act. Licensed public barber schools will be deemed to be in compliance with this provision if these schools comply with the requirements of their public institution.

b) All licensed barber schools shall implement refund policies pursuant to Section 3B-13 of the Act and this Section.

1. When notice of cancellation is given within 5 days after the date of enrollment, all application and registration fees, tuition and any other charges shall be refunded to the student.

2. When notice of cancellation is given after the fifth day following enrollment but before the completion of the student's first day of class attendance, the school may retain the application and registration fee, not to exceed $100, and the cost of any books or materials that have been provided by the school and retained by the student.

3. When notice of cancellation is given after the student's completion of the first day of class attendance but prior to the student's completion of 5% of the course of instruction, the school may retain the application and registration fee, not to exceed $100, 10% of the tuition, other instructional charges or $300, whichever is less, and the cost of any books or materials that have been provided by the school and retained by the student.

4. When a student has completed 5% or more of the course of instruction, the school may retain the application fee and registration fee, not to exceed $100, and the cost of any books or materials provided by the school, but shall refund a part of the tuition and other instructional charges in accordance with the requirements of the school's regional or national accrediting agency, if any, or in accordance with this subsection (b). (Section 3B-13(1))

c) For students who enroll in and begin classes, the following schedule of tuition adjustment will be considered to meet the Division standards for refunds:

PERCENTAGE OF

A SCHEDULED

COURSE COMPLETED

AMOUNT OF TUITION OWED TO THE SCHOOL

0.01% to 4.9%

10%

5% to 9.9%

30%

10% to 14.9%

40%

15% to 24.9%

45%

25% to 49.9%

70%

50% and over

100%

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.315 Advertising

All school advertising for patrons must conspicuously contain the words "Work Done Exclusively by Students" or "All Work Done by Students".

History

• Source: Amended at 30 Ill. Reg. 9503, effective May 10, 2006

68 Ill. Adm. Code 1175.320 Recordkeeping - Transcripts

a) Each school shall provide an official transcript showing the entire course work of each student. The official transcript shall contain the following information:

1. School name, address and phone number;

2. School seal;

3. School license number;

4. Signature of owner, registrar or director of the school;

5. Student's name, address and social security number;

6. Actual dates student attended, including start date, end date and graduation date;

7. Subject areas, required hours, earned hours, and grades received (in a percentage form);

8. Any transfer hours citing the name and address of school transferred from, subject areas, hours earned, and grades received (percentage); and

9. Final examination grades (percentage).

b) The official transcript and school records for each student shall be permanently maintained by the school in the following manner:

1. If maintained on the school premises, they shall be maintained in a locked, fire-resistant cabinet. If official transcripts are maintained on a computer system, history tapes or discs of all official records must be stored in a locked, fire-resistant cabinet or electronically stored in a secure off-site storage system.

2. If records, whether electronic or paper, cannot be maintained on the premises in locked fire-resistant cabinets, duplicate student records, including the official transcripts, shall be maintained at a separate location that shall be made known to the Division. The records shall be accessible to Division officials for inspection.

c) A copy of the transcript shall be given to the student upon graduation or other permanent exit from the school provided the student has met all financial obligations of the student contract as set forth in Section 1175.310.

d) An official transcript and school records for students who withdrew or dropped out of a program shall be maintained by the school for 5 years from the student's first day of attendance at the school.

e) Transcripts from approved schools must meet the requirements of this Section to be accepted by the Division for licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.325 Recordkeeping – Hours Earned

a) Student Hours. A licensed barber school shall have a written, published attendance policy.

1. When determining student hours, a school may define its attendance requirements to include 100% attendance for the program length or may allow excused absences for not more than 10% of the program for satisfactory completion. Satisfactory completion is defined as completion of all theory and practical work as outlined in school's curricula.

2. Student attendance policies shall be written and applied uniformly and fairly.

3. The school must maintain documentation of excused absences for at least 5 years.

4. The school must maintain attendance records for each student to verify that the minimum attendance standard set forth by the school is being met.

b) A complete and accurate record of hours of attendance for each student must be recorded and maintained by the school.

c) If a time clock is used, each student shall punch his/her own time card. No student, teacher or any other person shall punch the time card of another student. If a time clock is not used, there shall be another verifiable method used by the school to record student hours. The records shall be in a form that allows the student to receive a written report of hours earned. This written report of hours earned shall be provided to the student on a monthly basis and shall be placed on a cumulative record by the school.

d) Credit for hours earned away from school premises shall be awarded only if students are supervised by a licensed instructor or by a licensed barber or cosmetologist in the case of an internship. Credit hours for outside study may include workshops, educational programs, films and demonstrations.

e) Hours earned away from the school premises shall be recorded on school time forms. These forms shall include: the school seal, name of student, event or program attended, date attended, signature of student, signature of supervising licensed instructor.

f) Instructors shall review the hours earned by each student monthly. Each month the instructor shall issue a signed monthly report to the student showing the actual number of hours earned by the student.

g) Time cards may be destroyed upon the student's permanent exit from the school and after all hours earned are recorded on the official transcript.

h) An hour shall be considered 50-60 minutes of instruction.

i) A licensed instructor shall supervise all classroom and practical instruction. No credit shall be given for unsupervised study.

j) A barber student is not permitted to serve the public until he/she has successfully completed a combination of a minimum of 150 hours of classroom instruction and practical application that includes hair cutting, sanitation and shaving.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.330 Curriculum Requirements - Barber

a) Each licensed barber school shall provide a program consisting of a minimum of 1,500 clock hours or a 50 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. The licensed barber school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsection (a)(1) through (a)(5). The minimum subjects and number of hours for each category of training shall be as follows:

1. Basic Training – 200 hours:

A) barber history;

B) bacteriology;

C) infection control and safe work practices;

D) implements, tools and equipment;

E) anatomy and physiology;

F) chemistry;

G) electricity and light therapy;

H) properties and disorders of the skin;

I) properties and disorders of the hair and scalp, including all hair types and textures, coil, curl, or wave patterns, hair strand thicknesses, and volumes of hair;

J) treatment of the hair and scalp;

K) facial and scalp massage; and

L) the Act and this Part, including sanitary standards.

2. Shaving and facial hair design – 50 hours.

3. Haircutting and styling – 500 hours:

A) cutting;

B) thinning;

C) shaping;

D) trimming;

E) application of electrical/mechanical equipment;

F) curling;

G) hair treatments; and

H) blow drying.

4. Chemical texture services – 500 hours:

A) hair coloring and lightening;

B) chemical safety;

C) OSHA standards relating to chemical use;

D) permanent waving;

E) hair relaxing;

F) hair and scalp conditioning; and

G) shampooing, toning and rinsing.

5. Barbershop management – 250 hours:

A) State and local laws and rules;

B) Illinois Workers' Compensation Act;

C) labor law;

D) client relations;

E) bookkeeping; and

F) business ethics.

b) An internship program is an optional part of the curriculum. If a licensed barber school chooses to establish an internship program, then the internship program must comply with the requirements of this subsection (b).

1. An internship program:

A) May be substituted for 150 hours of the required 1500 program hours set forth in this Section.

B) May be part of the curriculum of a licensed barber school and shall be an organized preplanned training program designed to allow a student to learn barbering under the direct supervision of a licensed barber in a registered barber shop or salon.

2. A student in the internship program:

A) May participate in an internship program only after completing 750 hours of training with a minimum average grade of 80. A school may, however, set the average grade higher and set other standards that a student must meet to participate in the internship program.

B) May not spend more than 150 hours in an internship program for credit.

C) May not be paid while participating in the internship program, as it is a part of the barber curriculum of the school.

D) May work a maximum of 8 hours a day and shall be required to spend 1 day a week at the school.

E) Shall be under the direct on-site supervision of a licensed barber. Only 1 student shall be supervised by 1 licensed barber.

3. A licensed barber school shall state clearly in the enrollment agreement that the school offers an internship program.

4. The licensed barber school shall enter into a contract with the student, the registered barber shop or salon, and a licensed barber. The contract shall contain all the provisions set forth in subsection (b)(2) and any other requirements of the internship established by the school. The contract shall be signed by the student, the school and the licensed barber. Any party to the contract may terminate the contract at any time.

c) A school may, as part of its educational program and on school premises, offer barbering services to the public, through a student clinic, as a means of providing students with practical experience. Services shall be provided by students working under the supervision of one or more teachers. Students shall receive no compensation, including tips, but shall receive credit for hours worked towards the 1500-hour education requirement. The school may provide those services under the authority of its school license and is not required to obtain a salon registration. The school shall post a sign visible to the public advising that all services are provided by students. Except as provided in this subsection (c), a school and a salon shall not operate within the same premises.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

68 Ill. Adm. Code 1175.331 Curriculum Requirements – Barber Refresher Course

a) The 250-hour barber refresher course required under Section 1175.210, 1175.220 or 1175.230 shall include a minimum of 250 clock hours of training in the following categories, as defined in Section 1175.330:

1. Basic Training;

2. Shaving and Facial Hair Design;

3. Hair Cutting and Styling;

4. Chemical Texture Services; and

5. Barbershop Management;

b) The refresher course in subsection (a) shall include a minimum of 25 hours in basic training. The subjects covered in the remaining 225 hours may be determined at the discretion of the school and/or teacher, provided the refresher course includes training in each category listed in subsection (a). Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. However, instruction may include online hours in theory not to exceed 10% of the total hours.

c) The 100-hour barber refresher course set forth in Section 1175.210 shall be similar to the refresher course in subsection (a), except that the school and/or teacher shall have the discretion to structure the course to the individual needs of the student to better prepare the student for again taking the examination.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.332 Curriculum Requirements – 500-Hour Barber Course for Licensed Cosmetologists and Licensed Cosmetology Teachers

a) The 500-hour barber course for licensed cosmetologists or licensed cosmetology teachers seeking licensure as a barber (see Section 2-10 of the Act), shall include a minimum of 500 clock hours of instruction and practical experience in subjects in the following categories as defined in Section 1175.330:

1. Basic Training − 90 Hours, including the Act and this Part and sanitary standards;

2. Shaving and Facial Hair Design – 50 Hours;

3. Haircutting and Styling – 300 Hours;

4. Chemical Texture Services – 30 Hours;

5. Barbershop Management – 30 Hours.

b) The school may provide online hours in theory, not to exceed 10% of the total hours.

c) The school may include an internship as part of this course.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.335 Curriculum Requirements – Barber Teacher

a) Each licensed barber school that provides teacher training must utilize a teacher program that includes a minimum of 1000 hours or a 34 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. The licensed barber school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a)(1), (2), (3) and (4). The minimum number of hours shall be as follows:

1. 500 hours of Post-Graduate School Training that includes all subjects in the basic barbering curriculum (see Section 1175.330), including theory and practice. Presentation of material must include the concepts that are intended to be taught and the skills to be acquired during the various phases of basic education.;

2. 20 hours of Educational Psychology that shall include, but not be limited to, topics in educational objectives, student characteristics and development, the learning process, and an evaluation of learning that relates to teaching. These hours shall be waived on behalf of barber teacher students who have completed a course in Educational Psychology at an accredited college or university.

3. 20 hours of Teaching Methods (Theory) that shall include, but not be limited to, topics in individual differences in learning, lesson planning and design, lesson delivery, assessment of learning performance, classroom management, student motivation and classroom climate. These hours shall be waived on behalf of barber teacher students who have completed a course in Teaching Methods-Secondary Level at an accredited college or university.

4. 150 hours of Application of Teaching Methods that includes preparation and organization of subject matter to be presented on a unit by unit basis and presentation of subject matter through application of varied methods (lecture, demonstration, testing and assignments). Presentations must provide teaching objectives to be accomplished and correlate theoretical with practical application.

5. 50 hours of Business Methods that includes inventory, recordkeeping, interviewing, supplies, the Act and this Part.

6. 260 hours of Student Teaching under the on-site supervision of an Illinois licensed teacher. The student teacher shall present theoretical and practical demonstrations to students in the basic curriculum.

b) The approved curriculum for a 500-hour Teacher Training Course shall be based upon 3 years of practical experience for a barber and shall consist of the Teacher Training Curriculum outlined in subsection (a)(2) through (6).

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.336 Curriculum Requirements – Barber Teacher Refresher Courses

a) The barber teacher refresher course shall include a minimum of 250 clock hours of instruction and practical experience and may include online instruction for theory not to exceed 10% of the total hours in subjects in each of the categories of training defined in Section 1175.335:

1. 20 hours of Educational Psychology;

2. 20 hours of Teaching Methods (Theory);

3. 120 hours of Application of Teaching Methods;

4. 50 hours of Business Methods; and

5. 40 additional hours of training as determined by the school or teacher.

b) In the case of barber teacher applicants who fail to pass a third examination, the remedial training required by Section 1175.335(c) shall include 80 clock hours of additional instruction in the following categories of training defined in Section 1175.335:

1. 20 hours of Teaching Methods (Theory); and

2. 60 hours of Application of Teaching Methods.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.340 Final Examination

a) A school shall require each candidate for graduation to pass a final examination that tests the student's theoretical and practical knowledge of the curriculum studied. A "final examination" shall include a single final examination or multiple examinations as determined by the school.

b) The practical examination shall test the candidate's skills in the following areas:

1. Hair cutting;

2. Sanitation; and

3. Shaving.

c) The examination shall be administered by the uniform application of standard performance criteria established by the school for each skill area. The standard performance criteria for each skill area shall be delineated in the examination records as specified in subsection (h).

d) A passing score of 75 or greater shall be required on both the theoretical and practical portions of the final examination or another state's passing grade.

e) The school shall allow each candidate for graduation at least 3 attempts to pass the final exam.

f) The Division may monitor the administration of the final examination:

1. As a result of a complaint received;

2. For random sampling;

3. To collect data; and/or

4. When the failure rate on the licensure examination for school graduates is greater than 25%.

g) The Division shall maintain records of each school's graduate failure rate on the licensing examination. The records shall reflect only first examination attempts for each graduate. The Division may review the records on an annual basis to identify those approved schools that have an average annual failure rate greater than 25%. An average annual failure rate greater than 25% is grounds for school disapproval.

h) The school shall maintain records of the final examination for a period of no less than 5 years in the manner prescribed in Section 1175.320. These records shall include:

1. A copy of the final examination administered; and

2. Each student's examination grades.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.345 Change of Ownership

a) For purposes of this Section, "change of ownership", "sale" or "transfer" of a corporation means the transfer of more than 50% of stock during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a partnership means a change of more than 50% of the partners during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of an LLC means a change of more than 50% of the members during a 14-day period. Any change of ownership of a parent business entity that owns the school's owner shall not be considered a change of ownership of the school.

b) If a licensed school is to be sold or otherwise transferred, the new owner must notify the Division at least 30 days in advance of the effective date of the transfer of ownership. The notification shall include a signed and dated letter from the pre-transfer owner acknowledging the planned sale or transfer.

c) Upon filing notice to the Division, the new owner may continue to operate the school under the previously issued license, provided that the new owner submits an application for licensure with the Division within 30 days after the effective date of the transfer of ownership by mailing to the Division:

1. A signed and completed school application;

2. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305, if any expansion is to be done by the new owner;

3. A copy of:

A) a lease agreement showing at least a 1 year commitment to the use of the school site, the name of the lessor and the name of the lessee; or

B) the certification of proposed school site ownership;

4. A copy of the enrollment agreement that will be utilized by the new owner;

5. If the new owner is a corporation, limited liability company, or partnership a copy of the following:;

A) if the owner is a domestic corporation, a filed copy of the Articles of Incorporation filed with the Secretary of State or, in the case of a foreign corporation, a filed copy of the Authority to Transact Business in Illinois accepted by and filed with the Secretary of State;

B) if the owner is a domestic limited liability company, a copy of the Articles of Organization that were filed with the Secretary of State, or if the owner is a foreign limited liability company, a copy of the Application for Admission to Transact Business as a Foreign Limited Liability Company accepted by and filed with the Secretary of State; or

C) if the owner is a partnership, a listing of all partners and their addresses;

6. A copy of curricula that will be used by the new owner;

7. A sample copy of the school's official transcript;

8. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer;

9. List of all the names, addresses and current status of all schools in which the applicant has previously owned any interest, and a declaration as to whether any of these schools were ever denied accreditation or licensing or lost accreditation or licensing from any government body or accrediting agency;

10. An official inspection report by the local fire inspection authority within 6 months after application approving the school site;

11. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

12. If a name change is to also occur, all documents submitted must include the new name; and

13. The required fee set forth in Section 1175.100.

d) Once the items listed in subsection (c) have been received, the Division shall conduct an inspection prior to approval of the change of ownership. Approval will be granted if the requirements of Subpart C have been met.

e) If the new owner fails to submit a new application within 30 days, or if the Division does not approve the school, the school shall remain closed until final Division approval is received.

f) The new owner is responsible for ensuring that the school is in compliance with all current provisions of the Act and this Part.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.350 Change of Location

a) When the location of a licensed school is to be changed, the school owner shall submit to the Division the following:

1. Written notice to the Division at least 30 days in advance of the school site change;

2. A signed and completed school application;

3. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

4. A copy of:

A) a lease agreement showing at least a 1 year commitment, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the school site;

5. An official fire inspection report by the local fire inspection authority, conducted within 6 months prior to application, approving the site; and

6. The required fee set forth in Section 1175.100.

b) Once the items listed in subsection (a) have been received, the Division shall inspect the premises to determine compliance with this Part. If any changes affecting the items in subsection (a) are made prior to inspection, the school owner must notify the Division in writing. School operations shall not commence at the new location until the owners have received written notice of approval from the Division. Approval will be granted if the requirements of this Subpart C have been met.

c) If the change of location is due to natural destruction of, or other severe damage to, the original premises due to circumstances beyond the control of the owner, a temporary site may be used to teach theory classes only.

1. The temporary site must be inspected prior to its use and must possess light and ventilation, tables and chairs for the number of students in a classroom, and must be clean.

2. The temporary site may be used for a period of 2 months. The 2 month period can be extended for good cause. Good cause includes, but is not limited to, unexpected delays in construction, delays in lease arrangements, or delays in equipment delivery.

d) If the site is not approved, the school shall not solicit new students for this location until the school has been approved.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.355 Change of Name

When changing the name of a licensed school, a written request for a name change, along with supporting documentation, and the required fee specified in Section 1175.100, shall be submitted 30 days in advance of any name change. The Division shall then issue an updated license. At the time of the change of name, all identifying signs and materials must be changed to conform to the new name on the school license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.360 Expansion

a) Written notice shall be given to the Division 30 days prior to any expansion of a licensed school.

b) Off-Site Classrooms

1. When the expansion will result in an off-site classroom location, a completed school application must be submitted along with:

A) A detailed 8½ x 11 inch floor plan that is:

i) drawn to scale;

ii) shows dimensions;

iii) has all areas labeled;

iv) has all fixtures shown; and

v) demonstrates compliance with the requirements of Section 1175.305;

B) A copy of:

i) a lease showing at least a 1-year commitment to the use of the site, the address of the school site, the name of the lessor and the name of the lessee; or

ii) the certification of ownership of the proposed site;

C) An official fire inspection report, from the local fire inspection authority within the last 6 months, giving approval for use of the site as an off-site classroom location;

D) A statement from the school owner outlining the purpose of the off-site classroom location;

E) A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion;

F) A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school; and

G) The required fee set forth in Section 1175.100.

2. An off-site classroom location is defined as a separate classroom, not continuously joined (i.e., not accessible from the current or main space), located within 5 miles of the main school site that serves to provide adequate space in which to train an overflow of students. A clinic may not be operated at an off-site classroom location. A school may establish only one off-site classroom location. All identifying signs and materials must reflect the name of the main school.

c) When an on-site expansion is to accommodate an increased enrollment, a completed school application shall be submitted along with:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) with dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A statement from the school owner outlining the purpose of the expansion;

3. A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

4. The required inspection fee.

d) Upon receipt of the items listed in subsections (b) and (c), the Division shall inspect the expansion site to determine compliance with this Part. If any changes affecting the items in subsections (b) and (c) are made prior to inspection, the school owner must notify the Division in writing. The site shall not be used until the inspection has occurred and the owner has received written notification of approval from the Division. Approval will be granted if all of the requirements of this Subpart C have been met.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.365 Discontinuance of Program

a) The Division shall receive a minimum of 30 days written notice of a school's intent to discontinue its program. The notice shall include the exact location where the student records are to be stored.

b) The school owner shall notify the Division in writing of the actual closing date of the school.

c) All school records shall be maintained after the school closes.

d) The school must continue to meet the requirements of the Act and this Part until the actual closing date.

e) Each student enrolled at the time of discontinuation must be provided an official transcript of all hours earned while enrolled in the program.

f) Each student shall be given a refund prorated to at least reflect the percentage of time remaining to complete the course of instruction.

g) Students who have acquired 750 or more clock hours before their school closes shall be allowed to transfer all accumulated hours to another licensed barber school. Schools accepting these hours shall not be credited with the students' pass/fail statistics (see Section 1175.570(b)) resulting from their first attempt on the Illinois examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.370 Withdrawal of Licensure

a) The Division may withdraw, suspend or place on probation, pursuant to 68 Ill. Adm. Code 1110, the licensure of a school of barbering when the quality of the program has been affected by any of the following causes:

1. Gross or repeated violations of any provisions of the Act or this Part;

2. Fraud or dishonesty in furnishing transcripts or documentation for evaluation of the school;

3. Failure to meet the criteria for school approval in Section 1175.300 or 1175.301;

4. Failure to administer the final examination as specified in this Part;

5. Failure to maintain final examination grades for each student and a master of the examination administered by the school as specified in this Part;

6. Fraud or dishonesty in providing transcripts to students;

7. Failure to provide transcripts to students who have fulfilled all obligations under Section 1175.310;

8. A finding by the U.S. Office of Education or Illinois Student Assistance Commission that a school has misappropriated or misused grant or loan monies or has aided in obtaining such monies by providing fraudulent or untruthful information; or

9. Any other violations of the Act or this Part.

b) The Division shall give written notice and a hearing pursuant to 68 Ill. Adm. Code 1110 when Division approval of a school is proposed to be withdrawn.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.375 Cosmetology Schools Approved to Teach Barbering

a) Existing cosmetology schools that wish to provide barbering instruction shall:

1. Provide 200 square feet of space to accommodate 5 work stations and a maximum of 10 students. If attendance exceeds 10 on the clinic floor at any time, an additional 40 square feet is required for each additional work station required by subsection (a)(4)(B). The use of this space shall not reduce the square footage for the conduct of an approved cosmetology school below the minimum requirements set forth in Section 1175.505.

2. File an application with the Division, on forms provided by the Division, that shall include:

A) A detailed 8½ x 11 inch floor plan that is:

i) drawn to scale;

ii) shows dimensions;

iii) has all areas labeled;

iv) has all fixtures shown; and

v) demonstrates compliance with the requirements of Section 1175.305;

B) An official copy of the fire inspection report from the local fire inspection authority, conducted within 6 months prior to application, giving approval for use of the site as a school;

C) A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

D) A copy of the enrollment agreement to be used by the school;

E) A copy of the barbering curriculum;

F) A listing of all barber and cosmetology teachers, including their teacher license numbers, who will be in the school's employ;

G) A copy of the school's official transcript; and

H) The required fee set forth in Section 1175.100.

3. Subsections (a)(2)(B) through (D) shall not apply to a public school.

4. When the items listed in subsection (a)(2) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance.

5. In addition, the school shall have the following:

A) At least one work station or position for every 2 students. Every work station shall include electrical outlets, mirror space and either a barber chair or styling chair.

B) Every school shall provide sufficient barbering tools, devices and supplies for each student in attendance.

b) Cosmetology schools approved to teach barbering shall be required to comply with all provisions of this Part. Space and equipment required for barber schools pursuant to Section 1175.305(a) and (b) may be utilized for both the cosmetology and barber programs offered by the cosmetology school.

c) Cosmetology teachers shall only teach those subjects that are common to barbering and cosmetology.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.400 Licensure by Examination – Cosmetology

a) Eligibility. Each applicant must meet the following requirements (see Section 3-2 or 3-3 of the Act) prior to filing an application for the cosmetologist examination:

1. Be at least 16 years of age;

2. Be a high school graduate or its equivalent or be beyond the age of compulsory school attendance;

3. Either:

A) Pursuant to Section 3-2 of the Act, graduate from a cosmetology school approved by the Division that meets the requirements set forth in Subpart E; or

B) Pursuant to Section 3-3 of the Act, graduate from a barber school approved by the Division that meets the requirements set forth in Subpart C.

b) Application. Each applicant shall file an application for examination, on forms provided by the Division. The application shall include:

1. An official transcript showing successful completion of the required training outlined in Section 3-2(c) or 3-3(c) of the Act and a passing grade on the final examination administered by the school as set forth in Section 1175.540;

2. The required fee set forth in Section 1175.100;

3. Official transcripts showing successful completion of remedial training when required by Section 3-6 of the Act or Section 1175.410 of this Part;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on any documents submitted;

5. If licensed as a cosmetologist in another state, a certification of licensure from the state of original licensure and from the state of current licensure or most recent practice; and

6. The examination fee required by the Department's testing service.

c) Examination. Each applicant shall take and pass the cosmetology examination as required in Section 1175.410.

d) An applicant's training received from a cosmetology school or similar institution located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart E. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts D and E. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 250-hour cosmetology refresher course from a school licensed by the Division as set forth in Section 1175.531. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.405 Licensure by Examination – Cosmetology Teacher

a) Eligibility. Each applicant must meet the following requirements pursuant to Section 3-4(a)(1), (2), (3) and (4) of the Act prior to filing an application for the cosmetology teacher examination:

1. Be at least 18 years of age;

2. Be a high school graduate or its equivalent;

3. Hold a license in good standing as a cosmetologist;

4. Either:

A) Complete a program of 500 hours of cosmetology teacher training in an approved cosmetology school and 2 years of practical experience as a licensed cosmetologist within 5 years preceding the application; or

B) Complete a program of 1000 hours of cosmetology teacher training in an approved cosmetology school.

b) Application. Each applicant shall file an application, on forms provided by the Division. The application shall include:

1. Either:

A) In the case of a cosmetology teacher training graduate (see Section 3-4(a)(4)(i) of the Act):

i) An official transcript from an approved cosmetology school showing successful completion of a program of 500 hours of cosmetology teacher training as set forth in Section 1175.535; and

ii) 2 employment verification forms showing at least 2 years of practical experience as a licensed cosmetologist within the last 5 years.

B) In the case of a cosmetology teacher training graduate, pursuant to Section 3-4(a)(4)(ii) of the Act, an official transcript from an approved cosmetology school showing successful completion of a program of 1000 hours of cosmetology teacher training as set forth in Section 1175.535;

2. The applicant's Illinois cosmetology license number;

3. If licensed as a cosmetology teacher in another state, other jurisdiction of the United States, or foreign jurisdiction, a certification of licensure from the state or jurisdiction of original licensure and from the state or jurisdiction of current licensure or most recent practice;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit, or court order) if name is other than that shown on any document submitted; and

5. The examination fee required by the Department's testing service.

c) Examination. Each applicant shall take and pass the cosmetology teacher examination as required in Section 1175.410.

d) An applicant's training received from a cosmetology school or similar institution located in another state, other jurisdiction of the United States or foreign jurisdiction must substantially comply with the requirements set forth in Subpart E. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts D and E. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 250-hour cosmetology refresher course from a school licensed by the Division as set forth in Section 1175.531. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

e) The required fee set forth in Section 1175.100.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.406 Licensure by Acceptance of Examination - Cosmetologist

a) Eligibility. If the applicant does not hold a license as a cosmetologist or cosmetology teacher in any jurisdiction of the United States but has completed cosmetology training and passed cosmetology licensing examination in that jurisdiction substantially similar to the requirements of the Act and this Part, the applicant shall apply for licensure under this Section.

b) Application. Each applicant shall file an application for acceptance of examination on forms provided by the Division. The application shall include:

1. An official transcript from the school or program showing successful completion of training;

2. Proof of passage of the licensing examination within 12 months of application; and

3. The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.407 Licensure by Acceptance of Examination - Cosmetology Teacher

a) Eligibility. If the applicant has a cosmetology license in any jurisdiction of the United States, does not hold a cosmetology teacher license in any jurisdiction of the United States, and has completed cosmetology teacher training and passed a teacher examination in another jurisdiction of the United States other than Illinois substantially similar to the requirements of the Act and this Part, the applicant shall apply for licensure under this Section.

b) Application. Each applicant shall file an application for acceptance of examination on forms provided by the Division. The application shall include:

1. Proof of licensure as a cosmetologist in this or any other jurisdiction of the United States;

2. Proof of 2 years of practical experience as a licensed cosmetologist within 5 years preceding the application;

3. An official transcript from the school or program showing successful completion of teacher training;

4. Proof of passage of a teacher licensing examination within 12 months preceding the application; and

5. The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.410 Examination Requirements

a) Examinations shall be administered by the Division or its designated testing service and shall cover subject matter as set forth in Section 3-6 of the Act.

b) The passing grade on each examination is 75 or another state's passing grade.

c) Retakes

1. A cosmetology applicant who fails to pass a third examination must submit an official transcript from a licensed cosmetology school showing successful completion of a 100-hour refresher course, or the 250-hour cosmetology refresher course, from a school licensed by the Division as set forth in Section 1175.531, prior to taking the examination a fourth time.

2. A cosmetology teacher applicant who fails to pass a third examination must submit an official transcript from a licensed cosmetology school showing successful completion of 80 hours of additional study in teaching methodology and educational psychology prior to taking the examination a fourth time.

3. The requirement for remedial training set forth in this Section may be waived in whole or in part by the Division upon proof to the Division that the applicant has demonstrated competence to again sit for the examination. Pursuant to Section 3-6 of the Act, the Division shall consider the following factors when waiving remedial training, including but not be limited to: the percentage points by which the applicant failed the examination, the number of times the applicant failed the examination and extenuating circumstances that explain the applicant's failure to pass the examination.

4. For purposes of the examination retakes, the fourth attempt shall count as the first.

5. An applicant shall make a written request for an examination retake at least 45 days in advance of the examination date. The request must include the required examination fee and official transcripts when further study is required in accordance with subsections (c)(1), (2) and (3).

d) If an applicant has not submitted an application for licensure within 12 months after taking and passing the examination, the applicant must retake and pass the examination prior to being granted a license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.415 Application for Licensure (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.420 Licensure by Endorsement

a) An applicant who is currently registered or licensed as a cosmetologist in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the cosmetologist license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the cosmetology license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

b) An applicant who is currently registered or licensed as a cosmetology teacher in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the cosmetology teacher license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the cosmetology teacher license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

c) An applicant who is currently registered or licensed as a cosmetologist in a foreign country or province and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's original jurisdiction of practice stating the applicant's name, the cosmetologist license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country and its requirements must be the same or substantially similar to the cosmetology license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the board, agency or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country must be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts D and E. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the cosmetology license issued by the Division. The Board may require additional coursework or a 250-hour cosmetology refresher course from a school licensed by the Division as set forth in Section 1175.531 or may require an applicant to pass the cosmetology examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. An official certification of licensure from the state or country in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's legal name, the cosmetologist license number, the original issuance date, the expiration date, a brief description of any licensure examination taken to qualify for the license and the grades received, and whether the applicant's file contains any record of disciplinary actions taken or pending;

4. Evidence that the applicant has practiced cosmetology in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers or business owners who can verify the applicant's practice as a cosmetologist;

5. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

6. The required fee set forth in Section 1175.100.

d) An applicant who is currently registered or licensed as a cosmetology teacher in a foreign country and who is seeking licensure as a cosmetology teacher in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's jurisdiction of original licensure stating the applicant's name, the cosmetology teacher license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country and its requirements must be the same or substantially similar to the cosmetology teacher license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the agency, board or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country shall be submitted to determine if the applicant’s program substantially complies with the requirements set forth in Subparts D and E. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the cosmetology teacher license issued by the Division. The Board may require additional coursework or a 250-hour cosmetology refresher course from a school licensed by the Division as set forth in Section 1175.531 or require an applicant to pass the cosmetology examination and/or the cosmetology teacher examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. An official certification of licensure from the state or country in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's legal name, the cosmetologist license number, the original issuance date, the expiration date, a brief description of any licensure examination taken to qualify for the license and the grades received, and whether the applicant's file contains any record of disciplinary actions taken or pending;

4. Evidence that the applicant has practiced as a cosmetology teacher in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers, business owners, students or school administrators who can verify the applicant's practice as a cosmetology teacher;

5. Proof of name change (i.e., marriage license, divorce decree, affidavit or court order) if name is other than that shown on any of the documents submitted; and

6. The required fee set forth in Section 1175.100.

e) An applicant for licensure as a cosmetologist who is licensed in another jurisdiction may be given up to 300 hours of educational credit for every 12-month period during which he/she was lawfully employed as a cosmetologist. To obtain credit for work experience, the applicant must submit verification of employment on forms provided by the Division in support of the work experience from at least 3 clients, coworkers or business owners. A certification of licensure from the jurisdiction in which the lawful practice is claimed must also be submitted.

f) An applicant applying for licensure as a cosmetologist or cosmetology teacher on the basis of endorsement who has previously failed the licensing examination under this Act in Illinois shall not be approved for licensure on the basis of endorsement unless and until he/she provides verification of successful completion of a substantially equivalent licensure examination. The successful completion of the substantially equivalent examination must occur after the most recently failed examination attempt in Illinois. An applicant may be required to appear before the Board to answer questions about any examination taken by the applicant. The Board may recommend the completion of additional education by an applicant prior to licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.425 Renewals

a) Every license issued under the Act shall expire as follows:

1. Cosmetology teacher, cosmetology clinic teacher and cosmetology school licenses shall expire on September 30 of each even-numbered year.

2. Cosmetologist licenses shall expire on September 30 of each odd-numbered year. A prerenewal period is the 24-month period preceding September 30 in the year of renewal.

3. The holder of a license may renew that license during the month preceding its expiration date.

b) Applicants for renewal shall:

1. Submit a completed renewal application.

2. Cosmetologist – Certify on the renewal application to successful completion of a minimum of 14 hours of CE from a cosmetology sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license, if renewing a cosmetology license. Certify compliance with Section 1175.1220.

3. Cosmetology Teacher and Cosmetology Clinic Teacher – Certify on the renewal application to successful completion of a minimum of 24 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to renewal if renewing a cosmetology teacher or cosmetology clinic teacher license. Certify compliance with Section 1175.1220. Ten of 24 hours shall be in the following areas:

A) Teaching methodology;

B) Educational psychology;

C) Classroom management; or

D) Other teaching related courses.

4. Submit the required fee set forth in Section 1175.100.

c) A renewal applicant is not required to comply with CE for the first renewal after issuance of original license.

d) The Division may require additional evidence demonstrating compliance with the CE requirements (i.e., certificate of attendance or certificate of completion). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of this compliance. That evidence shall be required in the context of the Division's random audit.

e) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license.

f) Practicing or operating on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 4-7 of the Act.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.430 Restoration – Cosmetology

a) Application for Restoration

1. A person applying for restoration of a license as a cosmetologist that has expired or been on inactive status for less than 5 years shall submit an application on forms provided by the Division and:

A) Pay the required fee set forth in Section 1175.100;

B) Provide evidence of successful completion of 14 hours of continuing education earned within the 2 years immediately preceding the restoration.

2. If restoring after active military service, the applicant shall submit a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of a license as a cosmetologist that has been expired or been on inactive status for 5 years or more shall submit an application on forms provided by the Division along with either:

1. All of the following:

A) Verification of employment as a cosmetologist in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 clients, coworkers or business owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment stating that the practice was authorized;

C) A completed Restoration Questionnaire;

D) Evidence of successful completion of 14 hours of CE earned within the 2 years immediately preceding restoration; and

E) The required fee set forth in Section 1175.100; or

2. A copy of the applicant's DD-214 and the current renewal fee, if restoring from active military service.

c) An applicant for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 250-hour refresher course from a licensed cosmetology or barber school as set forth in Section 1175.531 or passage of the examination set forth in Section 1175.410 within 2 years prior to or within 2 years after application for restoration. A cosmetology applicant who completes this refresher course or takes the examination shall not be required to complete 14 hours of CE, but shall comply with the remaining requirements of subsection (b).

d) If an applicant takes and fails the examination, the license will not be restored until he/she has successfully completed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.435 Restoration – Cosmetology Teacher and Cosmetology Clinic Teacher

a) A person applying for restoration of a license as a licensed cosmetology teacher or cosmetology clinic teacher that has been expired or been on inactive status for less than 5 years shall file an application, on forms provided by the Division. An applicant shall also submit proof of 24 hours of CE in accordance with Section 1175.1200 earned within the 2 years preceding the restoration and the required fee set forth in Section 1175.100. If restoring after active military service, an applicant shall submit a copy of his/her DD-214 and the current renewal fee.

b) A person applying for restoration of a license as a cosmetology teacher or cosmetology clinic teacher that has been expired for 5 years or more shall submit an application on forms provided by the Division, along with either:

1. All of the following:

A) Verification of employment as a cosmetology teacher or cosmetology clinic teacher in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 students, coworkers or school owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment;

C) Evidence of successful completion of 24 hours of CE earned within the 2 years immediately preceding the restoration;

D) A completed Restoration Questionnaire; and

E) The required fee set forth in Section 1175.100; or

2. If restoring after active military service, a copy of the applicant's DD-214 and the current renewal fee.

c) An applicant for restoration of a cosmetology teacher license under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 250-hour cosmetology teacher refresher course set forth in Section 1175.536 or passage of the examination set forth in Section 1175.410 within 2 years prior to or within 2 years after application for restoration of a license. Those who successfully complete a 250-hour refresher course or take the examination shall not be required to complete CE before restoring a license, but shall comply with the remaining requirements of subsection (b).

d) An applicant for restoration of a cosmetology clinic teacher license under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 60 hour cosmetology teacher refresher course as set forth in Section 1175.536 or passage of the examination set forth in Section 1175.410 within 2 years prior to or within 2 years after application for restoration of a license. Those who successfully complete a 60-hour refresher course as set forth in Section 1175.536 or take the examination shall not be required to complete CE before restoring a license but shall comply with the remaining requirements of subsection (b).

e) If an applicant takes and fails the examination, the license will not be restored until he/she has passed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.440 Licensed Barber or Barber Teacher Seeking License as Cosmetologist

A licensed barber or barber teacher may apply for licensure as a cosmetologist. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current barber or barber teacher license number;

b) An official transcript showing successful completion of the supplemental cosmetology course (see Section 1175.532);

c) Proof of passage of the cosmetology examination; and

d) The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.441 Licensed Barber Teacher Seeking License as Cosmetology Teacher

A licensed barber teacher may apply for licensure as a cosmetology teacher. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current barber teacher license number;

b) The applicant's current cosmetology license number or an official transcript showing successful completion of the supplemental cosmetology course (see Section 1175.532) or, in accordance with Section 3-11 of the Act, proof of three years of experience as a barber teacher and an official transcript showing successful completion of only the cosmetology subjects that are not also required in the supplemental barbering course (see Section 1175.332) and proof of passage of the cosmetology examination; and

c) The required fee set forth in Section 1175.100.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.442 Licensed Esthetician or Esthetics Teacher Seeking License as Cosmetologist

A licensed esthetician or esthetics teacher may apply for licensure as a cosmetologist. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current esthetician or esthetics teacher license number;

b) Proof of compliance with the requirements of Section 1175.400;

c) An official transcript showing successful completion of the 1500-hour cosmetology course (see Section 3-2 or 3-3 of the Act). The school shall provide credit for all coursework previously completed by the applicant that is common to both esthetics and cosmetology. The official transcript shall indicate the coursework and hours being credited, as well as the coursework undertaken, and credits earned at the school, which shall total at least 1500 hours; and

d) The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.443 Licensed Esthetics Teacher Seeking License as Cosmetology Teacher

A licensed esthetics teacher may apply for licensure as a cosmetology teacher. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current esthetics teacher license number;

b) The applicant's current cosmetology license number or proof of compliance with the requirements of Sections 1175.400 and 1175.442(c) or, in accordance with Section 3-12 of the Act, proof of three years of experience as an esthetics teacher and an official transcript showing successful completion of the cosmetology subjects that are not also required in the esthetics curriculum (see Section 1175.835); and

c) The required fee set forth in Section 1175.100.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.444 Licensed Nail Technician or Nail Technology Teacher Seeking License as Cosmetologist

A licensed nail technician or nail technology teacher may apply for licensure as a cosmetologist. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current nail technician or nail technology teacher license number;

b) Proof of compliance with the requirements of Section 1175.400;

c) An official transcript showing successful completion of the 1500-hour cosmetology course (see Section 3-2 or 3-3 of the Act). The school shall provide credit for all coursework previously completed by the applicant that is common to both nail technology and cosmetology. The official transcript shall indicate the coursework and hours being credited, as well as the coursework undertaken, and hours earned at the school, which shall total at least 1500 hours; and

d) The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.445 Licensed Nail Technology Teacher Seeking License as Cosmetology Teacher

A licensed nail technology teacher may apply for licensure as a cosmetology teacher. Each applicant shall file an application on forms provided by the Division that includes:

a) The applicant's current nail technology teacher license number;

b) The applicant's current cosmetology license number or proof of compliance with the requirements of Sections 1175.400 and 1175.444(c) or, per Section 3-12 of the Act, proof of 3 years of experience as a nail technology teacher and an official transcript showing successful completion of only the cosmetology subjects that are not also required in the nail technology curriculum (see Section 1175.1135); and

c) The required fee set forth in Section 1175.100.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.500 School Licensure Application – Private Schools

a) An applicant for a private cosmetology school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.505;

2. A copy of:

A) a lease showing at least a 1-year commitment to the use of the school site, the address of the school site, the name of the lessor and the name of the lessee; or

B) certification of ownership of the proposed school site;

3. If the owner is a corporation, a filed copy of the Articles of Incorporation; if the owner is a limited liability company, a filed copy of the Articles of Organization; or if the owner is a partnership, a listing of all partners and their current addresses;

4. If the owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

5. An official fire inspection report from the local fire inspection authority within 6 months prior to filing an application giving approval for use of the site as a school;

6. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

7. A copy of the official enrollment agreement to be used by the school, which shall be consistent with the requirements of Section 1175.510;

8. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

9. A copy of the curricula that will be followed for each program that meets the requirements of Section 1175.530;

10. A copy of the school's official transcript for each program that complies with the requirements of Section 1175.530;

11. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

12. The required fee set forth in Section 1175.100.

b) New schools that wish to offer nail technology, barbering, hair braiding and/or esthetics in addition to cosmetology shall comply with Sections 1175.375, 1175.805, 1175.1505 and/or 1175.1105.

c) When the items required by subsections (a) and (b) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations shall not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of Subpart E have been met.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.501 School Licensure Application – Public Schools

a) An applicant for a cosmetology school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan;

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.505;

2. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

3. A copy of the curricula that will be followed for each program that meets the requirements of this Part;

4. A copy of the school's official transcript for each program that meets the requirements of this Part;

5. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

6. The required fee set forth in Section 1175.100.

b) New schools that wish to offer nail technology, barbering, hair braiding and/or esthetics in addition to cosmetology shall comply with Sections 1175.375, 1175.805, 1175.1505 and/or 1175.1105.

c) When the items required by subsections (a) and (b) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations may not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart have been met.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.505 Physical Site Requirements

a) Space Requirements

1. A school shall have a minimum of 1000 square feet of work space. If the school has more than 20 students, an additional 30 square feet of work space is required for each additional student if attendance on the clinic floor exceeds 20 at any given time.

2. Work space shall include: dispensary and laboratory area. Work space shall not include: classrooms, facial areas, rest rooms, halls, checkrooms, conference rooms, storage space or other areas or facilities for school administration.

3. Two restrooms shall be provided.

4. Cloak space separate from the work space shall be provided for the public.

5. A public waiting area must be provided.

6. Schools shall provide a student lounge area that shall be separated from the work area and sufficient space for each student to keep school related and personal items.

7. All areas of the school shall be ventilated and lighted.

b) Equipment Requirements – All equipment shall be in working condition and sufficient for the number of students enrolled. Minimum requirements for school equipment are:

1. An entrance sign designating the name of the school.

2. A school seal.

3. A time clock or other equipment necessary for verification of attendance and hours earned.

4. Two facial chairs to be placed in an enclosed or screened area. Facial chairs shall only be used for facials and/or waxing.

5. One facial supply station containing astringents, lotions, creams, makeup and other necessary supplies for facials.

6. Four shampoo chairs and 4 shampoo bowls with adequate hot and cold running water.

7. One hood hair dryer for every 10 clinic stations.

8. Clinic station shall have at least 3 feet per student in the class, including electrical outlets, mirror space, manicuring/pedicuring table, and either a barber chair or styling chair. One wet sanitizer shall be provided for each 10 clinic stations. If the barber chair or styling chair is not suitable for manicures or pedicures, then a suitable nail patron chair shall be provided.

9. A chair for each student in the classroom and, when appropriate, sufficient desk or table space.

10. Adequate number of covered disposal cans placed at convenient locations.

11. At least one covered container for soiled towels in thework space.

12. Closed or covered space equipped for storing towels and having sufficient storage space for 10 dozen towels per 20 students in the clinical work area.

13. One mannequin for each student in attendance.

c) Sanitary Regulations

1. Clean outer garments must be worn at all times. No open toed shoes shall be worn by students.

2. All instruments shall be sanitized before and after use on each patron.

3. Clean towels shall be used for each patron.

4. Shampoo bowls must be sanitized after each use.

5. Hands must be cleansed before and after serving each patron.

6. After each patron is served, combs and brushes must be cleansed, then immersed in a disinfectant, then rinsed in water and dried. Combs and brushes shall be kept in a closed or covered container or space apart from appliances that have not been disinfected.

7. The head rests of any chair shall be protected with a disposable cover or clean towel and changed after each patron.

8. Non-disposable head coverings must be laundered and sanitized after each separate use.

9. All powders, lotions, creams and other cosmetics shall be kept in clean, closed containers. All cosmetics shall be applied by sanitary applicators and removed from the container with a sanitary spatula.

10. No owner, manager, teacher or school administrator shall knowingly permit any person suffering from a serious communicable disease as defined in 77 Ill. Adm. Code 690 to work on the premises, or knowingly permit a student to serve a patron with a serious communicable disease.

11. No animals or pets, except animal assistants for the physically impaired, shall be permitted on school premises.

12. The floors, walls and furniture shall be kept clean at all times.

13. An adequate supply of hot and cold running water shall be available for school operation.

d) Textbooks/Teaching Materials – Textbooks shall be provided for each student in attendance.

e) Teachers – The student/teacher ratio during clinical instruction shall not exceed a 25 to 1 ratio.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.510 Enrollment Agreements and Refund Policies

a) All licensed private cosmetology schools shall have enrollment agreements that meet the requirements of Section 3B-12 of the Act. Licensed public cosmetology schools will be deemed to be in compliance with this provision if these schools comply with the requirements of their public institution.

b) All licensed cosmetology schools shall implement refund policies pursuant to Section 3B-13 of the Act and this Section.

1. When notice of cancellation is given within 5 days after the date of enrollment, all application and registration fees, tuition, and any other charges shall be refunded to the student.

2. When notice of cancellation is given after the fifth day following enrollment but before the completion of the student's first day of class attendance, the school may retain the application and registration fee, not to exceed $100, and the cost of any books or materials that have been provided by the school and retained by the student.

3. When notice of cancellation is given after the student's completion of the first day of class attendance but prior to the student's completion of 5% of the course of instruction, the school may retain the application and registration fee, not to exceed $100, 10% of the tuition, other instructional charges or $300, whichever is less, and the cost of any books or materials that have been provided by the school and retained by the student.

4. When a student has completed 5% or more of the course of instruction, the school may retain the application fee and registration fee, not to exceed $100, and the cost of any books or materials provided by the school, but shall refund a part of the tuition and other instructional charges in accordance with the requirements of the school's regional or national accrediting agency, if any, or in accordance with this subsection (b). (Section 3B-13(1) of the Act)

c) For students who enroll in and begin classes, the following schedule of tuition adjustment will be considered to meet the Division standards for refunds:

PERCENTAGE OF

A SCHEDULED

COURSE COMPLETED

AMOUNT OF TUITION OWED TO THE SCHOOL

0.01% to 4.9%

10%

5% to 9.9%

30%

10% to 14.9%

40%

15% to 24.9%

45%

25% to 49.9%

70%

50% and over

100%

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.515 Advertising

All school advertising for patrons must contain the words "Work Done Exclusively by Students" or "All Work Done by Students" displayed in a conspicuous manner.

History

• Source: Amended at 30 Ill. Reg. 9503, effective May 10, 2006

68 Ill. Adm. Code 1175.520 Recordkeeping - Transcripts

a) Each school shall provide an official transcript showing the entire program work of each student. The official transcript shall contain the following information:

1. School name, address and phone number;

2. School seal;

3. School license number;

4. Signature of the owner, registrar or director of the school;

5. Student's name, address and social security number;

6. Actual dates student attended, including start date, end date and graduation date;

7. Subject areas, required hours, earned hours, and grades received (in a percentage form);

8. Any transfer hours citing the name and address of school transferred from, subject areas, hours earned, and grades received (percentage); and

9. Final examination grades (percentage).

b) The official transcript and school records for each student shall be permanently maintained by the school in the following manner:

1. If maintained on the school premises, they shall be maintained in a locked, fire-resistant cabinet. If official transcripts are maintained on a computer system, history tapes or discs of all official records must be stored in a locked, fire-resistant cabinet or electronically stored in a secure off-site storage system.

2. If records, whether electronic or paper, cannot be maintained on the premises in locked fire-resistant cabinets, duplicate student records, including the official transcripts, shall be maintained at a separate location that shall be made known to the Division. The records shall be accessible to Division officials for inspection.

c) An official transcript and school records for students who withdrew or dropped out of a program shall be maintained by the school for 5 years from the student's first day of attendance at the school.

d) A copy of the transcript shall be given to the student upon graduation or other permanent exit from the school provided the student has met all financial obligations set forth in the enrollment agreement set forth in Section 3B-12 of the Act and Section 1175.510.

e) Transcripts from approved schools must meet the requirements of this Section to be accepted by the Division for licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.525 Recordkeeping – Hours Earned

a) Student Hours. A licensed school of cosmetology shall have a written, published attendance policy.

1. When determining student hours, a school may define its attendance requirements to include 100% attendance for the program length or may allow excused absences for not more than 10% of the program for satisfactory completion. Satisfactory completion is defined as completion of all theory and practical work as outlined in school's curricula.

2. Student attendance policies shall be written and applied uniformly and fairly.

3. The school must maintain documentation of excused absences for at least 5 years.

4. The school must maintain attendance records for each student to verify that the minimum attendance standard set forth by the school is being met.

b) A complete and accurate record of hours of attendance for each student must be recorded and maintained by the school.

c) If a time clock is used, each student shall punch his/her own time card. No student, teacher or any other person shall punch the time card of another student. If a time clock is not used, there shall be another verifiable method used by the school to record student hours. The records must be in a form that allows the student to receive a written report of hours earned. This report of hours earned shall be provided to the student on a monthly basis.

d) Credit for hours earned away from the school premises shall be awarded only if students are supervised by a licensed instructor or by a licensed cosmetologist in the case of an internship. Credit hours for outside study may include workshops, educational programs, films, demonstrations and internship training in a registered salon.

e) Hours earned away from the school premises shall be recorded on school time forms. These forms shall include the school seal, name of student, event or program attended, date attended, signature of student, signature of supervising licensed instructor.

f) Instructors shall review the hours earned by each student monthly. Each month the instructor shall issue a signed monthly report to the student showing the actual number of hours earned by the student.

g) Time cards may be destroyed upon the student's permanent exit from the school and after all hours earned are recorded on the official transcript.

h) An hour is 60 minutes of instruction but not less than 50 minutes.

i) A licensed instructor shall supervise all classroom and practical instruction. No credit shall be given for unsupervised study.

j) A cosmetology student is not permitted to serve the public until he/she has successfully completed a combination of the 150 hours of basic training requirements specified in Section 1175.530(a).

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.530 Curriculum Requirements – Cosmetology

Each licensed cosmetology school shall provide a program consisting of a minimum of 1,500 clock hours or a 50 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. The licensed cosmetology school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a), (b), (c), (d), (e), (f) and (g). Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. The minimum subjects and number of hours shall be as follows for each category of training:

a) Basic Training – 150 hours:

1. tools and their use;

2. shampoo;

3. understanding chemicals and use;

4. all hair types and textures, including coil, curl, or wave patterns, hair strand thicknesses, and volumes of hair;

5. sanitation;

6. hygiene;

7. skin diseases and conditions;

8. anatomy and physiology;

9. electricity;

10. ethics;

11. nail technology;

12. esthetics;

13. eyelash extensions, tabs and strips; and

14. the Act and this Part, including sanitary standards.

b) Practical Chemical Application/Hair Treatment – 500 hours:

1. chemical safety;

2. permanent waving;

3. hair coloring, tinting and bleaching;

4. hair relaxing;

5. hair and scalp conditioning;

6. shampooing, toning and rinsing.

c) Hair Styling/Hair Dressing – 475 hours:

1. cutting;

2. thinning;

3. shaping;

4. trimming;

5. application of electrical/mechanical equipment;

6. curling;

7. hair treatments;

8. blow drying.

d) Shop Management – 200 hours:

1. labor law;

2. workers' compensation;

3. client relations;

4. bookkeeping;

5. marketing and merchandising;

6. emergency first aid;

7. right-to-know laws;

8. pertinent State and local laws and rules;

9. business ethics;

10. sanitation;

11. electrical devices;

12. personal grooming and hygiene;

13. OSHA standards relating to chemical use.

e) Esthetics – 85 hours:

1. non-therapeutic massage, excluding the scalp;

2. nutrition and health of skin;

3. skin analysis;

4. cleansing the skin;

5. mask therapy and facial treatments;

6. facial treatments without the aid of machines;

7. electricity, machines and apparatus;

8. facial treatments with the aid of machines;

9. hair removal, including tweezer method, depilators, waxing and their use;

10. professional makeup techniques, including application of eyelash extensions, tabs and strips;

11. product knowledge as it relates to esthetics.

f) Nail Technology – 55 hours:

1. Fabric procedures;

2. Sculpting procedures;

3. Light cured gels;

4. Machines or apparatus used in nail technology;

5. Manicures;

6. Pedicures;

7. Hand, arm and foot massage;

8. Other procedures as they relate to nail technology;

9. Product knowledge as it relates to nail technology.

g) Electives – 35 hours

h) Internship program is an optional part of the curriculum. If a licensed cosmetology school chooses to establish an internship program, then the internship program must comply with the requirements of this subsection (h):

1. An internship program:

A) May be substituted for 150 hours of the 1,500 hours as set forth in this Section.

B) May be part of the curriculum of a licensed cosmetology school and shall be an organized preplanned training program designed to allow a student to learn hair dressing, sanitation, safety and shop management, hair treatment, nail technology, hair braiding, and/or esthetics under the direct supervision of a licensed cosmetologist in a registered salon.

2. A student in the internship program:

A) May participate in an internship program only after completing 750 hours of training with a minimum average grade of 80. A school may, however, set the average grade higher and set other standards that a student must meet to participate in the internship program.

B) May not spend more than 150 hours in an internship program.

C) May not be paid while participating in this internship program as it is a part of the cosmetology curriculum of the school.

D) May work a maximum of 8 hours a day and shall be required to spend 1 day a week at the school.

E) Shall be under the direct on site supervision of a licensed cosmetologist. Only 1 student shall be supervised by 1 licensed cosmetologist.

3. A licensed cosmetology school shall state clearly in the enrollment agreement that the school offers an internship program.

4. The licensed cosmetology school shall enter into a contract with the student, the registered salon and licensed cosmetologist. The contract shall contain all the provisions set forth in subsection (h)(2) and any other requirements of the internship established by the school. The contract shall be signed by the student, the school and the licensed cosmetologist. Any party to the contract may terminate the contract at any time.

i) Credit for Barber School Training – Pursuant to Section 3-2 of the Act, a school of cosmetology may, at its discretion, consistent with this Part, accept up to 1,000 hours of barber school training, in topics common to both barbering and cosmetology, completed at a barber school toward the 1,500-hour program requirement of cosmetology, provided that:

1. The student must provide the cosmetology school with an official barber school transcript that substantially meets the requirements of Section 1175.520, or other appropriate documentation. The cosmetology school must maintain the transcript or other appropriate documentation for five years from the student's graduation date from the school;

2. The cosmetology school must record the barber school course work accepted for credit in the student's official cosmetology school transcript, including: the course name, start and end dates, and the number of clock hours/credit hours completed;

3. When the accuracy of the relevance or sufficiency of the credited course work or training is questioned by the Division or the Board because of noncompliance in whole or in part with this Part, lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall:

A) Provide information as may be necessary;

B) If requested by the Division, appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information; and/or

C) If recommended by the Board, pass an examination pursuant to Section 3-6 of the Act, complete a 250-hour refresher course at a licensed cosmetology school licensed by the Division (see Section 1175.531) or complete other coursework as recommended by the Board.

j) Credit for Esthetics Training − Pursuant to Section 3-10 of the Act and consistent with this Part, the Division shall not require a licensed esthetician in good standing to complete the 85 hours of esthetics instruction described in subsection (e). However, a licensed esthetician must still complete the 150 hours of basic training described in subsection (a), including the coursework in esthetics, sanitation and hygiene. A school of cosmetology shall not require a licensed esthetician to complete the 85 hours of esthetics instruction described in subsection (e) as a condition of graduation.

k) Credit for Nail Technology Training − Pursuant to Section 3-10 of the Act and consistent with this Part, the Division shall not require a licensed nail technician in good standing to complete the 55 hours of nail technology instruction described in subsection (f). However, a licensed nail technician must still complete the 150 hours of basic training described in subsection (a), including the coursework in nail technology, sanitation and hygiene. A school of cosmetology shall not require a licensed nail technician to complete the 55 hours of nail technology instruction described in subsection (f) as a condition of graduation.

l) A school may, as part of its educational program and on school premises, offer cosmetology services to the public, through a student clinic, as a means of providing students with practical experience. Services shall be provided by students working under the supervision of one or more teachers. Students shall receive no compensation, including tips, but shall receive credit for hours worked towards the 1,500-hour education requirement. The school may provide such services under the authority of its school license and is not required to obtain a salon registration. The school shall post a sign visible to the public advising that all services are provided by students. Except as provided in this subsection, a school and a salon shall not operate within the same premises.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.531 Curriculum Requirements – Cosmetology Refresher Course

a) The 250-hour cosmetology refresher course required under Section 1175.410, 1175.420 or 1175.430 shall include a minimum of 250 clock hours of training in the following categories, as defined in Section 1175.530:

1. Basic Training;

2. Practical Chemical Application/Hair Treatment;

3. Hair Styling/Hair Dressing;

4. Shop Management;

5. Esthetics; and

6. Nail Technology.

b) The refresher course in subsection (a) shall include a minimum of 25 hours in basic training. The subjects covered in the remaining 225 hours may be determined at the discretion of the school and/or teacher, provided the refresher course includes training in each category listed in subsection (a). Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. However, instruction may include online hours in theory not to exceed 10% of the total hours.

c) The 100-hour cosmetology refresher course set forth in Section 1175.410 shall be similar to the refresher course in subsection (a), except that the school and/or teacher shall have the discretion to structure the course to the individual needs of the student to better prepare the student for again taking the examination.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.532 Curriculum Requirements – 500-Hour Cosmetology Course for Licensed Barbers and Licensed Barber Teachers

a) The 500-hour cosmetology course for licensed barbers seeking licensure as a cosmetologist (see Section 3-9 of the Act), shall include a minimum of 500 clock hours of instruction and practical experience and may include online hours in theory not to exceed 10% of the total hours as follows:

1. Basic Training – 50 hours including the Act and this Part and sanitary standards;

2. Practical Chemical Application/Hair Treatment – 170 hours;

3. Hair Styling/Hair Dressing – 160 hours;

4. Shop Management – 65 hours;

5. Esthetics – 30 hours;

6. Nail Technology – 25 hours.

b) The school may include an internship as part of this course.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.535 Curriculum Requirements – Cosmetology Teacher

a) A licensed school that intends to provide teacher training must utilize a teacher program that includes a minimum of 1000 clock hours or a 34 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. The licensed school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a)(1), (2), (3), (4) and (5).The minimum number of hours shall as follows:

1. 500 hours of Post-Graduate School Training that includes all subjects in the basic cosmetology curriculum (see Section 1175.530), including theory and practice. Presentation of material must include the concepts that are intended to be taught and the skills to be acquired during the various phases of basic education.

2. 20 hours of Educational Psychology that shall include, but not be limited to, topics in educational objectives, student characteristics and development, the learning process, and an evaluation of learning that relates to teaching. These hours shall be waived on behalf of cosmetology teacher students who have completed a course in Educational Psychology at an accredited college or university.

3. 20 hours of Teaching Methods (Theory) that shall include, but not be limited to, topics in individual differences in learning, lesson planning and design, lesson delivery, assessment of learning performance, classroom management, student motivation and classroom climate. These hours shall be waived on behalf of cosmetology teacher students who have completed a course in Teaching Methods-Secondary Level at an accredited college or university.

4. 150 hours of Application of Teaching Methods that includes preparation and organization of subject matter to be presented on a unit by unit basis and presentation of subject matter through application of varied methods (lecture, demonstration, testing and assignments). Presentations must provide teaching objectives to be accomplished and correlate theoretical with practical application.

5. 50 hours of Business Methods that includes inventory, recordkeeping, interviewing, supplies, the Act and this Part.

6. 260 hours of Student Teaching under the on-site supervision of an Illinois licensed teacher. The student teacher shall present theoretical and practical demonstrations to students in the basic curriculum.

b) The approved program for a 500-hour Teacher Training Course shall be based on 2 years of practical experience and shall consist of the Teacher Training Curriculum outlined in subsection (a), with the exception of the 500 hours of post-graduate training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.536 Curriculum Requirements – Cosmetology Teacher and Cosmetology Clinic Teacher Refresher Courses

a) The 250-hour cosmetology teacher refresher course, referred to in Sections 1175.420 and 1175.435, shall include a minimum of 250 clock hours of instruction and practical experience in subjects in each of the categories of training defined in Section 1175.535 and may include online hours in theory, not to exceed 10% of the total hours, as follows:

1. 20 hours of Educational Psychology;

2. 20 hours of Teaching Methods (Theory);

3. 120 hours of Application of Teaching Methods;

4. 50 hours of Business Methods; and.

5. 40 additional hours of training as determined by the school or teacher.

b) In the case of cosmetology teacher applicants who fail to pass a third examination, the remedial training required by Section 1175.410(c)(2) shall include 80 clock hours of additional instruction in the following categories of training defined in Section 1175.535:

1. 40 hours of Teaching Methods (Theory).

2. 40 hours of Application of Teaching Methods.

c) In the case of cosmetology clinic teachers seeking restoration by completing a cosmetology teacher refresher course, the course shall include a minimum of 60 clock hours of instruction in the following categories of training as defined in Section 1175.535:

1. 40 hours of Teaching Methods (Theory).

2. 20 hours of Application of Teaching Methods.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.540 Final Examination

a) A school shall require each candidate for graduation to pass a final examination that shall test the student's theoretical and practical knowledge of the curriculum studied. A "final examination" shall include a single final examinations or multiple examinations as determined by the school.

b) The practical examination shall test the candidate's skills in the following areas:

1. Hair cutting;

2. Thermal curl and blow drying;

3. Chemical permanent waving and relaxing;

4. Hair coloring and lightening;

5. Esthetics; and

6. Nail technology.

c) The examination shall be administered by the uniform application of standard performance criteria established by the school for each skill area. The standard performance criteria for each skill area shall be delineated in the examination records as specified in subsection (h).

d) A passing score of 75 or greater shall be required on both the theoretical and practical portions of the final examination or another state's passing grade.

e) The school shall allow each candidate for graduation at least 3 attempts to pass the final exam.

f) The Division may monitor the administration of the final examination:

1. As a result of a complaint received;

2. For random sampling;

3. To collect data; and/or

4. When the failure rate on the licensure examination for school graduates is greater than 25%.

g) The Division shall maintain records of each school's graduate failure rate on the licensing examination. The records shall reflect only first examination attempts for each graduate. The examination results shall not count toward the failure rate on the licensing examination if the student transfers to the school from a closed school with one-half or more of the required hours for graduation.

h) The school shall maintain records of the final examination for a period of no less than 5 years in the manner prescribed in Section 1175.520. These records shall include:

1. A copy of the final examination administered; and

2. Each student's examination grades.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.545 Change of Ownership

a) For purposes of this Section, "change of ownership", "sale" or "transfer" of a corporation means the transfer of more than 50% of stock during a 14 day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a partnership means a change of more than 50% of the partners during a 14 day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of an LLC means a change of more than 50% of the members during a 14 day period. Any change of ownership of a parent business entity that owns the school's owner shall not be considered a change of ownership of the school.

b) If a licensed school is to be sold or otherwise transferred, the new owner must notify the Division at least 30 days in advance of the effective date of the transfer of ownership. The notification shall include a signed and dated letter from the pre-transfer owner acknowledging the planned sale or transfer.

c) Upon filing notice to the Division, the new owner may continue to operate the school under the previously issued license, provided that the new owner submits an application for licensure with the Division within 30 days after the effective date of the transfer of ownership by mailing to the Division:

1. A signed and completed school application;

2. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.505;

3. A copy of:

A) a lease agreement showing at least a 1-year commitment to the use of the school site, the name of the lessor and the name of the lessee; or

B) the certification of school site ownership;

4. A copy of the enrollment agreement that will be utilized by the new owner;

5. A copy of curricula that will be used by the new owner;

6. A sample copy of the school's official transcript;

7. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer;

8. List of all the names, addresses and current status of all schools in which the applicant has previously owned any interest, and a declaration as to whether any of these schools were ever denied accreditation or licensing or lost accreditation or licensing from any government body or accrediting agency;

9. If the new owner is a corporation, limited liability company, or partnership, a copy of the following:

A) if the owner is a domestic corporation, a filed copy of the Articles of Incorporation filed with the Secretary of State or, in the case of a foreign corporation, a filed copy of the Authority to Transact Business in Illinois accepted by and filed with the Secretary of State;

B) if the owner is a domestic limited liability company, a copy of the Articles of Organization that were filed with the Secretary of State or, if the owner is a foreign limited liability company, a copy of the Application for Admission to Transact Business as a Foreign Limited Liability Company accepted by and filed with the Secretary of State; or

C) if the owner is a partnership, a listing of all partners and their addresses;

10. If the new owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

11. An official fire inspection report by the local fire inspection authority conducted within 6 months prior to application approving the school site;

12. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

13. If a name change is to also occur, all documents submitted must include the new name, and the new owner must submit a sample of the new school seal and a photo of the new school sign; and

14. The required fee set forth in Section 1175.100.

d) Once the items listed in subsection (c) have been received, the Division shall conduct an inspection prior to approval of the change of ownership. Approval will be granted if all of the requirements of Subpart E have been met.

e) If the new owner fails to submit a new application within 30 days, or if the Division does not approve the school, the school shall remain closed until final Division approval is received.

f) The new owner is responsible for ensuring that the school is in compliance withall current provisions of the Act and this Part.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.550 Change of Location

a) When the location of a licensed school is to be changed, the school owner shall submit to the Division the following:

1. Written notice to the Division at least 30 days in advance of the school site change;

2. A signed and completed school application;

3. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.505;

4. A copy of:

A) a lease agreement showing at least a 1-year commitment, the address of the school site, the name of the lessor, and the name of the lessee; or

B) the certification of ownership of school site;

5. An official fire inspection report by the local fire inspection authority conducted within 6 months prior to application, approving the site; and

6. The required fee set forth in Section 1175.100.

b) Once the items listed in subsection (a) have been received, the Division shall inspect the premises to determine compliance with this Part. If any changes affecting the items in subsection (a) are made prior to inspection, the school owner must notify the Division in writing. School operations shall not commence at the new location nor may the school in any way solicit student enrollment until the owners have received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart E have been met.

c) If the change of location is due to natural destruction of, or other severe damage to, the original premises due to circumstances beyond the control of the owner, a temporary site may be used to teach theory classes only.

1. The temporary site must be inspected prior to its use and must possess light, ventilation and tables and chairs for the number of students in a classroom and must be clean.

2. The temporary site may be used for a period of 2 months. The 2-month period can be extended for good cause. Good cause includes, but is not limited to, unexpected delays in construction, delays in lease arrangements, or delays in equipment delivery.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.555 Change of Name

When changing the name of a licensed school, a written request for a name change, along with supporting documentation and the required fee specified in Section 1175.100, shall be submitted 30 days in advance of any name change. The Division shall then issue an updated license. At the time of the change of name, all identifying signs and materials must be changed to conform to the new name on the school license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.560 Expansion

a) Written notice shall be given to the Division 30 days prior to any expansion of a licensed school.

b) Off-Site Classrooms

1. When the expansion will result in an off-site classroom location, a completed school application must be submitted along with:

A) A detailed 8½ x 11 inch floor plan that is:

i) drawn to scale;

ii) shows dimensions;

iii) that has all areas labeled;

iv) has all fixtures shown; and

v) demonstrates compliance with the requirements of Section 1175.505;

B) A copy of:

i) a lease showing at least a 1-year commitment to the use of the school site, the address of the school site, the name of the lessor, and the name of the lessee; or

ii) the certification of ownership of the proposed school site;

C) An official fire inspection report, from the local fire inspection authority conducted within 6 months prior to application, giving approval for use of the site as a classroom location;

D) A statement from the school owner outlining the purpose of the classroom location;

E) A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

F) The required fee set forth in Section 1175.100.

2. An off-site classroom location is defined as a separate classroom, not continuously joined, that is located within 5 miles of the main school site that serves to provide adequate space in which to train an overflow of students. A clinic may not be operated at an off-site classroom location. A school may establish only 1 off-site classroom location. All identifying signs and materials must reflect the name of the main school.

c) When an on-site expansion is to accommodate an increased enrollment, a completed school application shall be submitted along with:

1. A detailed 8½ x 11 inch floor plan of the entire site that has dimensions and demonstrates meeting the requirements of Section 1175.505;

2. A statement from the school owner outlining the purpose of the expansion;

3. A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

4. The required inspection fee.

d) Upon receipt of the items listed in subsections (b) and (c), the Division shall inspect the expansion site to determine compliance with this Part. If any changes affecting the items in subsections (b) and (c) are made prior to inspection, the school owner must notify the Division in writing. The site shall not be used until such inspection has occurred and the owner has received written notification of approval from the Division. Approval will be granted if all of the requirements of this Subpart E have been met.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.565 Discontinuance of Program

a) The Division shall receive a minimum of 30 days written notice of a school's intent to discontinue its program. The notice shall include the exact location where the student records are to be stored.

b) The school owner shall notify the Division in writing of the actual closing date of the school.

c) All school records shall be maintained after the school closes.

d) The school must continue to meet the requirements of the Act and this Part until the actual closing date.

e) Each student enrolled at the time of discontinuation must be provided an official transcript of all hours earned while enrolled in the program.

f) Students who have acquired 750 or more clock hours before their school closes shall be allowed to transfer all accumulated hours to another licensed cosmetology school with the approval of that school. Schools accepting these hours shall not be credited with the students' pass/fail statistics, set forth in Section 1175.570(b), resulting from their first attempt on the Illinois Cosmetology examination.

g) Each student shall be given a refund prorated to at least reflect the percentage of time remaining to complete the course of instruction.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.570 Withdrawal of Licensure

a) The Division may withdraw, suspend or place on probation, pursuant to 68 Ill. Adm. Code 1110, the licensure of a school of cosmetology when the quality of the program has been affected by any of the following causes:

1. Gross or repeated violations of any provisions of the Act or this Part;

2. Fraud or dishonesty in furnishing transcripts or documentation for evaluation of the school;

3. Failure to meet the criteria for school approval in Section 1175.500 or 1175.501;

4. Failure to administer the final examination as specified in this Part;

5. Failure to maintain final examination grades for each student and a master of the examination administered as specified in this Part;

6. Fraud or dishonesty in providing transcripts to students who have fulfilled all obligations under Section 1175.510;

7. Failure to provide transcripts to students;

8. A finding by the U.S. Office of Education or Illinois Student Assistance Commission that a school has misappropriated or misused grant or loan monies or has aided in obtaining those monies by providing fraudulent or untruthful information; or

9. Any other violations of the Act and this Part.

b) The Division shall give written notice and a hearing pursuant to 68 Ill. Adm. Code 1110 when Division approval of a school is proposed to be withdrawn.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.600 Sponsor Approval (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.605 Department Supervision (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.610 Credit Hours (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.615 Waiver of Continuing Education Requirements (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.700 Examination – Esthetics

a) Eligibility. Each applicant must meet the following requirements (see Section 3A-2 of the Act) prior to filing an application for the esthetician examination:

1. Be at least 16 years of age;

2. Be a high school graduate or its equivalent or be beyond the age of compulsory school attendance; and

3. Graduate from an esthetics or cosmetology school approved by the Division to teach esthetics in accordance with Subpart H, which includes a 750 hour program in the study of esthetics extending over a period of not less than 18 weeks nor more than 4 consecutive years.

b) Application. Each applicant shall file an application for examination, on forms provided by the Division. The application shall include:

1. An official transcript showing successful completion of the required training outlined in subsection (a) and a passing grade on the final examination or examinations administered by the school as set forth in Section 1175.845;

2. Official transcripts showing successful completion of remedial training (125-hour refresher course) when required by Section 3A-2 of the Act;

3. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on the submitted;

4. If licensed as an esthetician or holding a related license in another state, a certification of licensure from the state of original licensure and from the state of current licensure or most recent practice;

5. The required fee set forth in Section 1175.100; and

6. The required examination fee required by the Department's testing service.

c) Examination. Each applicant shall take and pass the esthetics examination as required in Section 1175.710.

d) An applicant's training received from a cosmetology or esthetics school or similar institution located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart H. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts G and H. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 125-hour esthetician refresher course from a school licensed by the Division as set forth in Section 1175.836. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.705 Licensure by Examination – Esthetics Teacher

a) Eligibility. Each applicant must meet the following requirements pursuant to Section 3A-3 of the Act prior to filing an application for the esthetics teacher examination:

1. Be at least 18 years of age;

2. Be a high school graduate or its equivalent;

3. Hold a current license as a cosmetologist or esthetician;

4. Either:

A) Complete a program of 500 hours of teacher training in an approved cosmetology or esthetics school and 2 years of experience as a licensed cosmetologist or esthetician within 5 years preceding application; or

B) Complete a program of 750 hours of teacher training in a licensed cosmetology school approved to teach esthetics or in an esthetics school.

b) Application. Each applicant shall file an application, on forms provided by the Division. The application shall include:

1. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents;

2. Either:

A) An official transcript from an approved school of esthetics or cosmetology showing successful completion of a 500-hour program of teacher training as set forth in Section 1175.535 or 1175.840 and 2 employment verification forms showing at least 2 years of the last 5 years preceding the examination of practical experience as a licensed esthetician or cosmetologist; or

B) An official transcript from an approved school of esthetics or cosmetology showing completion of a program of 750 hours of teacher training as set forth in Section 1175.535 or 1175.840;

3. A copy of the applicant's current Illinois esthetician or cosmetology license;

4. If licensed in another state, a certification of licensure from the state of original licensure and from the state of current licensure or most recent practice; and

5. The examination fee required by the Department's testing service.

c) Examination. Each applicant shall take and pass the esthetics teacher examination as required in Section 1175.710.

d) An applicant's training received from a cosmetology or esthetics school or similar institution located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart H. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts G and H. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 125-hour esthetician refresher course from a school licensed by the Division as set forth in Section 1175.836. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

e) The required fee set forth in Section 1175.100.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.710 Examination Requirements

a) Examinations shall be administered by the Division or its designated testing service for estheticians and esthetics teachers and shall cover both theoretical and practical knowledge that shall include but not be limited to:

1. Product chemistry;

2. Sanitary rules and regulations;

3. Sanitary procedures;

4. Chemical service procedures;

5. Knowledge of the anatomy of the skin as it relates to applicable services under the Act;

6. The provisions and requirements of the Act; and

7. Labor and compensation laws.

b) The passing grade on each examination is 75 or another state's passing grade.

c) Retakes

1. Esthetician. An applicant who fails to pass a third examination to become a licensed esthetician must submit an official transcript from a cosmetology school approved to teach esthetics or an esthetics school approved by the Division showing successful completion of a 125-hour esthetician refresher course from a school licensed by the Division as set forth in Section 1175.836, prior to taking the examination a fourth time.

2. Esthetics Teacher. An applicant who fails to pass a third examination to become a licensed esthetics teacher must submit an official transcript from a licensed esthetics or cosmetology school approved to instruct esthetics teachers showing successful completion of a 60-hour refresher course prior to taking the examination a fourth time.

3. For purposes of the examination retakes, the fourth attempt shall count as the first.

4. An applicant shall make a written request for an examination retake at least 45 days in advance of the examination date. The request must include the required examination fee and official transcripts when further study is required in accordance with subsections (c)(1) and (2).

d) If an applicant has not submitted an application for licensure within 12 months after taking and passing the examination, the applicant must retake and pass the examination prior to being granted a license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.715 Application for Licensure (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.716 Licensure by Acceptance of Examination – Esthetician

a) Eligibility. If the applicant does not hold a license as an esthetician or esthetics teacher in any jurisdiction of the United States but has completed esthetics training and passed an esthetics licensing examination in that jurisdiction substantially similar to the requirements of the Act and this Part, the applicant shall apply for licensure under this Section.

b) Application. Each applicant shall file an application for acceptance of examination on forms provided by the Division. The application shall include:

1. An official transcript from the school or program showing successful completion of training;

2. Proof of passage of the licensing examination within 12 months of application; and

3. The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.717 Licensure by Acceptance of Examination – Esthetics Teacher

a) Eligibility. If the applicant has an esthetician license in any jurisdiction of the United States, does not hold an esthetics teacher license in any jurisdiction of the United States, and has completed teacher training and passed a teacher examination in another jurisdiction of the United States other than Illinois substantially similar to the requirements of the Act and this Part, the applicant shall apply for licensure under this Section.

b) Application. Each applicant shall file an application for acceptance of examination on forms provided by the Division. The application shall include:

1. Proof of licensure as an esthetician in this or another jurisdiction of the United States;

2. Proof of 2 years of practical experience as a licensed esthetician within 5 years preceding the application;

3. An official transcript from the school or program showing successful completion of teacher training;

4. Proof of passage of a teacher licensing examination within 12 months preceding the application; and

5. The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.720 Licensure by Endorsement

a) An applicant who is currently registered or licensed as an esthetician in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the esthetician license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the esthetics license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

b) An applicant who is currently registered or licensed as an esthetics teacher in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the esthetics teacher license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the esthetics teacher license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

c) An applicant who is currently registered or licensed as an esthetician in a foreign country and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's original jurisdiction of practice stating the applicant's name, the esthetician license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country must be the same or substantially similar to the esthetics license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the board, agency or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country must be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts G and H. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the esthetics license issued by the Division. The Board may require additional coursework or a 125-hour esthetician refresher course (see Section 1175.836) from a school licensed by the Division or may require an applicant to pass the esthetics examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. Evidence that the applicant has practiced esthetics in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers or business owners who can verify the applicant's practice as an esthetician;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

5. The required fee set forth in Section 1175.100.

d) An applicant who is currently registered or licensed as an esthetics teacher in a foreign country and who is seeking licensure as an esthetics teacher in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's jurisdiction of original licensure stating the applicant's name, the esthetics teacher number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country must be the same or substantially similar to the esthetics teacher license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the agency, board or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country shall be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts G and H. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the esthetics teacher license issued by the Division. The Board may require additional coursework, a 125-hour esthetics refresher course from a school licensed by the Division as set forth in Section 1175.836, a 60-hour esthetics teacher refresher course, or an applicant to pass the esthetics examination and/or esthetics teacher examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. Evidence that the applicant has practiced as an esthetics teacher in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers, business owners, students or school administrators who can verify the applicant's practice as an esthetics teacher.

4. Proof of name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on any of the documents submitted; and

5. The required fee set forth in Section 1175.100.

e) An applicant for licensure as an esthetician who is licensed in another jurisdiction may be given 150 hours of educational credit for every 12-month period during which he/she was lawfully employed as an esthetician. To obtain credit for work experience, the applicant must submit verification of employment in support of the work experience on forms provided by the Division from at least 3 clients, coworkers or business owners. A certification of licensure from the jurisdiction in which the lawful practice is claimed must also be submitted.

f) An applicant applying for licensure as an esthetician or esthetics teacher on the basis of endorsement who has previously failed the licensing examination in Illinois shall not be approved for licensure on the basis of endorsement unless and until he/she provides verification of successful completion of a substantially equivalent licensure examination. The successful completion of the substantially equivalent examination must occur after the most recently failed examination attempt in Illinois. An applicant may be required to appear before the Board to answer questions about any examination taken by the applicant. The Board may recommend the completion of additional coursework by an applicant prior to licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.721 Licensed Cosmetology Teacher Seeking License as Esthetics Teacher

a) A licensed cosmetology teacher may apply for licensure as an esthetics teacher. An applicant will not be required to take the esthetics teacher examination and shall file an application on forms provided by the Division that includes:

1. The applicant's current cosmetology teacher license number; and

2. The required fee set forth in Section 1175.100.

b) Nothing in this Part requires a licensed cosmetologist to obtain a license to practice esthetics or a licensed cosmetology teacher to obtain a license to practice or to teach esthetics.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.722 Licensed Nail Technology Teacher Seeking License as Esthetics Teacher

A licensed nail technology teacher may apply for licensure as an esthetics teacher. An applicant will not be required to take the esthetics teacher examination and shall file an application, on forms provided by the Division, that includes:

a) The applicant's current nail technology teacher license number;

b) The applicant's esthetics license number or proof of completion of all requirements of Section 1175.700; and

c) The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.725 Renewals

a) Every license issued under the Act shall expire as follows:

1. Esthetics teacher and esthetics school licenses shall expire on September 30 of each even-numbered year.

2. Esthetician licenses shall expire on September 30 of each odd-numbered year.

3. The holder of a license may renew the license during the month preceding its expiration date.

b) Applicants for renewal shall:

1. Submit a completed renewal application.

2. Esthetician. Certify on the renewal application to successful completion of a minimum of 10 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license. Certify compliance with Section 1175.1220.

3. Esthetics Teacher. Certify on the renewal application to successful completion of a minimum of 20 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license. Certify compliance with Section 1175.1220. Ten of the 20 hours shall be in the following areas:

A) Teaching methodology;

B) Educational psychology;

C) Classroom management; or

D) Other teaching related courses.

4. Submit the required fee set forth in Section 1175.100.

c) A renewal applicant is not required to comply with CE for the first renewal after issuance of original license.

d) The Division may require additional evidence demonstrating compliance with the CE requirements (i.e., certificate of attendance or certificate of completion). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of this compliance. The evidence shall be required in the context of the Division's random audit.

e) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license.

f) Practicing or operating on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 4-7 of the Act.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.730 Restoration – Esthetics

a) Application for Restoration

1. A person applying for restoration of a license as an esthetician that has been expired for less than 5 years shall submit an application on forms provided by the Division and:

A) Pay the required fee set forth in Section 1175.100; and

B) Provide evidence of successful completion of 10 hours of CE in accordance with Section 1175.1200, earned within the 2 years immediately preceding the restoration.

2. If restoring after active military service, a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of a license as an esthetician that has been expired for 5 years or more shall submit an application on forms provided by the Division along with either:

1. All of the following:

A) Verification of employment attesting to lawful practice in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 clients, coworkers or business owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment stating that the practice was authorized;

C) A completed Restoration Questionnaire;

D) Evidence of successful completion of 10 hours of CE earned within the 2 years immediately preceding restoration; and

E) The required fee set forth in Section 1175.100; or

2. A copy of the applicant's DD-214 and the current renewal fee if restoring from active military service.

c) An applicant for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 125-hour esthetics refresher course from an approved cosmetology or esthetics school or pass the esthetics licensure examination pursuant to Section 1175.710 within 2 years prior to or within 2 years after application for restoration. An applicant who completes this refresher course or takes the examination shall not also be required to complete 10 hours of CE, but shall comply with the remaining requirements of subsection (b).

d) If an applicant takes and fails the examination, the license will not be restored until he/she has successfully completed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.735 Restoration - Esthetics Teacher

a) A person applying for restoration of a license as an esthetics teacher or esthetics clinic teacher that has been expired or been on inactive status for less than 5 years shall submit an application on forms provided by the Division. An applicant shall also submit evidence of successful completion of 20 hours of CE in accordance with Section 1175.1210 earned within the 2 years immediately preceding the restoration and the required fee set forth in Section 1175.100. If restoring after active military service, an applicant shall submit a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of a certificate as an esthetics teacher that has been expired for 5 years or more shall submit an application on forms provided by the Division, along with either:

1. All of the following:

A) Verification of employment as an esthetics teacher in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 students, coworkers or school owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment;

C) Evidence of successful completion of 20 hours of CE earned within the 2 years immediately preceding the restoration;

D) A completed Restoration Questionnaire; and

E) The required fee set forth in Section 1175.100; or

2. If restoring after active military service, a copy of the applicant's DD-214 and the current renewal fee.

c) An applicant for restoration of an esthetics teacher license under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit official transcripts showing successful completion of a 125-hour teacher refresher course set forth in Section 1175.836 from an approved esthetics or cosmetology school or pass the esthetics teacher examination in accordance with Section 1175.710 within 2 years prior to or within 2 years after application for restoration. An applicant who completes this refresher course shall not also be required to complete 20 hours of CE, but shall comply with the remaining requirements of subsection (b).

d) If an applicant takes and fails the examination, the license will not be restored until he/she has passed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.800 Esthetics School Application – Private Schools

a) An applicant for a private esthetics school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimesions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A copy of:

A) a lease showing at least a 1-year commitment to the use of the school site, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the proposed school site;

3. If the owner is a corporation, a filed copy of the Articles of Incorporation; if the owner is a limited liability company, a filed copy of the Articles of Organization; if the owner is a partnership, a listing of all partners and their current addresses;

4. If the owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

5. An official fire inspection report from the local fire inspection authority conducted within 6 months prior to application giving approval for use of the site as a school;

6. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

7. A copy of the official enrollment agreement to be used by the school, which shall be consistent with the requirements of Section 1175.815;

8. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

9. A copy of the curricula that will be followed for each program that meets the requirements of Section 1175.835;

10. A copy of the school's official transcript for each program that complies with the requirements of Section 1175.835; and

11. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

12. The required fee set forth in Section 1175.100.

b) When the items listed in subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations shall not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart H have been met.

c) Esthetics schools shall only offer instruction in esthetics and esthetics teacher education.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.801 Esthetics School Application – Public Schools

a) An applicant for a public esthetics school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimesions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

3. A copy of the curricula that will be followed for each program that meets the requirements of this Part;

4. A copy of the school's official transcript for each program that meets the requirements of this Part;

5. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

6. The required fee set forth in Section 1175.100.

b) When the items listed in subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations shall not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart have been met.

c) Esthetics schools shall only offer instruction in esthetics and esthetics teacher education.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.805 Cosmetology Schools Approved to Teach Esthetics

a) Existing cosmetology schools that wish to provide esthetics instruction shall:

1. Provide at least 200 square feet of space to accommodate 5 work stations and a maximum of 10 students. If attendance exceeds 10 on the clinic floor at any time, an additional 40 square feet is required for each additional work station required by subsection (a)(4)(A). The use of this space shall not reduce the square footage for the conduct of an approved cosmetology school below the minimum requirements set forth in this Section.

2. File an application with the Division, on forms provided by the Division, which shall include:

A) A detailed 8½ x 11 inch floor plan that is:

i) drawn to scale;

ii) shows dimensions;

iii) has all areas labeled;

iv) has all fixtures shown; and

v) demonstrates compliance with the requirements of Section 1175.305;

B) An official copy of the fire inspection report from the local fire inspection authority, conducted within 6 months prior to application, giving approval for use of the site as a school;

C) A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

D) A copy of the enrollment agreement to be used by the school;

E) A copy of the esthetics curriculum for each program that meets the requirements of Sections 1175.835 and 1175.840;

F) A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

G) A copy of the school's official transcript for each program that complies with the requirements of Section 1175.825; and

H) The required fee set forth in Section 1175.100.

3. When the items required by subsection (a)(2) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance. No cosmetology school shall begin teaching an esthetics program until it has been approved by the Division.

4. In addition, the school shall have the following:

A) At least one work station or position for every 2 students. Every work station shall include 1 facial chair, 1 steamer, 1 magnification lamp and 1 wood lamp.

B) One set of facial equipment, to include manual, mechanical or electrical apparatus as follows:

i) Brushing;

ii) Vacuum/spray machine;

iii) Glass electrode or high frequency current; and

iv) Disencrustation machine.

b) Cosmetology schools approved to teach esthetics shall be required to comply with all provisions in this Part. Space and equipment required for esthetics schools pursuant to Section 1175.810(a) and (b) may be utilized for both the cosmetology and esthetics programs offered by the cosmetology school.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.810 Physical Site Requirements

a) Space Requirements

1. A school shall have a minimum of 1800 square feet of work space. If the school has more than 20 students, an additional 40 square feet is required for each additional student on the clinic floor at any given time.

2. The school shall be partitioned to provide for the following areas:

A) Dispensary;

B) Student spa;

C) Classrooms;

D) Two restrooms;

E) Cloak space for the public;

F) Public waiting area;

G) Student lounge area separated from the work area and sufficient space for each student to keep school related and personal items;

H) Storage space;

I) Other areas for school administration;

J) Work stations.

3. All areas of the school shall be ventilated and lighted.

b) Equipment Requirements – All equipment shall be in working condition and sufficient for the number of students enrolled. Minimum requirements for school equipment are:

1. An entrance sign designating the name of the school;

2. A school seal;

3. A time clock or other equipment necessary for verification of attendance and hours earned;

4. A minimum of 5 work stations. Every work station shall include 1 facial chair, 1 steamer, 1 magnification lamp and 1 wood lamp;

5. Every school shall also have 1 set of facial equipment to include manual, mechanical, or electrical apparatus as follows:

A) Brushing;

B) Vacuum/spray machine;

C) Glass electrode or high frequency current; and

D) Disencrustation machine;

6. Trays for facial supplies;

7. One dry sterilizer per 2 work stations;

8. One facial supply station containing astringents, lotions, creams, makeup and other necessary supplies for facials;

9. A chair for each student in the classroom and, when appropriate, sufficient desk or table space;

10. Adequate covered disposal cans placed at convenient locations;

11. At least one covered container for soiled towels in a work area;

12. Closed or covered space equipped for storing 5 dozen clean towels for every 10 students in the work area; and

13. One head form or chart per class.

c) Sanitary Regulations

1. Clean outer garments must be worn at all times. No open toed shoes shall be worn by students.

2. All instruments shall be sanitized before and after use on each patron.

3. Clean towels shall be used for each patron.

4. Hands must be cleansed before and after serving each patron.

5. After each patron is served, electrical equipment must be sanitized according to manufacturer's specifications. All other equipment should be washed in water and sanitized before use.

6. The head rests of any chair shall be protected with a disposable cover or clean towel and changed after each patron.

7. Non-disposable head coverings must be laundered and sanitized after each separate use.

8. All powders, lotions, creams and other cosmetics shall be kept in clean, closed containers. All cosmetics shall be applied by sanitary applicators and removed from the container with a sanitary spatula.

9. No owner, manager, teacher or school administrator shall knowingly permit any person suffering from a serious communicable disease, as defined in 77 Ill. Adm. Code 690, to work on the premises or knowingly permit a student to serve a patron with a serious communicable disease.

10. No animals or pets, except animal assistants for the physically impaired, shall be permitted on school premises.

11. The floors, walls and furniture shall be kept clean at all times.

12. An adequate supply of hot and cold running water shall be available for school operation.

d) Textbooks/Teaching Materials – Textbooks shall be provided for each student in attendance.

e) Teachers – The student/teacher ratio during clinical instruction shall not exceed a 25 to 1 ratio.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.815 Enrollment Agreements and Refund Policy

a) All licensed private esthetics schools shall have enrollment agreements that meet the requirements of Section 3B-12 of the Act. Licensed public esthetics schools will be deemed to be in compliance with this provision if these schools comply with the requirements of their public institution.

b) All licensed esthetics schools shall implement refund policies pursuant to Section 3B-13 of the Act and this Section.

1. When notice of cancellation is given within 5 days after the date of enrollment, all application and registration fees, tuition, and any other charges shall be refunded to the student.

2. When notice of cancellation is given after the fifth day following enrollment but before the completion of the student's first day of class attendance, the school may retain the application and registration fee, not to exceed $100, and the cost of any books or materials that have been provided by the school and retained by the student.

3. When notice of cancellation is given after the student's completion of the first day of class attendance but prior to the student's completion of 5% of the course of instruction, the school may retain the application and registration fee, not to exceed $100, 10% of the tuition, other instructional charges or $300, whichever is less, and the cost of any books or materials that have been provided by the school and retained by the student.

4. When a student has completed 5% or more of the course of instruction, the school may retain the application fee and registration fee, not to exceed $100, and the cost of any books or materials provided by the school, but shall refund a part of the tuition and other instructional charges in accordance with the requirements of the school's regional or national accrediting agency, if any, or in accordance with this subsection (b). (Section 13B-13(1) of the Act)

c) For students who enroll in and begin classes, the following schedule of tuition adjustment will be considered to meet the Division standards for refunds:

PERCENTAGE OF

A SCHEDULED

COURSE COMPLETED

AMOUNT OF

TUITION OWED

TO THE SCHOOL

0.01% to 4.9%

10%

5% to 9.9%

30%

10% to 14.9%

40%

15% to 24.9%

45%

25% to 49.9%

70%

50% and over

100%

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.820 Advertising

All school advertising for patrons shall conspicuously contain the words "Work Done Exclusively by Students" or "All Work Done by Students".

History

• Source: Amended at 30 Ill. Reg. 9503, effective May 10, 2006

68 Ill. Adm. Code 1175.825 Recordkeeping – Transcripts

a) Each school shall provide an official transcript showing the entire program work of each student. The official transcript shall contain the following information:

1. School name, address and phone number;

2. School seal;

3. School license number;

4. Signature of owner, registrar or director of the school;

5. Student's name, address and social security number;

6. Actual dates student attended, including start date, end date and graduation date;

7. Subject areas, required hours, earned hours, and grades received (in a percentage form);

8. Any transfer hours citing the name and address of school transferred from, subject areas, hours earned, and grades received (percentage); and

9. Final examination grades (percentage).

b) The official transcript and school records for each student shall be permanently maintained by the school in the following manner:

1. If maintained on the school premises, they shall be maintained in a locked, fire-resistant cabinet. If official transcripts are maintained on a computer system, history tapes or discs of all official records must be stored in a locked, fire-resistant cabinet or electronically stored in a secure off-site storage system.

2. If records, whether electronic or paper, cannot be maintained on the premises in locked fire-resistant cabinets, duplicate student records, including the official transcripts, shall be maintained at a separate location that shall be made known to the Division. The records shall be accessible to Division officials for inspection.

c) An official transcript and school records for students who withdrew or dropped out of a program shall be maintained by the school for 5 years from the student's first day of attendance at the school.

d) A copy of the transcript shall be given to the student upon graduation or other permanent exit from the school provided the student has met all financial obligations established in the enrollment agreement as set forth in Section 3B-12 of the Act and Section 1175.815.

e) Transcripts from approved schools must meet the requirements of this Section to be accepted by the Division for licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.830 Recordkeeping – Hours Earned

a) Student Hours. A licensed school of esthetics shall have a written, published attendance policy.

1. When determining student hours, a school may define its attendance requirements to include 100% attendance for the program length or may allow excused absences for not more than 10% of the program for satisfactory completion. Satisfactory completion is defined as completion of all theory and practical work as outlined in the school's curricula.

2. Student attendance policies shall be written and applied uniformly and fairly.

3. The school shall maintain documentation of excused absences for at least 5 years.

4. The school shall maintain attendance records for each student to verify that the minimum attendance standard set forth by the school is being met.

b) A complete and accurate record of hours of attendance for each student shall be recorded and maintained by the school.

c) If a time clock is used, each student shall punch his/her own time card. No student, teacher or any other person shall punch the time card of another student. If a time clock is not used, there shall be another verifiable method used by the school to record student hours. The records shall be in a form that allows the student to receive a written report of hours earned. This report of hours earned shall be provided to the student on a monthly basis.

d) Credit for hours earned away from school premises shall be awarded only if students are supervised by a licensed instructor or by a licensed esthetician or licensed cosmetologist in the case of an internship. Credit hours for outside study may include workshops, educational programs, films, demonstrations and internship training in a registered salon.

e) Hours earned away from the school premises shall be recorded on school time forms. These forms shall include: the school seal, name of student, event or program attended, date attended, signature of student and signature of supervising, licensed instructor.

f) Instructors shall review the hours earned by each student monthly. Each month the instructor shall issue a signed written monthly report to the student showing the actual number of hours earned by the student.

g) Time cards may be destroyed upon the student's permanent exit from the school and after all hours earned are recorded on the official transcript.

h) An hour is 60 minutes of instruction but not less than 50 minutes.

i) A licensed instructor shall supervise all classroom, practical and clinical instruction. No credit shall be given for unsupervised study.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.835 Curriculum Requirements – Esthetics

a) Each licensed cosmetology school teaching an esthetics curriculum and each licensed esthetics school shall provide a program consisting of a minimum of 750 clock hours or a 25 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. The licensed cosmetology or esthetics school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a)(1), (2), (3) and (4). The minimum subjects and number of hours shall be as follows for each category of training:

1. Basic Training – 75 hours:

A) history of skin care;

B) personal hygiene and public health;

C) professional ethics;

D) sterilization and sanitation;

E) introduction to skin analysis and skin care and facial treatments;

F) eyelash extensions, tabs and strips.

2. Scientific Concepts – 150 hours:

A) cells, metabolism and body systems;

B) bacteriology;

C) physiology and histology of the skin;

D) human anatomy;

E) chemistry – understanding chemicals and their use;

F) disorders of the skin and special esthetics procedures.

3. Practices and Procedures – 500 hours:

A) non-therapeutic massage, excluding the scalp;

B) nutrition and health of skin;

C) skin analysis;

D) cleansing the skin;

E) mask therapy and facial treatments;

F) facial treatments without the aid of machines;

G) electricity, machines and apparatus;

H) facial treatments with the aid of machines;

I) hair removal; including tweezer method, depilitators, waxing and their use;

J) professional makeup techniques, including the application of eyelash extensions, tab and strips;

K) product knowledge as it relates to esthetics.

4. Business Practices – 25 hours:

A) the Act and this Part, including sanitary standards;

B) management;

C) OSHA standards relating to chemical use;

D) Workers' Compensation Act.

5. Internship Program is an optional part of the curriculum. Each licensed esthetics school may choose to set up an internship program and shall follow the guidelines set forth in this subsection (a)(5):

A) An internship program:

i) May be substituted for 75 hours of the 750 hours set forth in this subsection (a).

ii) May be part of the curriculum of a licensed esthetics school and shall be an organized preplanned training program designed to allow a student to learn esthetics under the direct supervision of a licensed cosmetologist or licensed esthetician in a registered salon.

B) A student in the internship program:

i) May participate in an internship program only after completing 375 hours of training and have a minimum average grade of 80. A school may set the average grade higher and set other standards that a student must meet to participate in the internship program.

ii) May not spend more than 75 hours in an internship program.

iii) May not be paid while participating in this internship program as it is a part of the esthetics curriculum of the school.

iv) May work a maximum of 8 hours a day and shall be required to spend 1 day a week at the school.

v) Shall be under the direct on-site supervision of a licensed cosmetologist or licensed esthetician. Only 1 student shall be supervised by 1 licensed cosmetologist or licensed esthetician.

C) A licensed esthetics school shall state clearly in the enrollment agreement that the school offers an internship program.

D) The licensed esthetics school shall enter into a contract with the student, the registered salon and licensed cosmetologist or licensed esthetician. The contract shall contain all of the provisions set forth in this subsection (a)(5) and any other requirements of the internship program established by the school. The contract shall be signed by the student, the school and the licensed cosmetologist or licensed esthetician. Any party to the contract may terminate the contract at any time.

b) An esthetics student is not permitted to practice on the public until the successful completion of 75 hours of basic training specified in subsection (a)(1).

c) A school may, as part of its educational program and on school premises, offer esthetics services to the public, through a student clinic, as a means of providing students with practical experience. Services shall be provided by students working under the supervision of one or more teachers. Students shall receive no compensation, including tips, but shall receive credit for hours worked towards the 750-hour education requirement. The school may provide those services under the authority of its school license and is not required to obtain a salon registration. The school shall post a sign visible to the public advising that all services are provided by students. Except as provided in this subsection, a school and a salon shall not operate in the same premises.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.836 Curriculum Requirements – 125-Hour Esthetician Refresher Course

a) The 125-hour esthetician refresher course required under Section 1175.710 or 1175.720 shall include a minimum of 125 clock hours of training in the following categories, as defined in Section 1175.835:

1. Basic Training;

2. Scientific Concepts;

3. Practices and Procedures; and

4. Business Practices.

b) The refresher course in subsection (a) shall include a minimum of 25 hours in basic training. The subjects covered in the remaining 100 hours may be determined at the discretion of the school and/or teacher, provided the refresher course includes training in each category listed in subsection (a). Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. However, instruction may include online hours in theory not to exceed 10% of the total hours.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.840 Curriculum Requirements – Esthetics Teacher

a) A licensed school that intends to provide teacher training must utilize a teacher curriculum that includes a program consisting of a minimum of 750 clock hours or a 25 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. The licensed cosmetology or esthetics school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (1), (2), (3), (4) and (5). The minimum number of hours shall be as follows:

1. 250 hours of Post-Graduate School Training that includes: all subjects in the basic esthetics curriculum (see Section 1175.835), including theory and practice. Presentation of material must include the concepts that are intended to be taught and the skills to be acquired during the various phases of basic education.

2. 20 hours of Educational Psychology that shall include, but not be limited to, topics in educational objectives, student characteristics and development, the learning process, and an evaluation of learning that relates to teaching. These hours shall be waived on behalf of esthetics teacher students who have completed a course in Educational Psychology at an accredited college or university.

3. 20 hours of Teaching Methods (Theory) that shall include, but not be limited to, topics in individual differences in learning, lesson planning and design, lesson delivery, assessment of learning performance, classroom management, student motivation and classroom climate. These hours shall be waived on behalf of esthetics teacher students who have completed a course in Teaching Methods-Secondary Level at an accredited college or university.

4. 150 hours of Application of Teaching Methods that includes: preparation and organization of subject matter to be presented on a unit by unit basis; and presentation of subject matter through application of varied methods (lecture, demonstration, testing and assignments). Presentations must provide teaching objectives to be accomplished and correlate theoretical with practical application.

5. 50 hours of Business Methods that includes: Inventory, recordkeeping, interviewing, supplies, the Act and this Part.

6. 260 hours of Student Teaching under the on-site supervision of an Illinois licensed teacher. The student teacher shall present theoretical and practical demonstrations to students in the basic curriculum.

b) The approved program for a 500-hour Teacher Training Course shall be based upon 2 years of practical experience and shall consist of the Teacher Training Curriculum outlined in this Section with the exception of the 250 hours of Post-Graduate Training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.841 Curriculum Requirements – Esthetics Clinic Teacher (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.842 Curriculum Requirements – Esthetics Teacher Refresher Course

a) The 60-hour esthetics teacher refresher course required under Section 1175.710 or 1175.720 shall include a minimum of 60 clock hours of instruction and practical experience in subjects in each of the categories of training defined in Section 1175.840 and may include online hours in theory, not to exceed 10% of the total hours, in the following:

1. Educational Psychology;

2. Teaching Methods (Theory);

3. Application of Teaching Methods; and

4. Business Methods.

b) In the case of esthetics teacher applicants who fail to pass a third examination, the remedial training required by Section 1175.710(b)(2) shall include 80 clock hours of additional instruction in the following categories of training defined in Section 1175.840:

1. Teaching Methods (Theory); and

2. Application of Teaching Methods.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.845 Final Examination

a) A school shall require each candidate for graduation to pass a final examination that shall test the student's theoretical and practical knowledge of the curriculum studied. A "final examination" shall include a single final examination or multiple examinations as determined by the school.

b) The practical examination shall test the candidate's skills in the following areas:

1. Non-therapeutic massage;

2. Electrical facial treatments;

3. Other kinds of facial treatments;

4. Makeup application; and

5. Hair removal.

c) The examination shall be administered by the uniform application of standard performance criteria established by the school for each skill area. The standard performance criteria for each skill area shall be delineated in the examination records as specified in subsection (h).

d) A passing score of 75 or greater shall be required on both the theoretical and practical portions of the final examination or another state's passing grade.

e) The school shall allow each candidate for graduation at least 3 attempts to pass the final exam.

f) The Division may monitor the administration of the final examination:

1. As a result of a complaint received;

2. For random sampling;

3. To collect data; and/or

4. When the failure rate on the licensure examination for school graduates is greater than 25%.

g) The Division shall maintain records of each school's graduate failure rate on the licensing examination. The records shall reflect only first examination attempts for each graduate. The examination results shall not count toward the failure rate on the licensing examination if the student transfers to the school from a closed school with one-half or more of the required hours for graduation.

h) The school shall maintain records of the final examination for a period of no less than 5 years in the manner prescribed in Section 1175.825(b). These records shall include:

1. A copy of the final examination administered; and

2. Each student's examination grades.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.850 Change of Ownership

a) For purposes of this Section, "change of ownership", "sale" or "transfer" of a corporation means the transfer of more than 50% of stock during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a partnership means a change of more than 50% of the partners during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of an LLC means a change of more than 50% of the members during a 14-day period. Any change of ownership of a parent business entity that owns the school's owner shall not be considered a change of ownership of the school.

b) If a licensed school is to be sold or otherwise transferred, the new owner must notify the Division at least 30 days in advance of the effective date of the transfer of ownership. The notification shall include a signed and dated letter from the pre-transfer owner acknowledging the planned sale or transfer.

c) Upon filing notice to the Division, the new owner may continue to operate the school under the previously issued license, provided that the new owner submits an application for licensure with the Division within 30 days after the effective date of the transfer of ownership by mailing to the Division:

1. A signed and completed school application;

2. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

3. A copy of:

A) a lease agreement showing at least a 1-year commitment to the use of the school site; the name of the lessor and the name of the lessee; or

B) the certification of ownership of the proposed school site;

4. A copy of the enrollment agreement that will be utilized by the new owner;

5. A copy of curricula that will be used by the new owner;

6. A sample copy of the school's official transcript;

7. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer;

8. List of all the names, addresses and current status of all schools in which the applicant has previously owned any interest, and a declaration as to whether any of these schools were ever denied accreditation or licensing or lost accreditation or licensing from any government body or accrediting agency;

9. If the new owner is a corporation, limited liability company, or partnership, a copy of the following:

A) if the owner is a domestic corporation, a filed copy of the Articles of Incorporation filed with the Secretary of State or, in the case of a foreign corporation, a filed copy of the Authority to Transact Business in Illinois accepted by and filed with the Secretary of State;

B) if the owner is a domestic limited liability company, a copy of the Articles of Organization that were filed with the Secretary of State or, if the owner is a foreign limited liability company, a copy of the Application for Admission to Transact Business as a Foreign Limited Liability Company accepted by and filed with the Secretary of State; or

C) if the owner is a partnership, a listing of all partners and their addresses;

10. If the new owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

11. An official fire inspection report by the local fire inspection authority conducted within 6 months prior to application approving the school site;

12. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

13. If a name change is to also occur, all documents submitted must include the new name, and the new owner must submit a sample of the new school seal and a photo of the new school sign; and

14. The required fee set forth in Section 1175.100.

d) Once the items listed in subsection (c) have been received, the Division shall conduct an inspection prior to approval of the change of ownership. Approval will be granted if the requirements of this Subpart H have been met.

e) If the new owner fails to submit a new application within 30 days, or if the Division does not approve the school, the school shall remain closed until final Division approval is received.

f) The new owner is responsible for ensuring that the school is in compliance with all current provisions of the Act and this Part.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.855 Change of Location

a) When the location of a licensed school is to be changed, the school owner shall submit to the Division the following:

1. Written notice to the Division at least 30 days in advance of the school site change;

2. A signed and completed school application;

3. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.810;

4. A copy of:

A) a lease agreement showing at least a 1-year commitment, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of school site;

5. An official fire inspection report by the local fire inspection authority, conducted within 6 months prior to application, approving the site; and

6. The required fee set forth in Section 1175.100.

b) Once the items listed in subsection (a) have been received, the Division shall inspect the premises to determine compliance with this Part. If any changes affecting the items in subsection (a) are made prior to inspection, the school owner must notify the Division in writing. School operations shall not commence at the new location, nor may the school in any way solicit student enrollment, until the owners have received written notice of approval from the Division. Approval will be granted if the requirements of this Subpart H have been met.

c) If the change of location is due to natural destruction of, or other severe damage to, the original premises due to circumstances beyond the control of the owner, a temporary site may be used to teach theory classes only.

1. The temporary site must be inspected prior to its use and must possess light, ventilation and tables and chairs for the number of students in a classroom and must be clean.

2. The temporary site may be used for a period of 2 months. The 2-month period can be extended for good cause. Good cause includes, but is not limited to, unexpected delays in construction, delays in lease arrangements or delays in equipment delivery.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.860 Change of Name

When changing the name of a licensed school, a written request for a name change, along with supporting documentation and the required fee specified in Section 1175.100, shall be submitted 30 days in advance of any name change. The Division shall then issue an updated license. At the time of the change of name, all identifying signs and materials must be changed to conform to the new name on the school license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.865 Expansion

a) Written notice shall be given to the Division 30 days prior to any expansion of a licensed school.

b) When the expansion will result in an off-site classroom location, a completed school application must be submitted along with:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A copy of:

A) a lease showing at least a 1-year commitment to the use of the site, the address of the site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the proposed site;

3. An official fire inspection report from the local fire inspection authority, conducted within 6 months prior to application, giving approval for use of the site as an off-site classroom location;

4. A statement from the school owner outlining the purpose of the classroom location;

5. A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

6. The required fee set forth in Section 1175.100.

c) An off-site classroom location is defined as a separate classroom, not continuously joined, that is located within 5 miles of the main school site that serves to provide adequate space in which to train an overflow of students. A clinic may not be operated at an off-site classroom location. A school may establish only one off-site classroom location. All identifying signs and materials must reflect the name of the main school.

d) When an on-site expansion is to accommodate an increased enrollment, a completed school application shall be submitted along with:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. A statement from the school owner outlining the purpose of the expansion;

3. A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

4. The required inspection fee set forth in Section 1175.100.

e) Upon receipt of the items listed in subsections (b) and (d), the Division shall inspect the expansion site to determine compliance with this Part. If any changes affecting the items in subsections (b) and (d) are made prior to inspection, the school owner must notify the Division in writing. The site shall not be used until such inspection has occurred and the owner has received written notification of approval from the Division. Approval will be granted if all of the requirements of this Subpart H have been met.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.870 Discontinuance of Program

a) The Division shall receive a minimum of 30 days written notice of a school's intent to discontinue its program. The notice shall include the exact location where the student records are to be stored.

b) The school owner shall notify the Division in writing of the actual closing date of the school.

c) All school records shall be maintained after the school closes.

d) The school must continue to meet the requirements of the Act and this Part until the actual closing date.

e) Each student enrolled at the time of discontinuation must be provided an official transcript of all hours earned while enrolled in the program.

f) Each student shall be given a refund prorated to at least reflect the percentage of time remaining to complete the course of instruction.

g) Students who have acquired 375 or more clock hours before their school closes shall be allowed to transfer all accumulated hours to another licensed esthetics school with the approval of that school. Schools accepting these hours shall not be credited with the students' pass/fail statistics, set forth in Section 1175.570(b), resulting from their first attempt on the Illinois Esthetician examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.875 Withdrawal of Licensure

a) The Division may withdraw, suspend or place on probation, pursuant to 68 Ill. Adm. Code 1110, the licensure of a school of cosmetology or esthetics school when the quality of the program has been affected by any of the following causes:

1. Gross or repeated violations of any provisions of the Act or this Part;

2. Fraud or dishonesty in furnishing transcripts or documentation for evaluation of the school;

3. Failure to meet the criteria for school approval in Section 1175.800 or 1175.801;

4. Failure to administer the final examination as specified in this Part;

5. Failure to maintain final examination grades for each student and a master of the examination administered by the school as specified in this Part;

6. Fraud or dishonesty in providing transcripts to students who have fulfilled all obligations under Section 1175.815;

7. Failure to provide transcripts to students;

8. A finding by the U.S. Office of Education or Illinois Student Assistance Commission that a school has misappropriated or misused grant or loan monies or has aided in obtaining those monies by providing fraudulent or untruthful information; or

9. Any other violations of the Act or this Part.

b) The Division shall give written notice and a hearing pursuant to 68 Ill. Adm. Code 1110 when Division licensure of a school is proposed to be withdrawn.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.900 Sponsor Approval (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.905 Department Supervision (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.910 Credit Hours (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.915 Waiver of Continuing Education Requirements (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.1000 Application for Licensure Under Sections 3c-4 and 3c-5 of the Act (grandfather) (repealed)

History

• Source: Repealed at 21 Ill. Reg. 7277, effective May 29, 1997

68 Ill. Adm. Code 1175.1001 Licensure by Examination – Nail Technician

a) Eligibility. Each applicant must meet the following requirements (see Section 3C-2 of the Act) prior to filling an application for the nail technician examination:

1. Is at least 16 years of age.

2. Pursuant to Section 3C-2 of the Act:

A) Is beyond the age of compulsory school attendance or has a certificate of graduation from a school providing secondary education or the recognized equivalent of that certificate; and

B) Is a graduate of a cosmetology or nail technology school approved by the Division to teach nail technology in accordance with Subpart K, that includes a program of 350 hours in the study of nail technology extending over a period of not less than 8 weeks nor more than 2 consecutive years.

b) Application. Each applicant shall file an application for examination, on forms provided by the Division. The application shall include:

1. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on the submitted documents; and

2. The required fee set forth in Section 1175.100, which shall be submitted to the Department's testing service.

c) Examination. Each applicant shall take and pass the nail technology examination as required in Section 1175.1010.

d) An applicant's training received from a nail technology program or similar institution located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart K.

e) An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts J and K. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost of the applicant.

f) The Board may require additional coursework or a 60-hour nail technology refresher course from a school licensed by the Division as set forth in Section 1175.1136.

g) The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1005 Licensure by Examination – Nail Technology Teacher

a) Eligibility. Each applicant must meet the following requirements pursuant to Section 3C-3 of the Act prior to filing an application for the nail technology teacher examination:

1. Be at least 18 years of age;

2. Have graduated from high school or its equivalent;

3. Hold a current license as a cosmetologist or nail technician;

4. Either:

A) Complete a 500-hour program of teacher training in an approved cosmetology or nail technology school and have at least 2 years of full time experience as a practicing nail technician within 5 years preceding the application; or

B) Complete a 625-hour program of teacher training in a school of cosmetology approved in accordance with Section 1175.1105 or school of nail technology approved in accordance with Section 1175.1100.

b) Application. Each applicant shall file an application, on forms provided by the Division. The application shall include:

1. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than shown on submitted documents;

2. Either:

A) An official transcript from an approved school of nail technology or cosmetology showing successful completion of a 500-hour program of teacher training as set forth in Section 1175.535 or 1175.1140 and 2 employment verification forms showing at least 2 years of full-time experience as a practicing nail technician within the last 5 years; or

B) An official transcript from an approved school of nail technology or cosmetology, showing successful completion of a 625-hour program of teacher training as set forth in Section 1175.535 or 1175.1140;

3. A copy of the applicant's current Illinois nail technology or cosmetology license;

4. If the applicant is licensed in another state, a certification of licensure from the state of original licensure and from the state in which the applicant predominantly practices and is currently licensed; and

5. All applicants under this Section shall submit the required examination fee to the Department's testing service.

c) Examination. Each applicant shall take and pass the nail technology teacher examination as required in Section 1175.1010.

d) An applicant's training received from a cosmetology or nail technology school located in another state, other jurisdiction of the United States, or foreign jurisdiction must substantially comply with the requirements set forth in Subpart K. An applicant seeking credit for training or licensure in a foreign country must provide educational training credentials and transcripts and/or evidence of licensure to determine if the applicant's program substantially complies with the requirements set forth in Subparts J and K. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The Board may also require additional coursework or a 60-hour nail technology refresher course from a school licensed by the Division as set forth in Section 1175.1136. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training.

e) The required fee set forth in Section 1175.100.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1010 Examination Requirements

a) Examinations shall be administered by the Division or its designated testing service for nail technicians and nail technology teachers and shall cover subject matter as set forth in Section 3C-7 of the Act.

b) The passing score on each examination is 75.

c) Retakes for Nail Technicians

1. An applicant who fails to pass a third examination for licensure as a nail technician must submit an official transcript from a cosmetology school approved to teach nail technology or a nail technology school approved by the Division showing successful completion of a 60-hour nail technology refresher course as set forth in Section 1175.1136 prior to taking the examination a fourth time.

2. The requirement for remedial training set forth in this Section may be waived in whole or in part by the Division upon proof to the Division that the applicant has demonstrated the competence to again sit for the examination. Pursuant to Section 3C-7 of the Act, the Division shall consider the following factors when waiving remedial training, including but not limited to: the percentage points by which the applicant failed the examination, the number of times the applicant failed the examination, and extenuating circumstances that explain the applicant's failure to pass the examination.

3. For purposes of examination retakes, the fourth attempt shall count as the first.

4. An applicant shall make a written request for an examination retake at least 45 days in advance of the examination date. The a request must include the required examination fee and official transcripts when further study is required in accordance with subsections (c)(1) and (2) .

d) Retakes for Nail Technology Teachers or Nail Technology Clinic Teachers

1. An applicant who fails to pass a third examination must submit an official transcript from a licensed cosmetology school approved to teach nail technology teachers or nail technology clinic teachers or a licensed nail technology school approved to teach nail technology showing successful completion of an 80 hour refresher course prior to taking the examination a fourth time.

2. An applicant, upon failing the fourth examination, must submit an official transcript from an approved nail technology or cosmetology school showing successful repetition of the entire program of teacher training prior to taking the examination a fifth time.

3. For purpose of examination retakes, the fifth attempt shall count as the first.

4. An applicant shall make a written request for an examination retake at least 45 days in advance of the examination date. Such a request must include the required examination fee and official transcripts when further study is required in accordance with subsections (d)(1) and (2).

5. If the applicant is licensed in another state, a certification of licensure from the state of original licensure and from the state in which the applicant predominantly practices and is currently licensed.

6. If an applicant has not submitted an application for licensure within 12 months after taking and passing the examination, the applicant must retake and pass the examination prior to being granted a license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1015 Application for Licensure (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1020 Licensure by Endorsement

a) Nail Technician. An applicant currently registered or licensed as a nail technician in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the nail technician license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the nail technician license issued by the Division:

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

3. The required fee set forth in Section 1175.100.

b) Nail Technology Teacher. An applicant currently registered or licensed as a nail technology teacher in another state or jurisdiction of the United States and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, includes:

1. An official certification of licensure from the state or government board in the applicant's jurisdiction of original licensure and from the state or government board in which the applicant is currently licensed and practicing, if other than the original, stating the applicant's name, the nail technology teacher license number, the original issuance date and the expiration date. The license issued must be the same or substantially similar to the nail technology teacher license issued by the Division;

2. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents;

3. Proof of passage of a teacher examination in this or another jurisdiction; and

4. The required fee set forth in Section 1175.100.

c) An applicant who is currently registered or licensed as a nail technician in a foreign country and who is seeking licensure in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's original jurisdiction of practice stating the applicant's name, the nail technician license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country must be the same or substantially similar to the nail technician license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant with the board, agency or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country must be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts J and K. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit his/her educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost of the applicant. The scope of practice and education requirements must be the same or substantially similar to the nail technology license issued by the Division. The Board may require additional coursework or a 60-hour nail technology refresher course from a school licensed by the Division as set forth in Section 1175.1136 or may require an applicant to pass the nail technology examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. Evidence that the applicant has practiced nail technology in another jurisdiction for at least 3 years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but within 5 years preceding his/her application for endorsement. This evidence may be in the form of affidavits from at least 3 clients, coworkers or business owners who can verify the applicant's practice as a nail technician;

4. Proof of any name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

5. The required fee set forth in Section 1175.100.

d) An applicant who is currently registered or licensed as a nail technology teacher in a foreign country and who is seeking licensure as a nail technology teacher in Illinois by endorsement shall file an application, on forms provided by the Division, that includes:

1. An official document from the government agency, board or council in the applicant's jurisdiction of original licensure stating the applicant's name, the nail technology teacher license number, the original issuance date, the expiration date, a brief description of any licensure or exit examination taken to qualify for the license, and the grades received. The license issued in a foreign country must be the same or substantially similar to the nail technology teacher license issued by the Division;

2. An official transcript from the school or schools attended by the applicant showing the individual subject areas completed and the hours completed by the applicant, with the school seal affixed, or an official certification from the government agency, board or council showing the individual subject areas completed and the hours completed by the applicant, with the agency, board or council seal affixed. Educational training credentials and transcripts and/or evidence of licensure obtained in a foreign country shall be submitted to determine if the applicant's program substantially complies with the requirements set forth in Subparts J and K. The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit the applicants educational training credentials and transcripts and evidence of licensure to an approved education credentialing evaluation service or similar service approved by the Board for evaluation at the cost to the applicant. The scope of practice and education requirements must be the same or substantially similar to the nail technology teacher license issued by the Division. The Board may require additional coursework or an 80-hour nail technology teacher refresher course (see Section 1175.1142) from a school licensed by the Division or may require an applicant to pass the nail technology or nail technology teacher examination. The Board may also require an applicant to appear for an interview before the Board or to provide additional information to assist the Board in its evaluation of the applicant's training;

3. Evidence that the applicant has practiced as a nail technology teacher in another jurisdiction for at least three years after completing the requirements to qualify for registration or licensure in that particular jurisdiction, but five years preceding the application endorsement. This evidence may be in the form of affidavits from at least three clients, coworkers, business owners, students or school administrators who can verify the applicant's practice as a nail technology teacher;

4. Proof of name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on any of the documents submitted;

5. Proof of passage of a teacher examination in this or another jurisdiction; and

6. The required fee set forth in Section 1175.100.

e) An applicant for licensure as a nail technician who is licensed in another jurisdiction may be given up to 70 hours of educational credit for every 12-month period during which the applicant was lawfully employed as a nail technician. To obtain credit for work experience, the applicant shall submit verification of employment in support of the work experience on forms provided by the Division. A certification of licensure from the jurisdiction in which the lawful practice is claimed must also be submitted.

f) An applicant applying for licensure as a nail technician or a nail technology teacher on the basis of endorsement who has previously failed the licensing examination in Illinois shall not be approved for licensure on the basis of endorsement unless and until the applicant provides verification of successful completion of a substantially equivalent licensure examination. The successful completion of the substantially equivalent examination must occur after the most recently failed examination attempt in Illinois. An applicant may be required to appear before the Board to answer the questions about any examination taken by the applicant. The Board may recommend the completion of additional education by an applicant prior to licensure.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1021 Licensed Cosmetology Teacher Seeking License as Nail Technology Teacher

a) A licensed cosmetology teacher may apply for licensure as a nail technology teacher. An applicant will not be required to take the nail technology teacher examination and shall file an application on forms provided by the Division that includes:

1. The applicant's current cosmetology teacher license number; and

2. The required fee set forth in Section 1175.100.

b) Nothing in this Part requires a licensed cosmetologist to obtain a license to practice nail technology or a licensed cosmetology teacher to obtain a license to teach nail technology.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1022 Licensed Esthetics Teacher Seeking License as Nail Technology Teacher

A licensed esthetics teacher may apply for licensure as a nail technology teacher. The applicant will not be required to take the nail technology teacher examination and shall file an application, on forms provided by the Division, that includes:

a) The applicant's current esthetics teacher license number;

b) The applicant's current nail technician license number or proof of completion of all requirements under Section 1175.1001; and

c) The required fee set forth in Section 1175.100.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1025 Renewals

a) Every nail technician, nail technology teacher and nail technology school license shall expire on October 31 of each even-numbered year. The holder of a license may renew the license during the month preceding its expiration date.

b) Applicants for renewal shall:

1. Submit a completed renewal application.

2. Nail Technician. Certify on the renewal application that they have successfully completed a minimum of 10 hours of CE from a sponsor registered with the Division in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license. Certify compliance with Section 1175.1220.

3. Nail Technology Teacher. Certify on the renewal application that they have successfully completed a minimum of 20 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license. Certify compliance with Section 1175.1220. Ten of the 20 hours shall be in the following areas:

A) Teaching Methodology;

B) Educational Psychology;

C) Classroom Management; or

D) Other teaching related courses.

4. Submit the required fee set forth in Section 1175.100.

c) A renewal applicant is not required to comply with CE requirements for the first renewal after issuance of the original license.

d) The Division may require additional evidence demonstrating compliance with the CE requirements (i.e., certificate of attendance or certificate of completion). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of this compliance. The evidence shall be required in the context of the Division's random audit.

e) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license.

f) Practicing or operating on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 4-7 of the Act.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1030 Restoration – Nail Technician

a) A person applying for restoration of a nail technician license that has been expired or placed on inactive status for less than 5 years shall submit an application on forms provided by the Division and:

1. Pay the required fee as set forth in Section 1175.100; and

2. Provide evidence of successful completion of 10 hours of CE in accordance with Section 1175.1200(c).

b) A person applying for restoration of a nail technician license that has been expired or placed on inactive status for 5 years or more shall submit an application on forms provided by the Division along with:

1. Verification of employment as a nail technician, attesting to lawful practice in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 clients, coworkers or business owners;

2. Certification of licensure from the licensing authority in the jurisdiction of employment stating that the practice was authorized;

3. A completed Restoration Questionnaire;

4. Evidence of successful completion of 10 hours of CE earned within the 2 years immediately preceding restoration; and

5. The required fee as set forth in Section 1175.100.

c) If restoring after active military service, the applicant shall submit a copy of his/her DD-214 and the current renewal fee.

d) If an applicant takes and fails the examination, the license will not be restored until such time as he/she has successfully completed the examination.

e) An applicant for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1) and (2) shall submit official transcripts showing successful completion of a 60-hour nail technology refresher course from an approved cosmetology or nail technology school or pass the examination set forth in Section 1175.1010 within 2 years prior to or within 2 years after the restoration application. An applicant who completes this refresher course or takes the examination shall not also be required to complete 10 hours of CE, but shall comply with the remaining requirements of subsection (b).

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1035 Restoration – Nail Technology Teacher

a) A person applying for restoration of a nail technology teacher license that has been expired or been on inactive status for less than 5 years shall submit an application on forms provided by the Division. An applicant shall also submit evidence of successful completion of 20 hours of CE in accordance with Sections 1175.1200 and 1175.1210 earned within 2 years immediately preceding the restoration and the required fee set forth in Section 1175.100.

b) A person applying for restoration of a nail technology teacher license that has been expired for 5 years or more shall submit an application on forms provided by the Division along with:

1. Verification of employment as a nail technology teacher in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 students, coworkers or school owners;

2. Certification of licensure from the licensing authority in the jurisdiction of employment;

3. A completed Restoration Questionnaire;

4. Evidence of successful completion of 20 hours of CE earned within the 2 years immediately preceding restoration; and

5. The required fee as set forth in Section 1175.100.

c) An applicant for restoration of a nail technology teacher license under subsection (b) who is unable to comply with one or both of subsections (b)(1) and (2) shall submit official transcripts showing successful completion of an 80-hour nail technology teacher refresher course from an approved cosmetology or nail technology school or pass the teacher examination set forth in Section 1175.1010 within 2 years prior to or within 2 years after the restoration application. An applicant who completes this refresher course or takes the examination shall not also be required to complete 20 hours of CE, but shall comply with the remaining requirements of subsection (b).

d) If restoring after active military service, the applicant shall submit a copy of his/her DD-214 and the current renewal fee.

e) If an applicant takes and fails the examination, the license will not be restored until he/she has passed the examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1100 Nail Technology School Application – Private Schools

a) An applicant for a private nail technology school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown;

E) demonstrates compliance with requirements of Section 1175.305;

2. A copy of:

A) a lease showing at least a 1-year commitment to the use of the school site, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the proposed school site;

3. If the owner is a corporation, a filed copy of the Articles of Incorporation; if the owner is a limited liability company, a filed copy of the Articles of Organization; if the owner is a partnership, a listing of all partners and their current addresses;

4. If the owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

5. An official fire inspection report from the local fire inspection authority, conducted within 6 months prior to the application, giving approval for use of the site as a school;

6. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

7. A copy of the official enrollment agreement to be used by the school that shall be consistent with the requirements of Section 1175.1115;

8. A listing of all nail technology and cosmetology teachers, including their teacher license numbers, who will be in the school's employ;

9. A copy of the curriculum that will be followed for each program provided that meets the requirements of Section 1175.1135;

10. A copy of the school's official transcript for each program provided that meets the requirements of Section 1175.1125;

11. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

12. The required fee set forth in Section 1175.100.

b) When the items listed in subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations shall not begin, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval shall be granted if all the requirements of Subpart K have been met.

c) Nail technology schools shall only offer instruction in nail technology and nail technology teacher education.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1101 School Approval Application - Public Schools

a) An applicant for a public nail technology school license shall submit a completed application to the Division with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

2. All listing of all teachers, including their teacher license numbers, who will be in the school's employ;

3. A copy of the curricula that will be followed for each program that meets the requirements of this Part;

4. A copy of the school's official transcript for each program that meets the requirements of this Part;

5. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

6. The required fee set forth in Section 1175.100.

b) When the items required by subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with Subpart K. School operations may not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of Subpart K have been met.

c) Nail technology schools shall only offer instruction in nail technology and nail technology teacher education.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1105 Cosmetology Schools Approved to Teach Nail Technology

a) Existing cosmetology schools that wish to provide nail technology instruction shall:

1. Provide at least 200 square feet of space to accommodate 5 work stations. If attendance exceeds 10 on the clinic floor at any time, an additional 30 square feet is required for each additional work station required by subsection (a)(4)(A). The use of this space shall not reduce the square footage for the conduct of an approved cosmetology school below the minimum requirements set forth in this Section.

2. File an application with the Division, on forms provided by the Division, that shall include:

A) A detailed 8½ x 11 inch floor plan that is:

i) drawn to scale;

ii) shows dimensions;

iii) has all areas labeled;

iv) has all fixtures shown; and

v) demonstrates compliance with the requirements of Section 1175.305;

B) An official signed copy of a fire inspection report from the local fire inspection authority, conducted within 6 months prior to the application, giving approval for use of the site as a school;

C) A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

D) A copy of the enrollment agreement to be used by the school;

E) A copy of the nail technology curriculum for each program that will be followed that meets the requirements Sections 1175.1135 and 1175.1140;

F) A listing of all nail technology and cosmetology teachers, including their teacher license numbers, who will be in the school's employ;

G) A copy of the school's official transcript for each program that meets the requirements of Section 1175.1125; and

H) The required fee set forth in Section 1175.100.

3. Subsections (a)(2)(B) and (C) shall not apply to a public school.

4. When the items required by subsection (a)(2) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart. School operations may not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart K have been met.

5. In addition:

A) The school shall have at least 1 patron work station, including patron chair, manicuring table and student chair, for every 2 students enrolled.

B) Every work station shall have a disinfectant tray and disinfectant solution.

b) Cosmetology schools approved to teach nail technology shall be required to comply with all provisions in this Part. Space and equipment required for nail technology schools pursuant to Section 1175.1110(a) and (b) may be utilized for both cosmetology and nail technology programs offered by the cosmetology school.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1110 Physical Site Requirements

a) Space Requirements

1. A nail school shall have a minimum of 500 square feet of work space for a maximum of 10 students. An additional 30 square feet is required for each additional work station if attendance exceeds 10 students in the clinic area at any given time.

2. Work space shall include the dispensary area but shall not include classrooms, restrooms, halls, checkrooms, storage areas, student lounge, cloak space, public waiting area or other areas or facilities for administration.

3. The school shall be partitioned to provide for the following areas:

A) Dispensary;

B) Classrooms;

C) Two restrooms;

D) Cloak space for the public;

E) Public waiting area;

F) Student lounge area, separated from the work area, and sufficient space for each student to keep school related and personal items;

G) Storage space;

H) Other areas for school administration;

I) Work stations.

4. All areas of the school shall be ventilated and lighted.

b) Equipment Requirements – All equipment shall be in working condition and sufficient for the number of students enrolled. Minimum requirements for school equipment are:

1. An entrance sign designating the name of the school;

2. A school seal;

3. A time clock or other equipment necessary for verification of attendance and hours earned;

4. A minimum of 5 patron work stations. For enrollment over 10, 1 patron work station per 2 students;

5. Every patron work station shall include a patron chair, manicuring table and student chair for every 2 students enrolled;

6. Every patron work station shall have a disinfectant tray and disinfectant solution;

7. Trays for nail technology supplies;

8. Eye guards, protective garments and masks should be available for patrons and students upon request;

9. A chair for each student in the classroom and, when appropriate, sufficient desk or table space;

10. Adequate number of covered waste and linen disposal cans placed at convenient locations;

11. Closed or covered space for storing 5 dozen clean towels for every 10 students in the work area; and

12. A mannequin hand for each student.

c) Sanitary Regulations

1. Clean outer garments must be worn at all times.

2. All instruments shall be disinfected before and after use on each patron.

3. Clean towels shall be used for each patron.

4. Hands must be cleansed with an antimicrobial agent before and after serving each patron.

5. After use on each patron, implements and electrical equipment must be disinfected according to manufacturer's specifications. All other equipment should be washed in water and sanitized before use.

6. Manicuring table coverings must be disposed of or laundered and sanitized after each patron.

7. All products shall be kept in clean, closed containers and be applied by sanitary applicators.

8. All nail chemicals must be kept in labeled containers.

9. No owner, manager, teacher or school administrator shall knowingly permit any person suffering from a serious communicable disease as defined in 77 Ill. Adm. Code 690 to work on the premises or knowingly permit a student to serve a patron with a serious communicable disease.

10. No animals or pets, except animal assistants for the physically impaired, shall be permitted on school premises.

11. The floors, walls and furniture shall be kept clean at all times.

12. An adequate supply of hot and cold running water shall be available for school operation.

d) Textbooks/Teaching Materials – Textbooks shall be provided for each student in attendance.

e) Teachers – The student/teacher ratio during clinical instruction shall not exceed a 25 to 1 ratio.

History

• Source: Amended at 38 Ill. Reg. 21098, effective November 7, 2014

68 Ill. Adm. Code 1175.1115 Enrollment Agreements and Refund Policies

a) All licensed private nail technology schools shall have enrollment agreements that meet the requirements of Section 3B-12 of the Act. Licensed public nail technology schools will be deemed to be in compliance with this provision if these schools comply with the requirements of their public institution.

b) All licensed nail technology schools shall implement refund policies pursuant to Section 3B-13 of the Act and this Section.

1. When notice of cancellation is given within 5 days after the date of enrollment, all application and registration fees, tuition, and any other charges shall be refunded to the student.

2. When notice of cancellation is given after the fifth day following enrollment but before the completion of the student's first day of class attendance, the school may retain the application and registration fee, not to exceed $100, and the cost of any books or materials that have been provided by the school and retained by the student.

3. When notice of cancellation is given after the student's completion of the first day of class attendance but prior to the student's completion of 5% of the course of instruction, the school may retain the application and registration fee, not to exceed $100, 10% of the tuition, other instructional charges or $300, whichever is less, and the cost of any books or materials that have been provided by the school and retained by the student.

4. When a student has completed 5% or more of the course of instruction, the school may retain the application fee and registration fee, not to exceed $100 and the cost of any books or materials provided by the school, but shall refund a part of the tuition and other instructional charges in accordance with the requirements of the school's regional or national accrediting agency, if any, or in accordance with this subsection (b). (Section 3B-13(1) of the Act)

c) For students who enroll in and begin classes, the following schedule of tuition adjustment will be considered to meet the Division standards for refunds:

PERCENTAGE OF A SCHEDULED

COURSE COMPLETED

AMOUNT OF

TUITION OWED

TO THE SCHOOL

0.01% to 4.9%

10%

5% to 9.9%

30%

10% to 14.9%

40%

15% to 24.9%

45%

25% to 49.9%

70%

50% and over

100%

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1120 Advertising

All school advertising for patrons must contain the words "Work Done Exclusively by Students" or "All Work Done by Students" displayed in a conspicuous manner.

History

• Source: Amended at 30 Ill. Reg. 9503, effective May 10, 2006

68 Ill. Adm. Code 1175.1125 Recordkeeping – Transcripts

a) Each school shall provide an official transcript showing the entire program work of each student. The official transcript shall contain the following information:

1. School name, address and phone number;

2. School seal;

3. School license number;

4. Signature of the owner, registrar or director of the school;

5. Student's name, address and social security number;

6. Actual dates student attended, including start date, end date and graduation date;

7. Subject areas, required hours, earned hours, and grades received (in a percentage form);

8. Any transfer hours, citing the name and address of the school transferred from, subject areas, hours earned, and grades received (percentage); and

9. Final examination grades (percentage).

b) The official transcript and school records for each student shall be permanently maintained by the school in the following manner:

1. If maintained on the school premises, they shall be maintained in a locked, fire-resistant cabinet. If official transcripts are maintained on a computer system, history tapes or discs of all official records must be stored in a locked, fire-resistant cabinet or electronically stored in a secure off-site storage system.

2. If records, whether electronic or paper, cannot be maintained on the premises in locked, fire-resistant cabinets, duplicate student records, including the official transcripts, shall be maintained at a separate location that shall be made known to the Division. The records shall be accessible to Division officials for inspection.

c) A copy of the transcript shall be given to the student upon graduation or other permanent exit from the school provided the student has met all financial obligations in the enrollment agreement as set forth in Section 3B-12 of the Act and Section 1175.1115.

d) An official transcript and school records for students who withdrew or dropped out of a program shall be maintained by the school for 5 years from the student's first day of attendance at the school.

e) Transcripts from licensed schools must meet the requirements of this Section to be accepted by the Division for licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1130 Recordkeeping – Hours Earned

a) When determining student hours, a school may define its attendance requirements to include 100 percent attendance for the program length or may allow excused absences for not more than 10 percent of the program for satisfactory completion. Satisfactory completion is defined as completion of all theory and practical work as outlined in the school's curricula.

1. Student attendance policies shall be written and applied uniformly and fairly.

2. The school shall maintain documentation of excused absences for a period of not less than 5 years.

3. The school shall maintain attendance records for each student to verify that the minimum attendance standard set forth by the school is being met.

b) A complete and accurate record of hours of attendance for each student shall be recorded and maintained by the school.

c) If a time clock is used, each student shall punch his/her own time card. No student, teacher or any other person shall punch the time card of another student. If a time clock is not used, there shall be another verifiable method used by the school to record student hours. The records shall be in a form that allows the student to receive a written report of hours earned. This report of hours earned shall be provided to the student on a monthly basis.

d) Credit for hours earned away from the school premises shall be awarded only if students are supervised by a licensed instructor or by a licensed nail technician or a licensed cosmetologist in the case of an internship. Credit hours for outside study may include workshops, educational programs, film demonstrations and internship training in a registered salon.

e) Hours earned away from the school premises shall be recorded on school time forms. These forms shall include: the school seal, name of student, event or program attended, date attended, signature of student and signature of supervising licensed instructor.

f) Instructors shall review monthly the hours earned by each student. Each month the instructor shall issue a signed written report to the student showing the actual number of hours earned by the student.

g) Time cards may be destroyed upon the student's permanent exit from the school and after all hours earned are recorded on the official transcript. The transcript shall be retained indefinitely.

h) An hour is 60 minutes of instruction but not less than 50 minutes.

i) A licensed instructor shall provide on-site supervision for all classroom, practical and clinical instruction. No credit shall be given for unsupervised study.

History

• Source: Amended at 30 Ill. Reg. 9503, effective May 10, 2006

68 Ill. Adm. Code 1175.1135 Curriculum Requirements – Nail Technology

a) Each licensed cosmetology school teaching a nail technology curriculum and each licensed nail technology school shall provide a program consisting of a minimum of 350 clock hours or a 12 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. The licensed nail technology school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a)(1), (2), (3) and (4). The minimum subjects and number of hours shall be as follows for each category of training:

1. Basic Training – 50 hours:

A) History of nail care;

B) Personal hygiene and public health;

C) Professional ethics;

D) Sterilization and disinfection;

E) Bacteriology;

F) Disorders of the nails;

G) OSHA standards relating to safety data sheets (SDS) on chemicals;

H) Chemicals and their use; and

I) Technical applications of chemicals.

2. Related Concepts – 15 hours:

A) Cells, metabolism and body systems;

B) Theory of massage; and

C) People skills.

3. Practices and Procedures – 255 hours:

A) Fabric procedures;

B) Sculpting procedures;

C) Light cured gels;

D) Machines or apparatus used in nail technology;

E) Manicures;

F) Pedicures;

G) Hand, arm and foot massage;

H) Other procedures as they relate to nail technology; and

I) Product knowledge as it relates to nail technology.

4. Business Practices – 30 hours:

A) The Act and this Part, including sanitary standards;

B) Management;

C) OSHA standards relating to chemical use; and

D) Workers' Compensation Act.

5. Internship Program is an optional part of the curriculum. Each licensed nail technology school may choose to set up an internship program and shall follow the guidelines set forth in this subsection (a)(5).

A) An internship program:

i) May be substituted for 35 hours of the 350 hours set forth in this subsection (a).

ii) May be part of the curriculum of a licensed nail technology school and shall be an organized preplanned training program designed to allow a student to learn nail technology under the direct supervision of a licensed cosmetologist or licensed nail technician in a registered salon.

B) A student in the internship program:

i) May participate in an internship only after completing 175 hours of training and have a minimum average grade of 80. A school may set the average grade higher and set other standards that a student must meet to participate in the internship program.

ii) May not spend more than 35 hours in an internship program.

iii) May not be paid while participating in the internship program as it is a part of the nail technology curriculum of the school.

iv) May work a maximum of 8 hours a day and shall be required to spend 1 day a week at the school.

v) Shall be under the direct on-site supervision of a licensed cosmetologist or licensed nail technologist. Only 1 student shall be supervised by 1 licensed cosmetologist or licensed nail technologist.

C) A licensed nail technology school shall state clearly in the enrollment agreement that the school offers an internship program.

D) The licensed nail technology school shall enter into a contract with the student, the registered salon and licensed cosmetologist or licensed nail technologist that contains all of the provisions set forth in this sbsection (a)(5) and any other requirements of the internship established by the school. The contract shall be signed by the student, the school and the licensed cosmetologist or licensed technologist. Any party to the contract may terminate the contract at any point.

b) A nail technology student is not permitted to practice on the public until he/she has successfully completed the 50 hours of general theory and practical application specified in subsection (a)(1).

c) A school may, as part of its educational program and on school premises, offer nail technology services to the public, through a student clinic, as a means of providing students with practical experience. Services shall be provided by students working under the supervision of one or more teachers. Students shall receive no compensation, including tips, but shall receive credit for hours worked towards the 350-hour education requirement. The school may provide those services under the authority of its school license and is not required to obtain a salon registration. The school shall post a sign visible to the public advising that all services are provided by students. Except as provided in this subsection, a school and a salon shall not operate in the same premises.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1136 Curriculum Requirements – 60-Hour Nail Technology Refresher Course

a) The 60-hour nail technology refresher course required under Section 1175.1020 or 1175.1030 shall include a minimum of 60 clock hours of instruction and practical experience in subjects in each of the categories of training, as defined in Section 1175.1135:

1. Basic Training;

2. Related Concepts;

3. Practices and Procedures; and

4. Business Practices.

b) The refresher course in subsection (a) shall include a minimum of 10 hours in basic training. The subjects covered in the remaining 50 hours may be determined at the discretion of the school and/or teacher, provided the refresher course includes training in each category listed in subsection (a). Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. However, instruction may include online hours in theory not to exceed 10% of the total hours.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1140 Curriculum Requirements – Nail Technology Teacher

a) A licensed school that intends to provide teacher training must utilize a teacher program that includes a minimum of 625 clock hours or a 21 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. The licensed school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a)(1), (2), (3), (4) and (5). The minimum number of hours shall be as follows:

1. 125 hours of post-graduate school training that includes all subjects in the basic nail technology curriculum (see Section 1175.1135), including theory and practice. Presentation of material must include the concepts that are intended to be taught and the skills to be acquired during the various phases of basic education.

2. 20 hours of Educational Psychology that shall include, but not be limited to, topics in educational objectives, student characteristics and development, the learning process, and an evaluation of learning that relates to teaching. These hours shall be waived on behalf of nail technology teacher students who have completed a course in Educational Psychology at an accredited college or university.

3. 20 hours of Teaching Methods (Theory) that shall include, but not be limited to, topics in individual differences in learning, lesson planning and design, lesson delivery, assessment of learning performance, classroom management, student motivation and classroom climate. These hours shall be waived on behalf of nail technology students who have completed a course in Teaching Methods-Secondary Level at an accredited college or university.

4. 150 hours of Application of Teaching Methods that includes: preparation and organization of subject matter to be presented on a unit by unit basis; and presentation of subject matter through application of varied methods (lecture, demonstration, testing and assignments). Presentations must provide teaching objectives to be accomplished and correlate theoretical with practical application.

5. 50 hours of Business Methods that includes inventory, recordkeeping, interviewing, supplies, the Act, this Part and the Workers' Compensation Act.

6. 260 hours of Student Teaching under the on-site supervision of an Illinois licensed teacher. The student teacher shall present theoretical and practical demonstrations to students in the basic curriculum.

b) The approved program for a 500-hour Teacher Training Course shall be based upon 2 years of practical experience and shall consist of Teacher Training Curriculum outlined in this Section, with the exception of the 125 hours of post-graduate training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1141 Curriculum Requirements – Nail Technology Clinic Teacher (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1142 Curriculum Requirements - Nail Technology Teacher Refresher Course

a) The 80-hour nail technology teacher refresher course, referred to in Sections 1175.1020 and 1175.1035 shall include a minimum of 80 clock hours of instruction and practical experience and may include online hours in theory, not to exceed 10% of the total hours, in the following categories of training as defined in Section 1175.1140:

1. Post-graduate School Training.

2. Educational Psychology.

3. Teaching Methods (Theory).

4. Application of Teaching Methods.

5. Business Methods.

b) The refresher course in subsection (a) shall include a minimum of 10 hours of post-graduate school training. The subjects covered in the remaining 70 hours may be determined at the discretion of the school and/or teacher, provided that the refresher course includes training in each category listed in subsection (a). Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience.

c) In the case of nail technology teacher applicants who fail to pass a third examination, the remedial training required by Section 1175.1010(c) shall include 80 clock hours of additional instruction in the following categories of training defined in Section 1175.1140:

1. Teaching Methods (Theory).

2. Application of Teaching Methods.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1145 Final Examination

a) A school shall require each candidate for graduation to pass a final examination which shall test the student's theoretical and practical knowledge of the curriculum studied. A "final examination" shall include a single final examination or multiple examinations as determined by the school.

b) The practical examination shall test the candidate's skills in the following areas:

1. Acrylic free form and overlay procedures;

2. Manicure;

3. Pedicure;

4. Gel;

5. Wrap procedures; and

6. Safety and sanitation procedures.

c) The examination shall be administered by the uniform application of standard performance criteria established by the school for each skill area. The standard performance criteria for each skill area shall be delineated in the examination records as specified in subsection (h).

d) A passing score of 75 or greater shall be required on both the theoretical and practical portions of the final examination or another state's passing grade.

e) The school shall allow each candidate for graduation at least 3 attempts to pass the final exam.

f) The Division may monitor the administration of the final examination:

1. As a result of a complaint received;

2. For random sampling;

3. To collect data; and/or

4. When the failure rate on the licensure examination for school graduates is greater than 25%.

g) The Division shall maintain records of each school's graduate failure rate on the licensing examination. The records shall reflect only first examination attempts for each graduate. The examination results shall not count toward the failure rate on the licensing examination if the student transfers to the school from a closed school with one-half or more of the required hours for graduation.

h) The school shall maintain records of the final examination for a period of no less than 5 years in the manner prescribed in Section 1175.1125(b). These records shall include:

1. A copy of the final examination administered; and

2. Each student's examination grades.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1150 Change of Ownership

a) For purposes of this Section, "change of ownership", "sale" or "transfer" of a corporation means the transfer of more than 50% of stock during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a partnership means a change of more than 50% of the partners during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of an LLC means a change of more than 50% of the members during a 14-day period. Any change of ownership of a parent business entity that owns the school's owner shall not be considered a change of ownership of the school.

b) If a licensed school is to be sold or otherwise transferred, the new owner must notify the Division at least 30 days in advance of the effective date of the transfer of ownership. The notification shall include a signed and dated letter from the pre-transfer owner acknowledging the planned sale of transfer.

c) Upon filing notice to the Division, the new owner may continue to operate the school under the previously issued license, provided that the new owner submits an application for licensure with the Division within 30 days after the effective date of the transfer of ownership by submitting to the Division:

1. A signed and completed school application;

2. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) that has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

3. A copy of:

A) a lease agreement showing at least a 1-year commitment to the use of the school site, the address of the school site, the name of the lessor, and the name of the lessee; or

B) the certification of school site ownership;

4. A copy of the enrollment agreement that will be utilized by the new owner;

5. A copy of curricula that will be used by the new owner;

6. A sample copy of the school's official transcript;

7. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer;

8. List of all the names, addresses and current status of all schools in which the applicant has previously owned any interest, and a declaration as to whether any of these schools were ever denied accreditation or licensing or lost accreditation or licensing from any government body or accrediting agency;

9. If the new owner is a corporation, limited liability company, or partnership, a copy of the following:

A) if the owner is a domestic corporation, a filed copy of the Articles of Incorporation filed with the Secretary of State or, in the case of a foreign corporation, a filed copy of the Authority to Transact Business in Illinois accepted by and filed with the Secretary of State;

B) if the owner is a domestic limited liability company, a copy of the Articles of Organization that were filed with the Secretary of State or, if the owner is a foreign limited liability company, a copy of the Application for Admission to Transact Business as a Foreign Limited Liability Company accepted by and filed with the Secretary of State; or

C) if the owner is a partnership, a listing of all partners and their addresses;

10. If the new owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

11. An official fire inspection report by the local fire inspection authority conducted within 6 months prior to application approving the school site;

12. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

13. If a name change is to also occur, all documents submitted must include the new name, and the new owner must submit a sample of the new school seal and a photo of the new school sign; and

14. The required fee set forth in Section 1175.100.

d) Once the items listed in subsection (c) have been received, the Division shall conduct an inspection prior to approval of the change of ownership. Approval will be granted if all of the requirements of this Subpart K have been met.

e) If the new owner fails to submit a new application within 30 days, or if the Division does not approve the school, the school shall remain closed until final Division approval is received.

f) The new owner is responsible for ensuring that the school is in compliance with all current provisions of the Act and this Part

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1155 Change of Location

a) When the location of a licensed an approved school is to be changed, the school owner shall submit to the Division the following:

1. Written notice to the Division at least 30 days in advance of the school site change;

2. A signed and completed school application;

3. A detailed 8½ x 11 inch floor plan that is:

A) drawn to a scale;

B) shows dimensions;

C) has all areas labeled; all fixtures shown; and

D) demonstrates compliance with the requirements of Section 1175.1110;

4. A copy of:

A) a lease agreement showing at least a 1-year commitment, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the school site;

5. An official fire inspection report from the local fire inspection authority, conducted in the 6 months immediately preceding application for use of the site as a school; and

6. The required fee set forth in Section 1175.100.

b) Once the items listed in subsection (a) have been received, the Division shall inspect the premises to determine compliance with this Part. If any changes affecting the items in subsection (a) are made prior to inspection, the school owner must notify the Division in writing. School operations shall not begin at the new location nor may the school in any way solicit student enrollment until the owners have received written notice of approval from the Division. Approval will be granted if all requirements of this Subpart K have been met.

c) If the change of location is due to natural destruction of, or other severe damageto, the original premises due to circumstances beyond the control of the owner, a temporary site may be used to teach theory classes only.

1. The temporary site must be inspected prior to its use and must possess light and ventilation, tables and chairs for the number of students in a classroom, and must be clean.

2. The temporary site may be used for a period of 2 months. The 2 month period can be extended for good cause. Good cause includes, but is not limited to, unexpected delays in construction, delays in lease arrangements or delays in equipment delivery.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1160 Change of Name

When changing the name of a licensed school, a written request for a name change, along with supporting documentation and the required fee specified in Section 1175.100, shall be submitted 30 days in advance of any name change. The Division shall then issue an updated license. At the time of the change in name, all identifying signs and materials must be changed to conform to the new name on the school license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1165 Expansion

a) Written notice shall be given to the Division 30 days prior to any expansion of a licensed school.

b) Off-Site Classroom

1. When the expansion will result in an off-site classroom location, a completed application must be submitted along with:

A) A detailed 8½ x 22 inch floor plan that is:

i) drawn to a scale;

ii) shows dimensions;

iii) has all areas labeled;

iv) has all fixtures shown; and

v) demonstrates compliance with the requirements of Section 1175.305;

B) A copy of:

i) a lease showing at least a 1-year commitment to the use of the site, the address of the site, the name of the lessor and the name of the lessee; or

ii) the certification of ownership of the proposed site;

C) An official fire inspection report from the local fire inspection authority, conducted within 6 months prior to application, giving approval for use of the site as a classroom location;

D) A statement from the school owner outlining the purpose of the classroom location;

E) A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

F) The required fee set forth in Section 1175.100.

2. An off-site classroom location is defined as a separate classroom, not continuously joined that is located within 5 miles of the main school site that serves to provide adequate space in which to train an overflow of students. A clinic may not be operated at an off-site classroom location. A school may establish only 1 off-site classroom location. All identifying signs and materials must reflect the name of the main school.

c) When an on-site expansion is to accommodate an increased enrollment, a completed application shall be submitted along with:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to a scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates meeting the requirements of Section 1175.305 ;

2. A statement from the school owner outlining the purpose of expansion;

3. A listing of any and all additional teachers who will be added to the teaching staff as a result of the expansion; and

4. The required inspection fee as set forth in Section 1175.100.

d) Upon receipt of the items listed in subsections (b) and (c), the Division shall inspect the expansion site to determine compliance with this Part. If any changes affecting the items in subsections (b) and (c) are made prior to inspection, the school owner must notify the Division in writing. The site shall not be used until the inspection has occurred and the owner has received written notification of approval from the Division. Approval will be granted if all of the requirements of this Subpart K have been met.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1170 Discontinuance of Program

a) The Division shall receive a minimum of 30 days written notice of a school's intent to discontinue its program. The notice shall include the exact location where the student records are to be stored.

b) The school owner shall notify the Division in writing of the actual closing date of the school.

c) All school records shall be maintained after the school closes.

d) The school must continue to meet the requirements of the Act and this Part until the actual closing date.

e) Each student enrolled at the time of discontinuation must be provided an official transcript of all hours earned while enrolled in the program.

f) Each student shall be given a refund prorated to at least reflect the percentage of time remaining to complete the course of instruction.

g) Students who have acquired 175 or more clock hours before their school closes shall be allowed to transfer all accumulated hours to another licensed nail technology school. Schools accepting these hours shall not be credited with the students' pass/fail statistics, set forth in Section 1175.570(b), resulting from their first attempt on the Illinois Nail Technology examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1175 Withdrawal of Licensure

a) The Division may withdraw, suspend or place on probation, pursuant to 68 Ill. Adm. Code 1110, the licensure of a school of cosmetology or nail technology school when the quality of the program has been affected by, but not limited to, any of the following causes:

1. Gross or repeated violations of any provisions of the Act or this Part;

2. Fraud or dishonesty in furnishing transcripts or documentation for evaluation of the school;

3. Failure to meet the criteria for school approval in Section 1175.1100 or 1175.1101;

4. Failure to administer the final examination as specified in this Part;

5. Failure to maintain final examination grades for each student and a master of the examination administered as specified in this Part;

6. Fraud or dishonesty in providing transcripts to students who have fulfilled all obligations under Section 1175.1115;

7. Failure to provide transcripts to students;

8. A finding by the U.S. Office of Education or Illinois Student Assistance Commission that a school has misappropriated or misused grant or loan monies or has aided in obtaining those monies by providing fraudulent or untruthful information; or

9. Any other violation of the Act or this Part.

b) The Division shall give written notice and a hearing pursuant to 68 Ill. Adm. Code 1110 when Division licensure of a school is proposed to be withdrawn.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1200 Sponsor Approval

a) Sponsor, as used in this Section, shall mean accredited universities and colleges, industry or trade associations, corporate salons, franchise salons, independent salons, vocational and technical schools, cosmetology schools, and other entities that have been approved and authorized by the Division to coordinate and present CE courses or programs for cosmetologists, cosmetology teachers, cosmetology clinic teachers, estheticians, esthetics teachers, nail technicians, nail technology teachers, hair braiders and hair braiding teachers.

b) A CE sponsor application shall be filed with the Division to be approved as a CE sponsor. The application shall include:

1. A copy of the Certificate of Attendance, which shall contain the following information:

A) The CE sponsor name and address;

B) Place for insertion of the CE sponsor registration number. The sponsor registration number must appear on all issued Certificates of Attendance;

C) Course title, category of CE (cosmetology, nail technician, esthetics, hair braiding), and place for insertion of the date of the course. The date of the course must appear on all issued Certificates of Attendance;

D) Place of insertion of the participant's name and license number. The participant's name and license number must appear on all issued Certificates of Attendance; and

E) Number of hours awarded.

2. A CE course outline, including evidence of appropriate facilities, instructor qualifications and content of the course.

3. Name, title, phone number, email address, and address of the contact person responsible for all recordkeeping.

4. Certification that the sponsor will comply with all sponsor CE requirements set forth in this Subpart L.

5. Ownership structure, such as individual/sole proprietorship, corporation, limited liability company (LLC) or partnership, and documentation supporting said ownership and legal authorization to use the business name, such as Articles of Incorporation or Organization filed with the Illinois Secretary of State, or an Assumed Name certificate issued by the Illinois Secretary of State or the county clerk where the business is located.

6. The public email address and telephone number for the business.

7. Name, address, email address and telephone number of owner. If a corporation, LLC or partnership, the name, address, email address and telephone number of the chief executive officer (CEO) or managing partner.

8. Federal employer identification number (FEIN) of owner.

9. The required fee set forth in Section 1175.100.

c) A CE sponsor shall provide CE courses and programs that are organized programs of formal learning that contribute directly to a licensee's knowledge and ability to perform duties as a licensee. No product sales shall be permitted during a continuing education program. (Product sales/selling is any activity that involves a deal sheet or invoice or mention of prices or special deals. These activities are prohibited during the presentation of CE programs.) After the continuing education program is concluded and the certificates of attendance are distributed to the attendees, product sales shall be permitted. A CE program or course must meet the following minimum requirements:

1. Be developed and presented by persons with education, training and practical experience in the subject matter to be presented.

2. Include a student evaluation of both instructor and the course.

3. Specify the course objectives, content, prerequisites, requirements, the licensure category for which the CE applies and the number of CE hours to be earned. This information shall be specified in all promotional materials.

4. Be in the following subject areas for cosmetologists, estheticians and nail technicians:

A) Advanced product chemistry and chemical interaction;

B) The use of machines and implements;

C) Sanitary procedures;

D) Hazardous chemicals;

E) Exposure minimization;

F) Updated use of implements as they relate to applicable services under this Act;

G) Advanced knowledge of the anatomy of the skin, scalp, hair and/or nails;

H) Human relations/communication skills; and

I) Management and marketing.

5. Be in the following subject areas for cosmetology, esthetics and nail technology teachers in addition to the areas set forth in subsection (c)(4):

A) Teaching methodology;

B) Educational psychology;

C) Classroom management; or

D) Other teaching related courses.

6. Individual study courses (online courses) sponsored by an approved sponsor shall include an examination and a means of verification that the licensee has successfully completed the course. (See Section 1175.1210(e).)

d) All sponsors shall verify attendance at each CE course or program. A record of attendance shall be kept for no less than 5 years. Sponsors shall give each successful participant a record of completion at the end of the course or program. All records shall include the following information: name, address and license number for each participant, category of CE (cosmetology, nail technician, esthetics, teacher education), number of hours awarded, course title and date of course. Sponsors may delegate recordkeeping duties to one of their members or member groups.

e) CE sponsors shall be required to renew their approval every two years upon submittal of the renewal application and the required fee. The first renewal shall be December 31, 1997.

f) All CE programs given on or after October 1, 1996, must be given by a sponsor who has been approved by the Division to provide CE.

g) All sponsors approved by the Division as of December 31, 1995, will be required to submit an application, the required fee and meet the current requirements set forth in this Part and the Act to continue to provide CE programs on or after October 1, 1996. An approved sponsor may subcontract with individuals and organizations to provide approved programs. Any time the sponsor subcontracts with a presenter, all advertisements, promotional materials and the Certificate of Attendance will bear the name, address and registration number of the sponsor. The name of the subcontractor may appear as the "Presenter" but no document shall imply that the subcontractor is registered as a CE sponsor.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1205 Division Supervision

a) The Division shall audit sponsors and their programs upon written complaint or allegation that the sponsor has not fully complied with the requirements of this Subpart L.

b) A sponsor's approval will be terminated if the sponsor fails to provide information to the Division to ascertain compliance with this Subpart L.

c) Upon failure of any sponsor to comply with requirements of this Subpart L, the Division shall issue a written notification to the sponsor that it must remedy its non-compliance prior to providing further approved courses.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1210 Credit Hours

a) An approved CE program hour shall include at a minimum 50 minutes of actual class time, exclusive of time devoted by participants to pre-class or post-class preparation.

b) Participants completing courses at a university, community college, or college shall receive 15 CE credit hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

c) A licensee who serves as an instructor, speaker or discussion leader of an approved course shall be allowed CE credit for actual presentation time. For preparation time, 1 hour of credit will be awarded for each 2 hours of actual presentation time. Preparation time for repetitious presentations shall not receive credit. No more than 10 hours can be earned under this subsection (c) during any renewal period.

d) Credit shall be awarded for successful completion of courses taken pursuant to CE requirements in another state. Credit hours shall be awarded as stated in subsections (a), (b) and (c).

e) A licensee may earn the total hours required for renewal or restoration through completion of in-person courses and online through individual study courses (see Section 1175.1200(c)(6)).

f) Credit shall only be recognized for courses that provide education and training in topics within the licensee's scope of practice of the licensee's profession, in sanitary standards, in business practices, or in teaching if applicable, except as provided in Section 1175.1220 and Section 1175.1225.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1215 Waiver of Continuing Education Requirements

a) Any renewal applicant seeking renewal of a license or certificate without having fully complied with these CE requirements shall file with the Division a renewal application along with the required renewal fee, a statement setting forth the facts concerning noncompliance, a request for waiver of the CE requirements on the basis of those facts and, if desired, a request for an interview before the Board. If the Division finds from that statement or any other evidence submitted or upon recommendation of the Board, that good cause has been shown for granting a waiver of the CE requirements, or any part thereof, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

b) Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

1. Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

2. An incapacitating illness documented by a currently licensed physician; or

3. Hardship, which is defined as:

A) The licensee resides in a locality where it is demonstrated that the absence of opportunities for this education would interfere with the ability of the licensee to provide services to the public.

B) To comply with the CE requirements would cause a substantial financial hardship on the licensee. (Section 3-7 of the Act)

c) If an interview is requested at the time the request for such waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by mail.

d) This Section shall be applicable to all CE requirements under the Act, including the requirement for completion of a domestic violence and sexual assault awareness education course (see Section 1175.1220).

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1220 Domestic Violence and Sexual Assault Awareness Education

a) No domestic violence and sexual assault awareness organization, accredited university or college, industry or trade association, corporate salon, franchise salon, independent salon, vocational or technical school, cosmetology school, esthetics school, nail technology school, hair braiding school or other entity shall offer or conduct a domestic violence and sexual assault awareness education course as a CE program for cosmetologists, estheticians, nail technicians and hair braiders as provided in Sections 3-7, 3A-6, 3C-8 and 3E-5 of the Act without first being approved and authorized by the Division as a domestic violence and sexual assault awareness education sponsor, except as provided in subsection (h). No CE sponsor approved under Section 1175.1200 shall offer or conduct a domestic violence and sexual assault awareness education program without also complying with this Section.

b) A domestic violence and sexual assault awareness education sponsor application shall be filed with the Division to be approved as a sponsor. The application shall include:

1. A copy of the Certificate of Attendance, which shall include the following information:

A) Sponsor name and address;

B) Place for insertion of the sponsor registration number. The sponsor registration number must appear on all issued Certificates of Attendance;

C) Course title and place for insertion of the date of the course. The date of the course must appear on all issued Certificates of Attendance;

D) Number of hours awarded (1 hour); and

E) Place for insertion of the participant's name and license number. The participant's name and license number must appear on all issued Certificates of Attendance.

2. The course outline, including evidence of appropriate facilities, instructor qualifications and content of the course.

3. Name, address, telephone number, and email address of the contact person responsible for all recordkeeping.

4. Certification that the sponsor will comply with all sponsor requirements set forth in this Section.

5. The required fee set forth in Section 1175.100.

c) The 1-hour domestic violence and sexual assault awareness education course must, at a minimum, include the following subject areas:

1. Providing basic information about domestic violence and sexual assault, including definitions, factual information, statistics, types of abuse, behaviors, victim-blaming, shaming, abusers, barriers for victims leaving their abusers or seeking help, and confidentiality issues;

2. Placing, within the context of a cosmetology, esthetics, nail technology or hair braiding salon or practice, exposure to and awareness of issues related to domestic violence and sexual assault; and

3. Providing licensees with the tools to assist clients with information about available options, choices and services, including listening to and communicating with clients, recognizing signs of abuse, the proper ways to support a client who is a victim, and connecting clients with available community resources.

d) The 1-hour domestic violence and sexual assault awareness education course shall be presented in a classroom setting or in an online classroom presentation.

e) The domestic violence and sexual assault awareness education course shall only be presented or taught by a qualified instructor. A qualified instructor is a person who:

1. Holds a current Illinois Certified Domestic Violence Professional certificate issued by the Illinois Certified Domestic Violence Professionals Board or has completed a 40-hour domestic violence training program offered by the Illinois Certified Domestic Violence Professionals Board;

2. Has completed a 40-hour sexual assault training program offered by the Illinois Coalition Against Sexual Assault (ICASA), which is required for all volunteers, staff members and contractual workers who provide victim services or have access to client records at ICASA;

3. Is a post-secondary educator in the field of criminal justice with documented domestic violence and sexual assault awareness training;

4. Is a law enforcement professional (active or retired) with documented domestic violence and sexual assault awareness training; or

5. Holds a certificate or other credential or has completed a training program that is deemed by the Division to be substantially similar to that described in this subsection (e).

f) A CE sponsor approved under Section 1175.1200 or an industry or trade association may contract with an approved domestic violence and sexual assault awareness education sponsor to offer or conduct a domestic violence and sexual assault awareness education course without obtaining its own sponsor approval under this Section.

g) A domestic violence and sexual assault awareness education sponsor approved under this Section is not required to additionally obtain a CE sponsor approval under Section 1175.1200 unless it intends to offer and conduct other types of CE courses.

h) Pursuant to Sections 3-7, 3A-6, 3C-8 and 3E-5 of the Act, any cosmetologist, esthetician, nail technician or hair braider who completed a 1-hour domestic violence and sexual assault awareness education course from a domestic violence and sexual assault awareness organization between March 12 and March 15, 2016 shall satisfy the course completion requirement of the Act, notwithstanding any provision of this Part. In the same manner, any cosmetologist, esthetician, nail technician or hair braider who completed a 1-hour domestic violence and sexual assault awareness education course from a domestic violence and sexual assault awareness organization between March 25 and March 27, 2017 shall satisfy the course completion requirement of the Act, notwithstanding any provision of this Part.

i) All references to cosmetologists, estheticians, nail technicians and hair braiders in this Section shall be deemed to include cosmetology teachers, cosmetology clinic teachers, esthetics teachers, nail technology teachers and hair braiding teachers.

j) The Department will maintain a list of all approved domestic violence and sexual assault awareness education course instructors on the Department's website and will note whether the education course has an associated cost.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1225 Abnormal Skin Growth Education

a) The Division may approve programs and providers who complete the application process and comply with the requirements in this Section and provide courses that comply with 225 ILCS 410/1-7.10 of the Act.

The Division approves the 1-hour program "Skinny on Skin" by Impact Melanoma, Inc., as a course that fulfills the requirement of abnormal skin growth education to be completed by all new applicants for original licensure and all renewal and restoration applicants under 225 ILCS 410/1-7.10 of the Act.

b) An abnormal skin growth education sponsor application shall be filed with the Division to be approved as a sponsor. The application shall include:

1. A copy of the Certificate of Attendance, which shall include the following information:

A) Sponsor name and address;

B) Place for insertion of the sponsor registration number. The sponsor registration number must appear on all issued Certificates of Attendance;

C) Course title and place for insertion of the date of the course. The date of the course must appear on all issued Certificates of Attendance.

D) Number of hours awarded (1 hour); and

E) Place for insertion of the participant's name and license number. The participant's name and license number must appear on all issued Certificates of Attendance.

2. The course outline, including instructor qualifications and content of the course. Instructors shall be licensed physicians and surgeons, and APRNs.

3. Name, address, telephone number, and email address of the contact person responsible for all recordkeeping.

4. Certification that the sponsor will comply with all sponsor requirements set forth in this Section.

5. The required fee set forth in Section 1175.100, which shall be waived if the sponsor offers the course for free to all licensees and agrees to do so in the future. Renewal fees shall also be waived if the sponsor continues to provide the course for free.

c) The 1-hour abnormal skin growth education course must, at a minimum, include the following subject areas:

1. Providing basic information about abnormal skin growths, including definitions, factual information, statistics, types of skin growths;

2. Placing, within the context of a cosmetology, esthetics, nail technology or hair braiding salon or barber shop or other practice, awareness of abnormal skin growths; and

3. Providing licensees with the tools to assist clients with information about available options, choices and services, including listening to and communicating with clients, the proper ways to support a client who may have an abnormal skin growth, and connecting clients with available medical resources.

d) The 1-hour abnormal skin growth education course shall be presented in a classroom setting or in an online classroom presentation.

e) A CE sponsor approved under Section 1175.1200 or an industry or trade association may contract with an approved abnormal skin growth education course sponsor to offer or conduct an abnormal skin growth education course without obtaining its own sponsor approval under this Section.

f) An approved sponsor under this Section is not required to additionally obtain a CE sponsor approval under Section 1175.1200 unless it intends to offer and conduct other types of CE courses.

g) The Division will maintain a list of all approved abnormal skin growth education sponsors on the Division’s website.

History

• Source: Added at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1300 Barber Shop or Cosmetology, Nail Technology, Hair Braiding or Esthetics Salon Certificate of Registration

a) Pursuant to Article IIID of the Act, all cosmetology, nail technology, hair braiding or esthetics salons and barber shops shall obtain a certificate of registration from the Division in order to operate in Illinois. The owner shall file an application with the Division, on forms supplied by the Division.

b) Cosmetology, nail technology, hair braiding or esthetics salons and barber shops subject to registration include the following:

1. A salon or shop located in a physical space owned or leased by the owner, such as a storefront, building space or unit, or free-standing building;

2. A mobile salon or shop;

3. A salon or shop that rents space to individual licensees who operate their own businesses within the premises. The salon or shop owner must obtain a registration for the entire facility or each individual licensee renting space must obtain his/her own registration;

4. A salon or shop that is located and operated within the facility of another, such as a kiosk or similar temporary or semi-permanent structure; or

5. A person or business that contracts with another business, such as a healthcare or residential facility, to provide cosmetology, nail technology, hair braiding, esthetics or barbering services to residents or clients of the facility on the premises of the facility.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1305 Application for Certificate of Registration

a) The application shall include the following:

1. Ownership structure, such as individual/sole proprietorship, corporation, limited liability company (LLC) or partnership;

2. Name, address, email address and telephone number of owner. If a corporation, LLC or partnership, the name, address, email address and telephone number of the chief executive officer (CEO) or managing partner;

3. Federal employer identification number (FEIN) of owner;

4. Name, address and telephone number of salon or shop;

5. Franchise disclosure;

6. Name and license number of any owner, managing partner or CEO holding an Illinois license in any profession regulated under the Act;

7. If an Illinois corporation, a copy of the entire Articles of Incorporation as filed with the Illinois Secretary of State;

8. If an Illinois corporation, a copy of the entire Articles of Incorporation filed with the Illinois Secretary of State;

9. If an LLC, a copy of the entire Articles of Organization filed with the Illinois Secretary of State;

10. If a foreign LLC, a copy of the entire Articles of Organization filed with the jurisdiction where the LLC is organized and a copy of the certificate of authority to transact business in Illinois filed with the Illinois Secretary of State;

11. If a partnership, a copy of the signed and dated partnership agreement, including the name of the partnership, business address and name of each partner;

12. If a franchise, a copy of the signed and dated franchise agreement showing that franchisee has been granted the right to use a trade name, trademark, service name, service mark or any other right to the exclusive use of names or symbols;

13. If using an assumed name, a certificate from the county clerk's office where the assumed name is filed or a certificate from the Illinois Secretary of State showing authorization to transact business under the assumed name;

14. The required fee set forth in Section 1175.100.

b) Registration Requirements. The requirement to obtain a certificate of registration from the Division is only applicable to salons or shops offering cosmetology, esthetics, nail technology, hair braiding or barbering services. A separate certificate of registration is required for each salon or shop location, except as provided in subsection (c). A separate application, fee and supporting documents shall be submitted to the Division. Any physical location dedicated to providing cosmetology, esthetics, nail technology, hair braiding or barbering services, including but not limited to kiosks, trailers or motor vehicles, is subject to registration. The Division may reject any application including a business name that states or implies a service that cannot be legally offered by the business, which is misleading to consumers, or is otherwise inconsistent with the purposes of the Act. The use of "medical" or similar term in a business name is deemed to imply a service that cannot be legally offered by the salon or shop and to be misleading to consumers and is therefore prohibited.

c) A mobile salon or shop or a person or business that contracts with another business, such as a healthcare or residential facility, to provide licensed personnel to provide cosmetology, nail technology, hair braiding, esthetics or barbering services to residents or clients of the facility on the premises of the facility shall not be required to report the locations where services are provided, but shall report the address of its business office and may be issued one certificate of registration for the business. However, a person or a business that operates and maintains a permanent salon or shop on the premises of another business, such as a healthcare or residential facility, shall be required to obtain a certificate of registration for its salon or shop located at that facility and shall report both the address of its business office and the address of the facility. If that person or business has more than one permanent salon or shop in the same facility, only one certificate of registration is required.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1310 Change of Location

The owner shall file written notice with the Division at least 30 days in advance of the change of location of a salon or shop. The notice shall include the owner's name and signature, date, FEIN, name of salon or shop, previous address of salon or shop, new address of salon or shop, and effective date of the change. The notice shall be accompanied by the original certificate of registration and a $20 reissuance fee. The Division shall issue a new certificate of registration with the new salon or shop address.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1315 Change of Ownership

a) For purposes of this Section, "change of ownership", "sale" or "transfer" of a corporation means the transfer of more than 50% of stock during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a partnership means a change of more than 50% of the partners during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a limited liability company means a change of more than 50% of the members during a 14-day period. Any change of ownership of a parent business entity that owns the salon's or the shop's owner shall not be considered a change of ownership of the salon or shop.

b) If a registered salon or shop is to be sold or otherwise transferred, the new owner must notify the Division in writing at least 30 days in advance of the effective date of the transfer of ownership. The notification shall include a signed and dated letter from the pre-transfer owner acknowledging the planned sale or transfer.

c) Upon filing notice to the Division, the new owner may continue to operate the salon or shop under the previously issued registration, provided that the new owner submits an application for a certificate of registration with the Division within 30 days after the effective date of the transfer of ownership in compliance with Sections 1175.1300 and 1175.1305.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1320 Change of Name

The owner shall file written notice with the Division at least 30 days in advance of the change of name of a salon or shop. The notice shall include the owner's name and the signature, date, FEIN, previous name of salon or shop, address of salon or shop, new name of salon or shop, and effective date of the change. The notice shall be accompanied by the original certificate of registration, a $20 reissuance reprint fee, and, if using an assumed name, a certificate from the county clerk's office where the assumed name is filed or a certificate from the Illinois Secretary of State showing authorization to transact business under the assumed name. The Division shall issue a new certificate of registration with the new name of the salon or shop. The proposed new name must comply with the requirements of Section 1175.1305.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1325 Renewal

All certificates of registration shall expire on November 30 of even-numbered years. A salon or shop may renew the certificate of registration during the 2 months preceding the expiration date by paying the required fee.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1330 Restoration

An owner seeking restoration of a certificate of registration that has expired or been placed on inactive status shall file written notice with the Division. The notice shall include the owner's name and signature, date, FEIN, name of salon or shop, previous address of salon or shop, current address of salon or shop, and $40 fee. If using an assumed name, the notice shall also include a certificate from the county clerk's office where the assumed name is filed or a certificate from the Illinois Secretary of State showing authorization to transact business under the assumed name.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1335 Salon or Shop Self-Inspection

Every registered salon or shop shall conduct an annual self-inspection using forms provided by the Division. The annual self-inspection shall be conducted during the same month, annually, as determined by the salon or shop. Documentation of the self-inspection shall be maintained at the salon or shop for 5 years and shall be made available for review by Division investigators.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1400 Requirements for Licensure Under Article Iiie of the Act (grandfather) (repealed)

History

• Source: Repealed at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1405 Application for Licensure – Hair Braider

a) Each applicant for hair braider licensure shall submit to the Division:

1. A signed and completed licensure application;

2. An official transcript showing completion of the required training outlined in Section 3E-2(a)(3) of the Act and Section 1175.1535 and a passing grade on the final examination administered by the school as set forth in Section 1175.1545;

3. Proof of name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

4. The required fee set forth in Section 1175.100.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of noncompliance in whole or in part with the requirements of this Part, lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1410 Application for Licensure – Hair Braiding Teacher

a) Each applicant for hair braiding teacher licensure shall submit to the Division:

1. A signed and completed licensure application;

2. Either:

A) An official transcript showing completion of the required 600 hours of training outlined in Section 3E-3 of the Act and Section 1175.1540, and a passing grade on the final examination administered by the school as set forth in Section 1175.1545; or

B) An official transcript showing completion of the required 500 hours of training and 2 employment verification forms showing at least 2 years of full-time experience as a practicing hair braider within the last 5 years as outlined in Section 3R-3 of the Act and Section 1175.1540, and a passing grade on the final examination administered by the school as set forth in Section 1175.1545;

3. Applicant's current active Illinois hair braider license number;

4. Proof of name change (i.e., marriage license, divorce decree, affidavit or court order) if the applicant's name is other than that shown on submitted documents; and

5. The required fee set forth in Section 1175.100.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of noncompliance in whole or in part with the requirements of this Part, lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 49 Ill. Reg. 12951, effective October 6, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1420 Renewals

a) Every license issued under the Act shall expire on October 31 of each even-numbered year. The holder of a license may renew the license during the month preceding its expiration date.

b) First and Subsequent Renewal

1. For the first renewal of the license, a licensee who obtained a hair braider or hair braiding teacher license issued pursuant to the grandfather provision in Section 3E-2(c) of the Act shall:

A) Return a completed renewal application;

B) Certify on the renewal application that he/she has successfully completed at least 65 hours of relevant training in health, safety, hygiene and business management in accordance with the requirements of Section 1175.1210(g);

C) Submit the required fee set forth in Section 1175.100.

2. Subsequent renewals must comply with the renewal requirements set forth in subsection (c).

c) Applicants for renewal shall:

1. Return a completed renewal application.

2. Hair Braider − Certify on the renewal application that they have successfully completed a minimum of 10 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license, if renewing a hair braider license. Certify compliance with Section 1175.1220.

3. Hair Braiding Teacher − Certify on the renewal application that they have successfully completed a minimum of 20 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the expiration date of the license, if renewing a hair braiding teacher license. Certify compliance with Section 1175.1220. Ten of the 20 hours shall be in the following areas:

A) Teaching Methodology;

B) Educational Psychology;

C) Classroom Management; or

D) Other teaching related courses.

4. Submit the required fee set forth in Section 1175.100.

d) A renewal applicant is not required to comply with CE requirements for the first renewal after issuance of the original license except for licensees who obtained a hair braider or hair braiding teacher license issued pursuant to the grandfather provision in Section 3E-2(c) of the Act.

e) The Division may require additional evidence demonstrating compliance with the CE requirements (i.e., certificate of attendance or certificate of completion). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The evidence shall be required in the context of the Division's random audit.

f) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license.

g) Practicing or operating on a license that has expired shall be consider unlicensed activity and shall be grounds for discipline pursuant to Section 4-7 of the Act.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1430 Restoration – Hair Braider

a) Application for Restoration

1. A person applying for restoration of a license as a hair braider that has expired or been on inactive status for less than 5 years shall submit an application on forms provided by the Division and:

A) Pay the required fee set forth in Section 1175.100; and

B) Provide evidence of successful completion of 10 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the application for restoration.

2. If restoring after active military service, the applicant shall submit a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of a license as a hair braider that has been expired or been on inactive status for 5 years or more shall submit an application on forms provided by the Division along with either:

1. All of the following:

A) Verification of lawful employment as a hair braider in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 clients, coworkers or business owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment stating that the practice was authorized;

C) A completed Restoration Questionnaire;

D) Evidence of successful completion of 10 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the application for restoration; and

E) The required fee set forth in Section 1175.100; or

2. A copy of the applicant's DD-214 and the current renewal fee, if restoring from active military service.

c) A person applying for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall also submit evidence of successful completion of at least 65 hours of relevant training in health, safety, hygiene and business management, in accordance with the requirements of Section 3E-2 of the Act, within the 2 years prior to the application for restoration. An applicant who completes this training shall not be required to complete 10 hours of CE, but shall comply with the remaining requirements of subsection (b).

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1435 Restoration – Hair Braiding Teacher

a) Application for Restoration

1. A person applying for restoration of a license as a hair braiding teacher that has expired or been on inactive status for less than 5 years shall submit an application on forms provided by the Division and:

A) Pay the required fee set forth in Section 1175.100; and

B) Provide evidence of successful completion of 20 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the application for restoration.

2. If restoring after active military service, the applicant shall submit a copy of the applicant's DD-214 and the current renewal fee.

b) A person applying for restoration of a license as a hair braiding teacher that has been expired or been on inactive status for 5 years or more shall submit an application on forms provided by the Division along with either:

1. All of the following:

A) Verification of lawful employment as a hair braiding teacher in another jurisdiction for at least 24 months within the 5 years preceding application for restoration from at least 3 students, coworkers or school owners;

B) Certification of licensure from the licensing authority in the jurisdiction of employment stating that the practice was authorized;

C) A completed Restoration Questionnaire;

D) Evidence of successful completion of 20 hours of CE from a sponsor registered with the Division, in accordance with Section 1175.1200, within the 2 years prior to the application for restoration; and

E) The required fee set forth in Section 1175.100; or

2. A copy of the applicant's DD-214 and the current renewal fee, if restoring from active military service.

c) A person applying for restoration under subsection (b) who is unable to comply with one or both of subsections (b)(1)(A) and (B) shall submit evidence of successful completion of at least 65 hours of relevant training in health, safety, hygiene and business management, in accordance with the requirements of Section 3E-2 of the Act, within the 2 years prior to or within 2 years after the application for restoration. An applicant who completes this training shall not be required to complete 20 hours of CE, but shall comply with the remaining requirements of subsection (b).

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1500 Hair Braiding School Application - Private Schools

a) An applicant for a hair braiding school license shall submit a completed application to the Division with the following information and documentation:

1. Name, address and telephone number of the person, corporation or other entity that owns the school;

2. If the school is owned by a legal entity other than an individual, the name, address and telephone number of the chief executive officer of the corporation or other legal entity that owns the school;

3. Name, address and telephone number of the school;

4. Name, address and telephone number of the chief managing employee;

5. If the school is owned by a legal entity formed outside of Illinois (foreign), a copy of the required filing from that jurisdiction and a copy of the certificate of authority to transact business in Illinois as filed with the Illinois Secretary of State;

6. If the school is owned by a partnership, a copy of the signed and dated partnership agreement including the name of the partnership and the name, address and telephone number of each partner;

7. If the owner will be conducting business under an assumed name, as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

8. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer;

9. A listing of all teachers who will be in the school's employ, showing a sufficient number of qualified teachers who are holders of a current hair braiding teacher license or cosmetology teacher license issued by the Division;

10. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

11. A copy of:

A) a lease showing at least a 1-year commitment to the use of the school site, the address of the school site, the address of the school site, the name of the lessor and the name of the lessee; or

B) the certification of ownership of the proposed school site;

12. An offical fire inspection report from the local fire inspection authority, conducted in the 6 months immediately preceding application, giving approval for use of the site as a school;

13. A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

14. A copy of the official enrollment agreement to be used by the school, which shall be consistent with the requirements of Section 1175.1515;

15. A copy of the curricula to be used by the school for each program, which shall be consistent with the requirements of this Part;

16. A copy of the transcript to be used by the school for each program, which shall be consistent with the requirements of Section 1175.1525;

17. A copy of the final examination to be used by the school, which shall be consistent with the requirements of Section 1175.1545;

18. A sample of the school seal to be used by the school;

19. A photograph of the school sign to be used by the school; and

20. The required fee set forth in Section 1175.100.

b) When the items listed in subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart O. School operations shall not begin nor shall the school in any way solicit student enrollment until the school has received notice of approval from the Division. Approval shall be granted if all the requirements of this Subpart O have been met.

c) Hair braiding schools shall only offer instruction in hair braiding and hair braiding teacher education.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1501 Hair Braiding School Licensure Application – Public Schools

a) An applicant for a public hair braiding school license shall submit a completed application to the Division, with the following information and documentation:

1. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.505;

2. A listing of all teachers, including their teacher license numbers, who will be in the school's employ;

3. A copy of the curricula that will be followed for each program that meets the requirements of this Part;

4. A copy of the school's official transcript for each program that meets the requirements of this Part;

5. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer; and

6. The required fee set forth in Section 1175.100.

b) When the items required by subsection (a) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart O. School operations may not commence, nor shall the school in any way solicit student enrollment, until the school has received written notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart O have been met.

c) Hair braiding schools shall only offer instruction in hair braiding and hair braiding teacher education.

History

• Source: Added at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1505 Cosmetology Schools Approved to Teach Hair Braiding

a) Existing cosmetology schools that wish to provide a course of instruction in hair braiding shall:

1. Provide at least 200 square feet of work space to accommodate 5 work stations. If attendance exceeds 10 in the work space at any time, an additional 40 square feet is required for each additional work station required by subsection (a)(4)(E). The use of this space shall not reduce the square footage for the conduct of an approved cosmetology school below the minimum requirements set forth in this Section.

2. File an application with the Division, on forms provided by the Division, that shall include:

A) A detailed 8½ x 11 inch floor plan that is:

i) drawn to scale;

ii) shows dimensions;

iii) that has all areas labeled;

iv) has all fixtures shown; and

v) and demonstrates compliance with the requirements of this Section 1175.305;

B) An official fire inspection report from the local fire inspection authority, conducted in the 6 months immediately preceding application, giving approval for use of the site as a school;

C) A financial statement indicating sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. The financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

D) A copy of the official enrollment agreement to be used by the school, which shall be consistent with the requirements of Section 1175.1515;

E) A copy of the curricula for each program to be used by the school, which shall be consistent with the requirements of this Part;

F) A listing of all teachers who will be in the school's employ, showing a sufficient number of qualified teachers who are holders of a current hair braiding teacher license or cosmetology teacher license issued by the Division;

G) A copy of the transcript to be used by the school for each program, which shall be consistent with the requirements of Section 1175.1525; and

H) The required fee set forth in Section 1175.100.

3. Subsections (a)(2)(B), (C) and (D) shall not apply to a public school.

4. When the items listed in subsection (a)(2) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart O. The school shall not solicit student enrollment for the hair braiding program until the school has received notice of approval from the Division. Approval shall be granted if all the requirements of this Section have been met.

5. In addition, the school shall have the following:

A) Desk/table space and chairs suitable for demonstrating hair braiding practices for each licensed teacher in the classroom.

B) 1 mannequin practice table to accommodate at least 5 students.

C) 1 shampoo bowl and chair with adequate hot and cold running water.

D) 1 dryer and chair.

E) At least 1 work station, including a styling chair for every 2 students in attendance.

F) 1 mannequin for each student in attendance.

G) Sufficient hair braiding tools, devices and supplies for each student in attendance.

H) 1 cape for each student in attendance.

b) Cosmetology schools approved to teach hair braiding shall be required to comply with all provisions in this Part. Space and equipment required for hair braiding schools by Section 1175.1510(a) and (b) may be utilized for both the cosmetology and hair braiding programs offered by the cosmetology school.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1510 Physical Site Requirements

a) Space Requirements

1. A hair braiding school shall have a minimum of 650 square feet of work space. If the school has more than 10 students, an additional 40 square feet is required for each additional work station required by subsection (b)(10).

2. Work space shall include only the dispensary and laboratory area.

3. A hair braiding school shall have at least 1 classroom of no less than 150 square feet for a maximum of 10 students. If attendance exceeds 10 in the classroom at any time, an additional 30 square feet of classroom space is required for each additional student.

4. Classroom shall be equipped with desk/table space and chairs suitable for classroom work and demonstrating hair braiding practices.

5. A student lounge area shall be provided that is separated from the work space and sufficient space shall be provided for each student to keep school related and personal items.

6. Two restrooms shall be provided.

7. A public waiting area shall be provided that is separated from the work space.

8. Cloak space shall be provided for the public. Cloak space must be separated from the work space.

9. All areas of the school shall be lighted and ventilated, except for storage closets.

b) Equipment Requirements – All equipment shall be in working condition and sufficient for the number of students enrolled. Minimum requirements for school equipment are:

1. An entrance sign designating the name of the school.

2. A school seal.

3. A time clock or other equipment necessary for verification of attendance and hours earned.

4. A chair suitable for classroom work for each student and, when appropriate, sufficient desk or table space in the classroom.

5. Desk/table space and chairs suitable for demonstrating hair braiding practices for each licensed teacher in the classroom.

6. 1 mannequin practice table to accommodate at least 5 students.

7. 1 shampoo bowl and chair with adequate hot and cold running water.

8. 1 dryer and chair.

9. 5 work stations with styling chairs. If attendance exceeds 10 in the work space at any time, at least 1 additional work station with a styling chair for every 2 students.

10. One mannequin for each student in attendance.

11. Sufficient hair braiding tools, devices and supplies for each student in attendance.

12. One cape for each student in attendance.

13. Storage drawers for hair braiding tools, devices and supplies.

14. Adequate covered waste disposal containers placed at convenient locations.

15. Closed or covered space equipped for storing clean towels. Space shall be large and sturdy enough to store 5 dozen towels per 10 students in the work area.

16. At least one covered container for soiled towels in the work area. Containers shall be large and sturdy enough to store soiled towels.

17. Adequate lighting and ventilation shall be provided as required by the city, county or municipality.

c) Sanitary Regulations

1. Clean outer garments must be worn at all times. No open toed shoes shall be worn by students.

2. New or cleaned and disinfected tools and devices shall be used for each patron.

3. After each patron is served, combs, brushes and scissors must be cleaned, then immersed in a disinfectant as specified by the manufacturer's instructions, then rinsed in water and dried. They shall be kept in a closed container separately from items that have not been disinfected.

4. Clean towels shall be used for each patron.

5. A neck strip or towel shall be placed around the patron's neck, and changed after each use, to prevent direct contact between a common use hair cloth or cape and the patron's skin.

6. The head rests of each styling chair shall be protected with a head cover or a cleaned and disinfected towel. Disposable head covers shall be changed after each patron. Non-disposable head covers shall be cleaned and disinfected before use on a patron. Towels shall be cleaned and disinfected before use on a patron.

7. Teachers and students shall observe and follow thorough hand washing with soap and water or any equally effective cleansing solution or waterless hand sanitizer before and after serving each patron.

8. Shampoo bowls and sinks shall be clean and free of hair and residue after each use.

9. All disinfecting agents shall be kept at adequate strengths to maintain effectiveness, be free of residue and be available for immediate use at all times the school is open for business.

10. Oils and other items used within the field of practice that are subject to cross-contamination shall be kept in clean, closed containers. They shall be dispensed from containers to prevent contamination of the unused portion.

11. All clean towels shall be kept in a closed or covered space, separately from soiled towels, that is equipped for storing towels.

12. All soiled towels shall be kept in a covered container. Containers shall be large and sturdy enough to store soiled towels after use.

13. Storage drawers for clean tools, devices and supplies shall be kept clean and free of residue and used only for clean tools, devices and supplies.

14. Storage cabinets, work stations and vanities shall be kept clean and free of residue.

15. Floor surfaces shall be kept clean, orderly and in good repair.

16. Walls, doors, windows and ceilings shall be clean and free of excessive spots, mildew, condensation or peeling paint.

17. Equipment, mirrors, lights and similar closures, furnishings, attached equipment, decorative materials and fixtures shall be kept clean and in good repair.

18. Outer surfaces of waste disposal containers shall be kept clean.

19. All schools shall provide adequate ventilation as required by the city, county or municipality to keep the school free of excessive heat, steam, condensation, vapors, obnoxious odors, smoke and fumes.

20. All schools shall provide a safe and adequate supply of continuous hot and cold running water from an approved source. Sinks located in the restroom do not qualify as a water source.

21. No owner, manager, teacher or school administrator shall knowingly permit any person suffering from a serious communicable disease, as defined in 77 Ill. Adm. Code 690, to work on the premises, or knowingly permit a student to serve a patron with a serious communicable disease.

22. Pets or other animals shall not be permitted in a school at any time. This prohibition does not apply to an animal assistant for the physically impaired.

d) Textbooks/Teaching Materials – Textbooks shall be provided for each student in attendance.

e) Teachers – The student/teacher ratio during clinical instruction shall not exceed a 25 to 1 ratio.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1515 Enrollment Agreements and Refund Policies

a) All licensed private hair braiding schools shall have enrollment agreements that meet the requirements of Section 3B-12 of the Act. Licensed public hair braiding schools will be deemed to be in compliance with this provision if these schools comply with the requirements of their public institution.

b) All licensed hair braiding schools shall implement refund policies pursuant to Section 3B-13 of the Act and this Section.

1. When notice of cancellation is given within 5 days after the date of enrollment, all application and registration fees, tuition and any other charges shall be refunded to the student.

2. When notice of cancellation is given after the fifth day following enrollment but before the completion of the student's first day of class attendance, the school may retain the application and registration fee, not to exceed $100, and the cost of any books or materials that have been provided by the school and retained by the student.

3. When notice of cancellation is given after the student's completion of the first day of class attendance but prior to the student's completion of 5% of the course of instruction, the school may retain the application and registration fee, not to exceed $100, 10% of the tuition, other instructional charges or $300, whichever is less, and the cost of any books or materials that have been provided by the school and retained by the student.

4. When a student has completed 5% or more of the course of instruction, the school may retain the application fee and registration fee, not to exceed $100 and the cost of any books or materials provided by the school, but shall refund a part of the tuition and other instructional charges in accordance with the requirements of the school's regional or national accrediting agency, if any, or in accordance with this subsection (b). (Section 3B-13(1) of the Act)

c) For students who enroll in and begin classes, the following schedule of tuition adjustment will be considered to meet the Division standards for refunds:

PERCENTAGE OF

A SCHEDULED

COURSE COMPLETED

AMOUNT OF

TUITION OWED

TO THE SCHOOL

0.01% to 4.9%

10%

5% to 9.9%

30%

10% to 14.9%

40%

15% to 24.9%

45%

25% to 49.9%

70%

50% and over

100%

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1175 The Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985

68 Ill. Adm. Code 1175.1520 Advertising

All school advertising for patrons must contain the words "Work Done Exclusively by Students" or "All Work Done by Students" displayed in a conspicuous manner.

History

• Source: Added at 35 Ill. Reg. 14983, effective September 9, 2011

68 Ill. Adm. Code 1175.1525 Recordkeeping - Transcripts

a) Each hair braiding school shall provide an official transcript showing the entire program work of each student. The official transcript shall contain the following information:

1. School name, address and phone number;

2. School seal;

3. School license number;

4. Signature of the owner, registrar or director of the school;

5. Student's name, address and social security number;

6. Actual dates student attended, including start date, end date, and graduation date;

7. Subject areas, required hours, earned hours, and grades received (in a percentage form);

8. Any transfer hours citing the name and address of the school transferred from, subject areas, hours earned and grades received (percentage); and

9. Final examination grades (percentage).

b) The official transcript and school records for each student who completed the program shall be permanently maintained by the school in the following manner:

1. If maintained on the school premises, they shall be maintained in a locked, fire-resistant cabinet. If official transcripts are maintained on a computer system, history tapes or discs of all official records must be stored in a locked, fire-resistant cabinet or electronically stored in a secure off-site storage system.

2. If records, whether electronic or paper, cannot be maintained on the premises in locked fire-resistant cabinets, duplicate student records, including the official transcripts, shall be maintained at a separate location that shall be made known to the Division. The records shall be accessible to Division officials for inspection.

c) An official transcript and school records for students who withdrew or dropped out of a program shall be maintained by the school for 5 years from the student's first day of attendance at the school.

d) A copy of the transcript shall be given to the student upon graduation or other permanent exit from the school, provided the student has met all financial obligations set forth in the enrollment agreement set forth in Section 3B-12 of the Act.

e) Transcripts from licensed schools must meet the requirements of this Section to be accepted by the Division for licensure.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1530 Recordkeeping – Hours Earned

a) Student Hours. A licensed hair braiding school shall have a written, published attendance policy.

1. When determining student hours, a school may define its attendance requirements to include 100% attendance for the program length or may allow excused absences for not more than 10% of the program for satisfactory completion. Satisfactory completion is defined as completion of all theory and practical work as outlined in the school's curricula.

2. Student attendance policies shall be written and applied uniformly and fairly.

3. The school must maintain documentation of excused absences for a period of not less than 5 years.

4. The school must maintain attendance records for each student to verify that the minimum attendance standard set forth by the school is being met.

b) A complete and accurate record of hours of attendance for each student must be recorded and maintained by the school.

c) If a time clock is used, each student shall punch his/her own time card. No student, teacher or any other person shall punch the time card of another student. If a time clock is not used, there shall be another verifiable method used by the school to record student hours. The records must be in a form that allows the student to receive a written report of hours earned. This report of hours earned shall be provided to the student on a monthly basis.

d) Credit for hours earned away from the school premises shall be awarded only if students are supervised by a qualified teacher who is the holder of a current hair braiding teacher license or cosmetology teacher license issued by the Division or by a licensed cosmetologist or a licensed hair braider in the case of an internship. Credit hours for outside study may include workshops, educational programs, films, demonstrations and internship training in a registered salon.

e) Hours earned away from the school premises shall be recorded on school time forms. These forms shall include the school seal, name of student, event or program attended, date attended, signature of student, signature of supervising licensed teacher.

f) A qualified teacher who is the holder of a current hair braiding teacher license or cosmetology teacher license issued by the Division shall review the hours earned by each student monthly. Each month the teacher shall issue a signed monthly report to the student showing the actual number of hours earned by the student.

g) Time cards may be destroyed after two years from the student's permanent exit from the school and after all hours earned are recorded on the official transcript.

h) An hour is 60 minutes of instruction but not less than 50 minutes.

i) A qualified teacher who is the holder of a current hair braiding teacher license or cosmetology teacher license issued by the Division shall supervise all classroom and practical instruction. No credit shall be given for unsupervised study.

j) A student enrolled in the 300-hour hair braiding program may practice on the public only after completing 35 hours of general theory, practical application, and technical application instruction as specified in Section 3E-2 of the Act.

k) A student enrolled in the 600-hour or 500-hour hair braiding teacher program may practice student teaching only after completing 20 hours of Educational Psychology and 20 hours of Teaching Methods as specified in Section 1175.1540.

History

• Source: Added at 35 Ill. Reg. 14983, effective September 9, 2011

68 Ill. Adm. Code 1175.1535 Curriculum Requirements – Hair Braiding

Each licensed hair braiding school shall provide a program consisting of a minimum of 300 clock hours or a 10 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. Instruction shall be a combination of classroom instruction and hands on (practical and technical) experience. The licensed hair braiding school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a), (b), (c) and (d). The minimum subjects and number of hours shall be as follows for each category of training:

a) Basic Training – 35 hours:

1. history of hair braiding;

2. disinfection and sanitation;

3. bacteriology;

4. disorders and diseases of the hair and scalp;

5. personal hygiene, public health; and

6. professional ethics.

b) Related Concepts – 35 hours:

1. tools and equipment;

2. basic styling knowledge;

3. client consultation and face shapes;

4. growth patterns;

5. braid removal and scalp care;

6. styles and sectioning; and

7. client education, pre-care, post-care, home care and follow-up services.

c) Practices and Procedures – 200 hours:

1. single braids with and without extensions;

2. cornrows with and without extensions;

3. twists and knots;

4. multiple strands;

5. hair locking;

6. weaving/sewn-in;

7. other procedures as they relate to hair-braiding; and

8. product knowledge as it relates to hair braiding.

d) Business Practices – 30 hours:

1. the Act and this Part, including sanitary standards;

2. salon management;

3. human relations and salesmanship; and

4. Workers' Compensation Act.

e) A student may practice on the public only after completing 35 hours of general theory, practical application and technical application instruction as specified in Section 3E-2 of the Act.

f) Internship program is an optional part of the curriculum. Each licensed hair braiding school may choose to set up an internship program and shall adhere to the following guidelines:

1. An internship program:

A) May be substituted for 30 hours of the 300 hours required by this Section.

B) May be part of the curriculum of a licensed hair braiding school and shall be an organized pre-planned training program designed to allow a student to learn hair braiding under the direct supervision of a licensed cosmetologist or licensed hair braider in a registered salon.

2. A student in the internship program:

A) May participate in an internship program only after completing 150 hours of training with a minimum average grade of 80 out of 100. A school may, however, set the average grade higher and set other standards that a student must meet to participate in the internship program.

B) May not spend more than 30 hours in an internship program.

C) May not be paid while participating in this internship program as it is a part of the hair braiding curriculum of the school.

D) May work a maximum of 8 hours a day and shall be required to spend 1 day a week at the school.

E) Shall be under the direct, on-site supervision of a licensed cosmetologist or licensed hair braider. Only 1 student shall be supervised by 1 licensed cosmetologist or 1 licensed hair braider at any given time.

3. A licensed hair braiding school shall state clearly in the enrollment agreement that the school offers an internship program.

4. The licensed hair braiding school shall enter into a written internship contract with the student, the registered salon, and the licensed cosmetologist or licensed hair braider. The contract shall contain all the provisions set forth in subsection (f)(2) and any other requirements of the internship established by the school. The contract shall be signed by the student, an authorized representative of the school, and the licensed cosmetologist or licensed hair braider who will supervise the student. Any party to the contract may terminate the contract at any time.

g) A school may, as part of its educational program and on school premises, offer hair braiding services to the public, through a student clinic, as a means of providing students with practical experience. Services shall be provided by students working under the supervision of one or more teachers. Students shall receive no compensation, including tips, but shall receive credit for hours worked towards the 300-hour education requirement. The school may provide these services under the authority of its school license and is not required to obtain a salon registration. The school shall post a sign visible to the public advising that all services are provided by students. Except as provided in this subsection (g), a school and a salon shall not operate in the same premises.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1540 Curriculum Requirements – Hair Braiding Teacher

a) A licensed hair braiding school that intends to provide hair braiding teacher training must utilize a teacher program that includes a minimum of 600 clock hours or a 20 credit hour equivalency (1 credit hour equals 30 clock hours) of instruction. The licensed school may provide online hours in theory, but online hours shall not exceed 10% of the hours required in each of subsections (a)(1), (2), (3), (4), (5) and (6). The minimum number of hours shall be as follows:

1. 100 hours of Post-Graduate School Training that includes subjects in the basic curriculum in Section 1175.1535, including theory and practice. Presentation of material must include the concepts that are intended to be taught and the skills to be acquired during the various phases of basic education.

2. 20 hours of Educational Psychology that shall include, but not be limited to, topics in educational objectives, student characteristics and development, the learning process and an evaluation of learning that relates to teaching. These hours shall be waived on behalf of cosmetology teacher students who have completed a course in Educational Psychology at an accredited college or university.

3. 20 hours of Teaching Methods (Theory) that shall include, but not be limited to, topics in individual differences in learning, lesson planning and design, lesson delivery, assessment of learning performance, classroom management, student motivation and classroom climate. These hours shall be waived on behalf of cosmetology teacher students who have completed a course in Teaching Methods-Secondary Level at an accredited college or university.

4. 150 hours of Application of Teaching Methods that includes preparation and organization of subject matter to be presented on a unit by unit basis and presentation of subject matter through application of varied methods (lecture, demonstration, testing and assignments). Presentations must provide teaching objectives to be accomplished and correlate theoretical with practical application.

5. 50 hours of Business Methods that includes inventory, recordkeeping, interviewing, supplies, the Illinois Barber, Cosmetology, Esthetics, Hair Braiding, and Nail Technology Act of 1985 and this Part.

6. 260 hours of Student Teaching under the on-site supervision of a qualified teacher who is the holder of a current teacher's license issued by the Division. The student teacher shall present theoretical and practical demonstrations to students in the basic curriculum.

b) A student may practice student teaching only after completing 20 hours of Educational Psychology and 20 hours of Teaching Methods as specified in subsections (a)(2) and (a)(3).

c) The approved program for a 500-hour Teacher Training Course shall be based on 2 years of practical experience as a hair braider and shall consist of the teacher training curriculum outlined in subsection (a) with the exception of the 100 hours of post-graduate training.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1545 Final Examination

a) A hair braiding school shall require each candidate for graduation to pass a final examination that shall test the student's theoretical and practical knowledge of the curriculum studied. A "final examination" shall include a single final examination or multiple examinations as determined by the school.

b) The practical examination shall test the candidate's skills in the following areas:

1. Client Preparation, Analysis and Consultation;

2. Single Braids With and Without Extensions;

3. Cornrows With and Without Extensions;

4. Double Strand Twisting;

5. Knots;

6. Locking;

7. Weaving and Styling; and

8. Safety and Sanitation Procedures.

c) The examination shall be administered by the uniform application of standard performance criteria established by the school for each skill area. The standard performance criteria for each skill area shall be delineated in the examination records as specified in subsection (g).

d) A passing score of 75 or greater shall be required on both the theoretical and practical portions of the final examination.

e) The school shall allow each candidate for graduation at least 3 attempts to pass the final examination.

f) The Division may monitor the administration of the final examination:

1. As a result of a complaint received;

2. For random sampling; and/or

3. To collect data.

g) The school shall maintain records of the final examination for a period of no less than 5 years in the manner prescribed in Section 1175.1525(b). These records shall include:

1. A copy of the final examination administered; and

2. Each student's examination grades.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1550 Change of Ownership

a) For purposes of this Section, "change of ownership", "sale" or "transfer" of a corporation means the transfer of more than 50% of the stock during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of a partnership means a change of more than 50% of the partners during a 14-day period. For purposes of this Section, "change of ownership", "sale" or "transfer" of an LLC means a change of more than 50% of the members during a 14-day period. Any change of ownership of a parent business entity that owns the school's owner shall not be considered a change of ownership of the school.

b) If a licensed school is to be sold or otherwise transferred, the new owner must notify the Division at least 30 days in advance of the effective date of the transfer of ownership. The notification shall include a signed and dated letter from the pre-transfer owner acknowledging the planned sale or transfer.

c) Upon filing notice to the Division, the new owner may continue to operate the school under the previously issued license, provided that the new owner submits an application for licensure to the Division within 30 days after the effective date of the transfer of ownership, by mailing to the Division:

1. A signed and completed school application;

2. If the new owner is a corporation, limited liability company or partnership, a copy of the following:

A) if the owner is a domestic corporation, a filed copy of the Articles of Incorporation, filed with the Secretary of State or, in the case of a foreign corporation, a filed copy of the Authority to Transact Business in Illinois accepted by and filed with the Secretary of State;

B) if the owner is a domestic limited liability company, a copy of the Articles of Organization that were filed with the Secretary of State or, if the owner is a foreign limited liability company, a copy of the Application for Admission to Transact Business as a Foreign Limited Liability Company accepted by and filed with the Secretary of State; or

C) if the owner is a partnership, a listing of all partners and their addresses;

3. Name, address and telephone number of the school;

4. Name, address and telephone number of the chief managing employee;

5. If the new owner will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name;

6. A Commitment Statement, as provided in the licensure application packet, signed and dated by the school's chief administrative officer;

7. A listing of all teachers who will be in the school's employ, showing a sufficient number of qualified teachers who are holders of a current hair braiding teacher license or cosmetology teacher license issued by the Division;

8. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows the dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.305;

9. A copy of:

A) a lease showing at least a 1 year commitment to the use of the school site, the address of the school site, the name of the lessor, and the name of the lessee; or

B) the certification of ownership of the school site;

10. An official fire inspection report from the local fire inspection authority, conducted in the 6 months immediately preceding application, giving approval for use of the site as a school;

11. A financial statement indicating that sufficient current finances exist to operate the school for at least 3 months. The Division will not accept a bank statement as sufficient proof to meet this requirement. This financial statement shall include reporting cash assets on hand and any liabilities and shall be prepared by either a certified public accountant or a person knowledgeable about the finances of the school. Any financial statement submitted by a person who is not a certified public accountant must contain a signed statement certifying under penalty of perjury that the information is true and accurate based upon inspection of the financial records of the school;

12. A copy of the official enrollment agreement to be used by the school, which shall be consistent with the requirements of Section 1175.1515;

13. A copy of the curricula for each program offered by the school, which shall be consistent with the requirements of this Part;

14. A copy of the transcript to be used by the school for each program, which shall be consistent with the requirements of Section 1175.1525;

15. A copy of the final examination to be used by the school, which shall be consistent with the requirements of Section 1175.1545;

16. A sample of the school seal to be used by the school;

17. A photograph of the school sign to be used by the school; and

18. The required fee set forth in Section 1175.100.

d) When the items listed in subsection (c) have been received, the Division shall inspect the school premises, prior to school approval, to determine compliance with this Subpart O. Approval shall be granted if all the requirements of this Subpart O have been met.

e) Hair braiding schools shall only offer instruction in hair braiding and hair braiding teacher education.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1555 Change of Location

a) When the location of a licensed hair braiding school changes, the school owner shall, at least 30 days prior to the change in school site, submit to the Division the following:

1. Written notice to the Division that the licensed hair braiding school is changing location;

2. A signed and completed school application;

3. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.1510;

4. A copy of a lease showing at least a 1-year commitment to the use of the school site or certification of ownership of the school site, the address of the school site, the name of the lessor and the name of the lessee;

5. An official fire inspection report from the local fire inspection authority, conducted in the 6 months immediately preceding application, giving approval for use of the site as a school; and

6. The required fee set forth in Section 1175.100.

b) Once the items listed in subsection (a) have been received, the Division shall inspect the premises to determine compliance with this Part. If any changes affecting items in subsection (a) are made prior to inspection, the school owner must notify the Division in writing. School operations shall not commence at the new location nor may the school in any way solicit student enrollment at the new location until the owners have received notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart O have been met.

c) If the change of location is due to natural destruction of, or other severe damage to, the original premises due to circumstances beyond the control of the owner, a temporary site may be used to teach theory classes only.

1. The temporary site must be inspected prior to its use and must possess light and ventilation and tables and chairs for the number of students in a classroom, and must be clean.

2. The temporary site may be used for a period of 2 months. The 2-month period can be extended for good cause. Good cause includes, but is not limited to, unexpected delays in construction, delays in lease arrangements, or delays in equipment delivery.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1560 Change of Name

a) When the name of a licensed hair braiding school changes, the school owner shall, at least 30 days prior to the change in school name, submit to the Division the following:

1. Written notice to the Division that the licensed hair braiding school name is changing. Notice shall include the owner's name, school license number, previous name of school, address of school, new name of school and effective date of change;

2. If the school with the new name will be conducting business under an assumed name as described in the Assumed Business Name Act [805 ILCS 405], a copy of the application to adopt an assumed name filed with the government office responsible for approving the assumed name; and

3. The required fee set forth in Section 1175.100.

b) Once the items listed in subsection (a) have been received and processed, the Division shall issue an updated license. At the time of the change of the name, all identifying signs and materials must be changed to conform to the new school name on the school license.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1565 Expansion

a) Written notice shall be given to the Division 30 days prior to any expansion of a licensed hair braiding school.

b) When an on-site expansion is to accommodate an increased enrollment, a completed school application shall be submitted along with:

1. A statement from the school owner outlining the purpose of the expansion;

2. A detailed 8½ x 11 inch floor plan that is:

A) drawn to scale;

B) shows dimensions;

C) has all areas labeled;

D) has all fixtures shown; and

E) demonstrates compliance with the requirements of Section 1175.1510;

3. A listing of any additional teachers who will be added to the teaching staff as a result of the expansion; and

4. The required inspection fee set forth in Section 1175.100.

c) Off-Site Locations

1. An off-site classroom location is defined as a separate classroom, not continuously joined that is located within 5 miles of the main school site that serves to provide adequate space in which to train an overflow of students. A clinic may not be operated at an off-site classroom location. A school may establish only one off-site classroom location. All identifying signs and materials must reflect the name of the main school.

2. When the expansion will result in an off-site classroom location, a completed school application shall be submitted along with:

A) A statement from the school owner outlining the purpose of the off-site classroom location;

B) A detailed 8½ x 11 inch floor plan of the entire site that has dimensions and demonstrates meeting the requirements of Section 1175.1510;

C) A copy of:

i) a lease showing at least a 1-year commitment to the use of the off-site classroom location, the address of the site, the name of the lessor and the name of the lessee; or

ii) the certification of ownership of the off-site classroom location;

D) An official fire inspection report from the local fire inspection authority, conducted in the 6 months immediately preceding application, giving approval for use of the site as an off-site classroom location;

E) A listing of any additional teachers who will be added to the teaching staff as a result of the expansion; and

F) The required fee set forth in Section 1175.100.

d) Upon receipt of the items listed in subsections (b) and (c), the Division shall inspect the expansion site to determine compliance with this Part. If any changes affecting items in subsections (b) and (c) are made prior to inspection, the school owner must notify the Division in writing. The expansion site shall not be used until the inspection has occurred and the owner has received notice of approval from the Division. Approval will be granted if all of the requirements of this Subpart O have been met.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1570 Discontinuance of Program

a) The Division shall receive a minimum of 30 days written notice of a school's intent to discontinue its program. The notice shall include the exact location where the student records are to be stored.

b) The school owner shall notify the Division in writing of the actual closing date of the school.

c) All school records shall be maintained after the school closes.

d) The school must continue to meet the requirements of the Act and this Part until the actual closing date.

e) Each student enrolled at the time of discontinuation must be provided an official transcript of all hours earned while enrolled in the program.

f) Each student shall be given a refund prorated to at least reflect the percentage of time remaining to complete the course of instruction.

g) Students who have acquired 150 or more clock hours before their school closes shall be allowed to transfer all accumulated hours to another licensed hair braiding school, with the approval of that school. Schools accepting these hours shall not be credited with the students' pass/fail statistics, set forth in Section 1175.570(b), resulting from their first attempt on the Illinois Hair Braiding examination.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

68 Ill. Adm. Code 1175.1575 Withdrawal of Licensure

The Division may withdraw, suspend or place on probation, pursuant to 68 Ill. Adm. Code 1110, the licensure of a hair braiding school or cosmetology school when the quality of the program has been affected by any of the following:

a) Gross or repeated violations of any provisions of the Act or this Part;

b) Fraud or dishonesty in furnishing transcripts or documentation for evaluation of the school;

c) Failure to meet the criteria for school approval in Section 1175.1500 or 1175.1501;

d) Failure to administer the final examination specified in this Part;

e) Failure to maintain final examination grades for each student and a master copy of the examination administered by the school, as specified in this Part;

f) Fraud or dishonesty in providing transcripts to students who have fulfilled all obligations under Section 1175.1515;

g) Failure to provide transcripts to students;

h) A finding by the U.S. Office of Education or Illinois Student Assistance Commission that a school has misappropriated or misused grant or loan monies or has aided in obtaining monies by providing fraudulent or untruthful information; and

i) Any other violations of the Act or this Part.

History

• Source: Amended at 42 Ill. Reg. 15159, effective August 10, 2018

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1200 Illinois Certified Shorthand Reporters Act of 1984

68 Ill. Adm. Code 1200.20 Application for Examination/Licensure

a) An applicant for examination/licensure shall file an application on forms supplied by the Department of Financial and Professional Regulation-Division of Professional Regulation (Division) at least 60 days prior to an examination date. The application shall include:

1. Certification of graduation from high school or its equivalent;

2. Either:

A) An Affidavit of Ability, signed by an official of a shorthand reporter school, stating that the applicant has successfully completed a verbatim record of unfamiliar testimony dictated for 5 minutes at a minimum speed of 225 words per minute with at least 94% accuracy; or

B) Proof that the applicant possesses at least minimum competency skills to sit for the examination, as recommended by the Certified Shorthand Reporters Board of Examiners (Board) and approved by the Division. In determining competency the Board shall review the applicant's education, training and/or experience (such as practicing with a restricted license in the court system pursuant to Section 6 of the Act or practice in another jurisdiction); and

3. The required application and examination fees specified in Section 1200.50.

b) An applicant who submits an official copy of a Registered Merit Reporter or a Registered Professional Reporter certificate by examination issued by the National Shorthand Reporters Association shall not be required to sit for the examination. The Division, upon recommendation of the Board, has determined that the examinations given by the National Shorthand Reporters Association are equivalent to the examination set forth in Section 1200.30.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.30 Examinations

a) The examination for certification as a certified shorthand reporter shall be administered by the Division or its designated testing service.

1. Written Knowledge Examination. The written examination is given to determine the applicant's competency and ability:

A) To understand the English language, including reading, spelling and the applicant's knowledge of day to day vocabulary, as well as medical, legal and technical vocabulary, without the use of a dictionary;

B) To accurately report any of the matters comprising the practice of shorthand reporting as defined in the Illinois Certified Shorthand Reporters Act of 1984 [225 ILCS 415] (the Act), by the use of any system of manual or mechanical shorthand or shorthand writing;

C) To clearly understand the obligations between a shorthand reporter and the parties to any proceedings reported; and

D) To understand the provisions of the Act.

2. Dictation Examination

A) This portion of the examination shall consist of the following parts:

i) General dictation at 200 words per minute for 5 minutes with an allowance of 50 errors. (Definition: spoken words presented in court proceedings, depositions, arbitrations, speeches and hearings).

ii) Testimony, 2 voice, 225 words per minute for 5 minutes with an allowance of 57 errors.

B) Transcription. Upon completion of both parts of the Dictation Examination, the applicant shall transcribe both parts in double-spaced form.

C) The applicant shall be allowed an aggregate of three hours to complete all transcription. Those retake applicants required to transcribe only one part of the Dictation Examination shall be allowed one and one-half hours.

b) Grading of the Examination

1. The passing score on the Written Knowledge Examination set forth in subsection (a)(1) of this Section is 75% or better.

2. An applicant shall pass the Dictation Examination set forth in subsection (a)(2) of this Section if he/she successfully transcribes within the given time periods set forth in subsections (b)(2)(A) and (B):

A) 200 words per minute for 5 minutes with 50 errors or fewer on the general dictation part; and

B) 225 words per minute for 5 minutes with 57 errors or fewer on the 2 voice testimony.

3. In scoring the Dictation Examination, "Q" representing question and "A" representing answer shall not be counted as words in the testimony portion; however, such signs must appear in proper order in the transcript.

4. Applicants who fail a portion of an examination will be required to retake within a period of three years only the portion or dictation part of the examination they did not pass.

c) Required Supplies for the Examination

1. Each applicant must supply his/her own bound dictionary, pens, pencils, stenographic machine, erasers, stenograph paper, and notebooks or note paper. The use of only one dictionary per person is permitted. Computers shall be supplied at the location of the examination.

2. Applicants shall not be permitted to use tape recorders or other electronic recording devices during the examination sessions.

3. Typing paper will be provided.

d) The provisions of this Section shall apply to applicants upon adoption without regard to where the applicant is in the application process.

e) An applicant for licensure who possesses an active Registered Professional Reporter certificate by examination or a Registered Merit Reporter certificate issued by the National Court Reporters Association shall not be required to sit for the examination. The Division, upon recommendation of the Board, has determined that the Registered Professional Reporter and Registered Merit Reporter examinations are equivalent to the examination administered by the Division.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.35 Renewals

a) Every certificate of registration issued under the Act shall expire on May 31 of each odd numbered year. The holder of a certificate of registration may renew such certificate during the month preceding the expiration date thereof by paying the required fee.

b) It is the responsibility of each registrant to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.40 Restoration

a) A person seeking restoration of a certificate after it has expired or has been placed on inactive status for more than 5 years shall file an application with the Division, together with the required fees specified in Section 1200.50. In order to restore a license, a person shall submit proof of 10 hours of continuing education completed within 2 years before restoration in accordance with Section 1200.75. The applicant shall also submit one of the following:

1. Certification of current licensure from another jurisdiction completed by the appropriate board or licensure authority;

2. Affidavits from 2 members of the bench or bar attesting to the applicant's active practice of shorthand reporting in a state that does not require licensure for at least one year immediately prior to the date of application;

3. An affidavit attesting to military service as provided in Section 14 of the Act; or

4. Other proof acceptable to the Division of the applicant's fitness to have the certificate restored.

b) A registrant seeking restoration of a certificate that has expired for less than 5 years shall have the certificate restored upon payment of $10 plus all lapsed renewal fees required by Section 1200.50. After May 31, 1997, in order to restore a license, a person shall submit proof of 10 hours of continuing education completed within 2 years before restoration in accordance with Section 1200.75.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the person seeking restoration of a license shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon the recommendation of the Board and approval of the Division, an applicant shall have the license restored.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.45 Endorsement

a) An applicant who is licensed under the laws of another jurisdiction shall file an application with the Division, together with:

1. a certification from the licensing authority of the jurisdiction stating:

A) The time during which the applicant was licensed in that jurisdiction;

B) Whether the file on the applicant contains any record of any disciplinary actions taken or pending; and

C) A brief description of the examination taken and the grades received. The brief description shall include the speeds of dictation, the percentage of accuracy to pass and the contents of the written knowledge test; and

2. a copy of the statute and rules from the state of original licensure that were in effect at the time of licensure.

b) The applicant may be required to appear for an oral interview:

1. To clarify or explain information contained in the submitted documentation;

2. To provide additional documentation or information as requested by the Division;

3. To determine substantial equivalence of the applicant's qualifications to the licensing requirements in this State.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.50 Fees for the Administration of the Act

The following fees shall be paid to the Department for the administration of the Act and shall be nonrefundable.

a) Application Fees

1. The fee for application and for a certificate as a certified shorthand reporter is $25. In addition, the applicants may be required to pay the Department, or its designated testing service, a fee for the cost of providing the examination.

2. The fee to be paid for a certificate issued at the request of the Director of the Administrative Office of the Courts as set forth under Section 6 of the Act is $35.

3. The fee for application as a continuing education sponsor is $300. State agencies, State colleges and State universities in Illinois shall be exempt from this fee.

b) Renewal Fees

1. The fee for the renewal of a certificate shall be calculated at the rate of $20 per year.

2. The fee for the renewal as a continuing education sponsor shall be calculated at the rate of $50 per year.

c) General Fees

1. The fee for placing a certificate on inactive status is $20.

2. The fee for restoration of a certificate from inactive status is the current renewal fee.

3. The fee for restoration of a certificate from other than inactive status is $50 plus all lapsed renewal fees, not to exceed $150.

4. The fee for certification of a license record is $20.

5. The fee for a wall certificate shall be the actual cost of producing the certificate.

6. The fee for the issuance of a duplicate certificate, for the issuance of a replacement certificate, or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

7. The fee for a roster of certificate holders is the cost of producing the roster. The cost of producing the roster shall be determined in accordance with the following formula: Total number of registrants in the list requested divided by 1000 multiplied by the Multiplier, plus Fixed Costs (such as personnel and handling) = Total Roster Cost.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.60 Annual Report of Board (repealed)

History

• Source: Repealed at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.70 Conduct of Hearings

Any hearing conducted by the Division pursuant to Section 23.2 of the Act shall be conducted in accordance with the Division's Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110).

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.75 Continuing Education

a) Continuing Education (CE) Requirements

1. Beginning with the May 31, 1997, renewal and every renewal thereafter, every registrant who applies for renewal of a certificate of registration as a certified shorthand reporter shall complete during the prerenewal period 10 hours of CE relevant to the practice of shorthand reporting.

2. A prerenewal period is the 24 months preceding May 31 of each odd-numbered year.

3. A CE hour means a minimum of 50 minutes of actual clock time spent by a registrant in attendance at and completion of an approved CE activity. After completion of the initial CE hour, credit may be given in one-half hour increments. Attendance means participation in either in-person or online activities or programs.

4. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois certificate of registration.

5. Shorthand reporters registered in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

b) How to Acquire CE Credits

1. CE hours may be earned from:

A) Verified attendance at or participation in a program, activity or course through the National Court Reporters Association.

B) Verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program, activity or course ("program") presented by a CE sponsor in subsection (c).

C) Verified attendance at a program that is of general information value to shorthand reporters but does not directly relate to the reporter's ability to produce an accurate and timely transcript. A maximum of 5 hours credit may be counted during a prerenewal period for those programs, which include:

i) Professionalism, including knowledge and application of standards of professional responsibililty, impartiality, public relations, attire; and

ii) Office procedures, record-keeping, health, including a reporter's approach to personal tax management, planning for retirement or changing careers within reporting, maintaining the individual reporter's health and emotional adjustment, ability to listen, to concentrate, to communicate, to cope.

D) Verified personal preparation of educational presentations pertaining to the profession of court reporting and serving as an instructor, speaker or panel member at an approved course will be allowed as CE credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Credits for preparation time shall not be allowed for repetitious presentations. No more than 5 hours of credit can be earned under this category in any one renewal period.

E) Writing articles pertaining to the profession of court reporting and published in a state or nationally recognized professional journal of court reporting or law. Each article shall be eligible for 2.5 hours of CE credit and no more than 5 hours of credit can be earned under this category in any one renewal period. Credits will not be allowed for the same article published in more than one publication.

2. Courses Completed that are a Part of the Curriculum of a University, College or Other Educational Institution. One semester of course work is equivalent to 15 hours of CE and one quarter of course work is equivalent to 10 hours of CE.

3. Passing Any Leg of the Registered Merit Reporter (RMR), Certified Realtime Reporter (CRR), Certified Communication Access Realtime Translation Provider (CCP), Certified Broadcast Captioner (CBC) or Registered Diplomate Reporter (RDR) Exam Offered by the National Court Reporters Association (NCRA). Successful passage of any of these examinations shall be eligible for 2.5 hours of CE credit.

c) CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean the following:

A) The NCRA or programs or courses approved by NCRA;

B) The Illinois Court Reporters Association or any state court reporters association whose course or program has been approved for CE credits under the guidelines of the National Court Reporters Association;

C) A city, county, Stateor federal judicial body responsible for coordination and presentation of CE courses or programs for its employees;

D) A university or college course or adult education program that contributes directly to the certified shorthand reporter's knowledge, ability or competence to perform his/her duties; and

E) Any other school, college or university, State agency, or any other person, firm or association that has been approved and authorized by the Division to coordinate and present CE courses and programs in conjunction with this Section.

2. Entities seeking approval as CE sponsors shall file an application, on forms supplied by the Division, along with the application fee set forth in Section 1200.50. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) Along with the application, the applicant shall submit a list of proposed programs including the description, location, date and time of the programs. The application shall include the following:

A) Certification:

i) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor will be responsible for verifying attendance at each program and provide a certificate of attendance as set forth in subsection (c)(10);

iii) That, upon request by the Division, the sponsor will submit evidence (e.g., certificate of attendance or course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with this Part and that the information is necessary to ensure compliance;

iv) That each sponsor shall submit to the Division written notice of program offerings, including program offerings of subcontractors, 30 days prior to course dates. Notice shall include the description, location, date and time of the program to be offered;

B) A copy of sample program with faculty, course materials and syllabi.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and knowledge of the individual registrant in the practice of shorthand reporting;

B) Include one or more of the following subjects directly related to the shorthand reporter's ability to produce accurate and timely transcripts:

i) English, including grammar, punctuation, general principles, spelling, vocabulary, etymology, usage, semantics, regional and minority dialects or colloquialisms, English history, transcript styles;

ii) Medical, including Greek and Latin derivatives, homonyms, abbreviations, surgical procedures, pharmacy, anatomy and physiology, specialized medical fields (i.e., neurology, dentistry, radiology, gastroenterology), with emphasis on terminology and techniques or concepts likely to be encountered during litigation;

iii) Legal, including terminology, research techniques, presentations on the various subdivisions of law (i.e., criminal torts, domestic relations, corporate, admiralty, patent, environmental) and procedural law (i.e., depositions, trials, administrative proceedings) presentations by legal specialists or experts in the field, history of the American/world legal system;

iv) Technical subjects presented by experts with emphasis on terminology and concepts encountered by the shorthand reporter during litigation (i.e., accident reconstruction, chemistry, construction, geology, insurance, maritime, aerospace, products liability, industrial and environmental pollution);

v) Technology related to new developments in the field of reporting (i.e., computer technology, computer techniques, video, telecommunications, equipment maintenance);

vi) General litigation procedures as they relate to court, deposition and administrative proceedings (i.e., reporting depositions, court hearings, arbitrations, conventions and the court reporter's responsibility with regard to these proceedings, notary responsibilities, marking exhibits, reading back, going on and off the record, review of statutes, rules related to the reporter);

vii) Transcript preparation, including indexing of witnesses, exhibits, formats, dictating, editing and scoping, reference libraries and research techniques, proofreading; and

viii) Management, including financial, marketing, personnel, equipment maintenance, time and stress management;

C) Be relevant to the needs of shorthand reporters and also to the reporting service needs of the users (i.e., courses in golf, tennis, dancing or basket-weaving shall not be given credit);

D) Be developed and presented by persons with education and/or experience in the subject matter of the program;

E) Specify for whom the program is primarily designed, the course objectives, course content and teaching methods to be used; and

F) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for renewal of the certification of registration.

4. Each CE program shall provide a mechanism for evaluation of the program by the participants. The evaluation may be completed immediately following the program or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or email. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs.

6. CE credits may be awarded for home study courses and correspondence courses, provided they are courses administered by approved sponsors.

7. All programs given by approved sponsors shall be open to all registered shorthand reporters and not be limited to members of a single organization or group.

8. CE credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

9. To maintain approval as a sponsor, each sponsor shall submit to the Division, by May 31 of each odd-numbered year, a renewal application, the required fee set forth in Section 1200.50, and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given.

10. Certificate of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and certificate number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

11. The sponsor shall maintain attendance records for not less than 5 years.

12. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

13. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until such time as the Division receives assurances of compliance with this Section.

14. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may conduct random audits to verify compliance with CE requirements.

3. The Division may require additional evidence (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

4. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

e) Continuing Education Earned in Other Jurisdictions

1. If a registrant has earned CE hours offered in another state or territory not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval and disapproval of the program using the criteria set forth in subsection (c)(3).

f) Restoration of Nonrenewed or Inactive Certificate of Registration. Upon satisfactory evidence of compliance with CE requirements, the Division shall restore the certificate upon payment of the required fee as provided by Section 1200.50.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a certificate of registration without having fully complied with these CE requirements shall file with the Division a renewal application along with the required fee set forth in Section 1200.50, a statement setting forth the facts concerning non-compliance and request a waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

A) Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

i) Full-time service in the armed forces of the United States during a substantial part of the prerenewal period;

ii) An incapacitating illness documented by a statement from a currently licensed physician, nurse practitioner or physician's assistant; or

iii) Any other similar extenuating circumstances.

B) Persons employed as full-time court reporters under the Court Reporters Act [705 ILCS 70] may apply for a waiver from the CE requirements. The waiver shall be granted upon the submission of evidence satisfactory to the Division (i.e., statement from employer) that the certified shorthand reporter is employed as a full-time court reporter under the Court Reporters Act.

2. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section, shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 45 Ill. Reg. 2785, effective March 1, 2021

68 Ill. Adm. Code 1200.80 Granting Variances

a) The Director may grant variances from this Part in individual cases when he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director of the Department of Financial and Professional Regulation-Division of Professional Regulation with the authority granted by the Secretary (Director) shall notify the Certified Shorthand Reporters Board of Examiners of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

68 Ill. Adm. Code 1200.90 Standards of Professional Conduct

In order to establish and maintain a high standard of integrity in the practice of shorthand reporting, the following Standards of Professional Conduct shall be binding on every person holding a certificate of registration as a certified shorthand reporter.

a) A licensee shall be fair and impartial toward each participant in all aspects of reported proceedings.

b) A licensee should only accept an assignment if his/her level of competence will result in the preparation of an accurate transcript and will remove himself/herself from an assignment if he/she believes his/her abilities are inadequate, recommending or assigning another licensee only if the licensee has the competence required for the assignment.

c) A licensee, if requested, shall provide information regarding services to be rendered regarding administration of professional services to all parties. The licensee must strive to meet promised delivery dates whenever possible, make timely delivery of transcripts when no date is specified, and provide immediate notification of delays.

d) A licensee shall be alert to situations that are conflicts of interest or that may give the appearance of a conflict of interest. If a conflict arises, the licensee must disclose that conflict or potential conflict.

e) A licensee who becomes impaired and unable to function according to the standards of practice should immediately seek inactive status and refrain from practice. It is the licensee's responsibility to seek supervision and/or personal therapy for any problem that is interfering with the ability to perform professional services.

f) A licensee shall preserve the confidentiality and ensure the security of information, oral or written, entrusted to the licensee by any and all of the parties in a proceeding.

g) It is the licensee's responsibility to preserve his/her shorthand notes for a period of no less than 10 years from the date the notes or transcripts were taken, except as otherwise prescribed by law, through storage of the original paper notes and/or an electronic copy of either the shorthand notes or the English transcript of the notes on computer disks, cassettes, backup tape systems, optical or laser disk systems, or other retrieval systems available at the time that the notes or transcripts were taken.

h) A licensee's signature, license number and expiration date shall be affixed to a transcript of his/her stenographic notes to certify to its correctness if the transcript has been prepared by him/her or under his/her direct supervision.

i) A licensee shall not permit the use of his/her name or firm's name, nor shall a licensee be associated in business ventures with persons or firms that the licensee has reason to believe to be engaging in fraudulent or dishonest business practices.

j) A licensee having knowledge of any alleged violation of the Certified Shorthand Reporter Act shall cooperate with the Division or appropriate governmental agency, furnishing such information or assistance as may be required to conduct an investigation resulting from a complaint.

k) The licensee shall at all times be aware of and avoid not only the fact of, but the appearance of, impropriety, which may include, but is not limited to:

1. The establishment of contingent fees as a basis of compensation.

2. The giving or receiving of, directly or indirectly, any gift, incentive, reward or anything of value to anyone as a condition for the performance of professional services.

3. The offering to pay, either directly or indirectly, any commission or other consideration in order to secure professional assignments.

4. The entering into any financial relationship, written or oral, with counsel, parties in interest or their intermediaries that:

A) undermines the actual or perceived impartiality of the court reporter; or

B) does not provide or offer any party in interest comparable court reporting services in the same proceedings.

l) A licensee shall be truthful and accurate when making public statements or when advertising qualifications or services provided.

m) A licensee shall meet all mandated continuing education requirements and should keep abreast of current literature and technological advances and developments.

n) The Division hereby incorporates by reference "The Code of Professional Ethics" of the National Court Reporters Association, 8224 Old Courthouse Road, Vienna, Virginia 22182-3808, 2013, with no later amendments or editions.

History

• Source: Amended at 38 Ill. Reg. 19662, effective October 10, 2014

Part 1210 Collection Agency Act

68 Ill. Adm. Code 1210.10 Definitions

The following definitions shall apply to this Part:

"Act" means the Collection Agency Act [225 ILCS 425].

"Agency" means a collection agency as defined in Section 2.02 of the Act.

"Board" means the Collection Agency Licensing and Disciplinary Board.

"Branch Office" means another location with the same name and ownership as the main collection agency license.

"Creditor" means individual, sole proprietorship, partnership or corporation that engages or retains the agency to collect debts due the individual, sole proprietorship, partnership or corporation.

"Department" means the Department of Financial and Professional Regulation.

"Director" means Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Managerial or Administrative Control" means having authority to conduct the affairs of the agency and direct others in the conduct of the affairs or business of the agency.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Trust Account" means the special account that all licensed collection agencies shall maintain in accordance with Section 8c of the Act.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.20 Officer

a) If the agency is an association or a sole proprietorship, the owner of the agency or any person exercising managerial control shall be considered an officer.

b) If the agency is a partnership, any partner who has at least 10% ownership interest or any partner who exercises managerial control shall be considered an officer.

c) If the agency is a corporation, any officer of the corporation or director or any person who has at least l0% ownership interest in such corporation or who exercises managerial control shall be considered an officer.

History

• Source: Amended at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.25 Application for Registration

a) All applications for registration as a collection agency shall be submitted to the Division, on forms provided by the Division, and include:

1. Collection Agency Application

A) The name and address of all officers of the collection agency (as defined in Section 1210.20). The address shall be an actual street address and shall include the city, state and zip code. A post office box number is not acceptable as an address;

B) A copy of the Articles of Incorporation bearing the seal of the office, in the jurisdiction in which the corporation is organized, whose duty it is to register corporations under the laws of that jurisdiction. If it is a foreign corporation, a copy of the certificate of authority to transact business in this State issued by the Secretary of State is also required;

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405], issued by the Secretary of State or county clerk's office, if required by law;

D) Proof of a $25,000 surety bond;

E) The name of the bank, savings and loan association or other required depository in which the trust account shall be maintained; and

F) The required fee set forth in Section 1210.237.

2. Branch Office Application

A) The name and license number of the main collection agency office;

B) Name of the manager at that location; and

C) The required fee set forth in Section 1210.237.

b) If a collection agency intends to conduct business as a collection agency as defined in the Act at more than one office or location and the ownership and name used at each location are identical, the applicant shall file an application for a branch office as referenced in subsection (a)(2). If the ownership and name are not identical, a collection agency application shall be filed in accordance with subsection (a)(1).

c) A licensed collection agency shall notify the Division in writing of a change in location of an existing office within 10 days after the change.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.30 Harassment Defined (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.40 Section 9.21 of Act Defined (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.50 Posing as an Attorney (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.60 Communication by Agency

a) A collection agency shall use only the agency name or tradestyle exactly as it appears on the agency's certificate of registration (the certificate) issued by the Division in all communications (e.g., ABC Collection Agency cannot use a name such as ABC Acceptance Company), except for skiptracing and envelopes as prohibited by 15 USC 1692b.(5).

b) When an agency communicates with a debtor, the agency must state in a written or telephone communication the specific reason for the communication, the name of the creditor, the registered name of the agency, the date of written communication, and, in oral communication, the identity of the collector making the contact.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.70 Use of Pseudonyms

The agency shall maintain a listing of all pseudonyms used by an office, employee, or agent of the collection agency in relation to collection agency activities. A listing of pseudonyms shall be maintained by the collection agency one year after termination of employment. This shall be available upon request by the Division.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.80 Doing Business at More Than One Office or Location (repealed)

History

• Source: Repealed at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.90 Additional Offices or Changes of Location of Offices (repealed)

History

• Source: Repealed at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.100 Notices (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.105 Change of Ownership

When one share more than 50% of the assets, stock or equity of a collection agency are transferred, a new collection agency application shall be filed with the Division in accordance with Section 1210.25.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.110 Termination or Change in Registration

a) The certificate of registration shall terminate:

1. When the agency ceases operation;

2. When the bond is nonrenewed or cancelled; or

3. When the certificate of registration is revoked.

b) The agency shall notify the Division in writing by certified mail within 10 days when the agency ceases to operate or ceases to operate under the name on the certificate. Notice of bond termination is set forth in Section 8 of the Act.

c) In the event of a change of the agency name, the registrant shall notify the Division, submit proof of the name change, return the original license and pay the fee required in Section 1210.237. A new license will be issued with the corrected name.

d) All notices required by this Section shall be sent to the Department of Financial and Professional Regulation-Division of Professional Regulation, 320 West Washington, 3rd Floor, Springfield, Illinois 62786.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.120 Address for Notice (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.130 Use of Street Addresses (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.140 Records and Documents to Be Kept by Collection Agency

a) The current certificate of registration shall be prominently displayed at each location where the agency conducts business.

b) At each office of a registered collection agency, for each individual debtor's account, the agency shall keep the following:

1. Account records for each account in excess of $l00 being processed.

A) These records shall contain:

i) Name, address and phone number, if available, of debtor and all individuals contacted at any time concerning the collection account, including debtor, debtor's employer and relatives;

ii) Dates and record of contents of all communications mailed regarding debtor's account;

iii) Dates and record of contents of each telephone contact with all individuals regarding debtor's account, including identification of individual who made the contact and to whom that individual spoke;

iv) Name of the creditor, date account was opened with the agency and the amount of the account. The address of the creditor shall be maintained in the agency's records;

v) Docket information pertaining to all court suits concerning account;

vi) The date and amount of each collection on each account; and

vii) Additional charges, which are fees authorized by contract or by court of law. These charges shall be documented by court records or other records available for inspection by the Division.

B) This subsection does not apply to the report status of the accounts.

2. Correspondence files for collection accounts, which shall contain:

A) Copies of all correspondence between the agency and creditor concerning accounts;

B) Copies of all correspondence between the agency and debtor, debtor's employer, debtor's family and debtor's attorney;

C) Instructions from debtor on disbursement of funds among multiple accounts; and

D) Copies of all correspondence concerning account between agency and agency's attorney.

c) When an account is closed by the agency, the account record shall be clearly and boldly marked that the account is closed, and all records shall be kept for a period of l2 months after date on which the account was closed.

d) A collection agency may utilize an electronic data processing system that includes the information set forth in this Section.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.150 Recording of Payments

All collections of any amount on any account processed by an agency shall be promptly entered on the debtor's account record.

History

• Source: Amended at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.160 Multiple Creditors

a) When a debtor has multiple creditors, the agency shall maintain a separate account record for each creditor.

b) Checks, money orders, or drafts received by an agency from a debtor or in behalf of a debtor made payable to a specific creditor shall be applied to the specified creditor's account record.

c) When a collector is collecting two or more accounts from one consumer, the collector shall apply payments according to the consumer's directions.

d) When the debtor overpays a specific creditor, money due the debtor for an overpayment of the creditor may not be offset by the agency against any other obligation owed by the debtor unless the debtor has authorized the agency to do so.

History

• Source: Amended at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.170 Availability of Books, Records, Forms and Stationery

All books, records, forms, and stationery kept or used by an agency at each office of the agency shall be made available to agents of the Division upon request. Failure or refusal to make these records available by the agency shall be grounds for denial, suspension, or revocation of the agency's registration under Section l2(a) of the Act in accordance with 68 Ill. Adm. Code 1110.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.180 Accounting and Remitting Collected Funds

a) Accounting and Remitting to Creditors

1. Unless otherwise authorized in writing by creditor, an agency shall, within 60 days after any payment is received on any account, render an itemized statement of account to the creditor and remit all money then due the creditor. After court costs, if any, are recovered on any claim or group of claims by a creditor against a debtor, moneys shall be applied first to the reduction of principal, unless another priority has been authorized by the debtor's creditor.

2. If any creditor fails to advise the agency, in writing or orally, of all payments or credits paid directly to the creditor on any claim or account, within 30 days after receipt thereof, the agency may make written demand for a statement of the payments or credits, by certified mail with return receipt requested. The agency shall not be obliged to make any further remittance to the creditor until the creditor has rendered the statement. The failure or refusal of a creditor to render a statement of payments or credits shall not relieve the agency of the obligation to render an itemized statement of account.

b) Accounting and Remitting to Debtors - Within 60 days after an overpayment of one dollar or more on any claim is received from a debtor or it is determined that a refund of one dollar or more is due to a debtor on any claim that has been paid, the agency shall remit to the debtor any money due the debtor.

History

• Source: Amended at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.190 Creditor Accounts

a) Each licensed agency office which collects funds for creditors shall maintain a current accounting system which shall show the monies due and owing to creditors as well as the funds in the trust account from which appropriate remittance may be made by the agency to creditors.

b) Accounts and records of each agency shall include:

1. A cash receipts journal, showing each collection made, the allocation of the collection and the monthly total.

2. A check register or record showing each check written on the trust account, as defined in Section 8c of the Act.

3. A general journal reflecting all adjustments to the check register and cash receipts records.

4. A general ledger or record to which all payments handled by an agency are recorded.

5. A creditor's record setting forth the details of the contractual arrangement, whether written or oral, of the agency with each creditor, and shall reflect full details of all collections made on behalf of the creditor, whether paid to agency or directly to creditor, and full details on remittance made by the agency to the creditor.

c) The trust account shall be reconciled each month with the balance shown in the Trust Account shown on agency records.

d) All accounts and records of each account referred to in this Section shall be kept for a period of four years after the account is closed.

e) A collection agency may employ an accounting system based on sound accounting principles which utilizes electronic data processing equipment that includes information set forth in Section 1210.190(b).

History

• Source: Amended at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.200 Trust Accounts (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.210 Notice for Hearing (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.220 Procedures for Hearing (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.230 Default Disposition of a Hearing (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

68 Ill. Adm. Code 1210.235 Renewals

a) Every certificate of registration issued under the Act shall expire on May 31, 2000 and every 3 years thereafter. The holder of a certificate of registration may renew the certificate during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each registrant to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or offering to practice on a certificate of registration that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 9 of the Act.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.237 Fees

a) The following fees shall be paid to the Division and are not refundable:

1. Application Fees

A) The fee for application for a certificate of registration as a collection agency is $750.

B) The fee for application for a certificate of registration to operate as a branch office is $250.

2. Renewal Fees

A) The fee for the 3-year renewal of a certificate of registration as a collection agency is $750.

B) The fee for the 3-year renewal of a certificate of registration for a branch office is $150.

3. General Fees

A) The fee for the restoration of a license is $50 plus payment of all lapsed renewal fees.

B) The fee for the issuance of a duplicate certificate of registration, for the issuance of a replacement certificate for a certificate that has been lost or destroyed, or for the issuance of a certificate with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

C) The fee for a certification of a registrant's record for any purpose is $20.

D) The fee for a wall certificate showing registration shall be the actual cost of producing the certificate.

E) The fee for a roster of registrants shall be the actual cost of producing the roster.

b) All fees collected under the Act and this Part shall be deposited into the General Professions Dedicated Fund. All monies in the fund shall be used by the Division, as appropriated, for the ordinary and contingent expenses of the Division.

c) Returned Checks

1. Any person who delivers a check or other payment to the Division that is returned to the Division unpaid by the financial institution upon which it is drawn shall pay to the Division, in addition to the amount already owed to the Division, a fee of $50.

2. The fees imposed by this Section are in addition to any other discipline provided under the Act for unlicensed practice or practice on a nonrenewed license. The Division shall notify the person that fees shall be paid to the Department by certified check or money order within 30 calendar days after the notification.

3. If, after the expiration of 30 days from the date of notification the person has failed to submit the necessary remittance, the Division shall automatically terminate the license or certificate or deny the application, without hearing.

4. If, after termination or denial, the person seeks a license or certificate, he or she shall apply to the Division for restoration or issuance of the license or certificate and pay all fees due to the Department. The Director may waive the fees due under this Section in individual cases when the Director finds the fees would be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.240 Granting Variances

a) The Director may grant variances from this Part in individual cases when he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by granting the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board in writing of the granting of a variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 35 Ill. Reg. 12872, effective July 20, 2011

68 Ill. Adm. Code 1210.250 Construction of Rules and Regulations (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1535, effective January 25, 1993

Chapter VII Department of Professional Regulations

Subchapter b Professions and Occupations

Part 1215 Mail Order Contact Lens Act

68 Ill. Adm. Code 1215.10 Definitions

"Act" shall mean the Mail Order Contact Lens Act [225 ILCS 83].

"Department" means the Illinois Department of Professional Regulation.

"Mail order ophthalmic provider" means an entity located outside of Illinois who dispenses contact lenses to Illinois residents via the United States Postal Service, the Internet or other common carrier.

"Prescriber" means a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 [225 ILCS 60] or an optometrist licensed under the Illinois Optometric Practice Act of 1987 [225 ILCS 80].

68 Ill. Adm. Code 1215.20 Registration

a) An entity required to register as a mail order ophthalmic provider shall submit an application to the Department, on forms supplied by the Department. The application shall include the following:

1. Certification and disclosure:

A) That the entity is licensed or registered to distribute contact lenses in the state in which the dispensing facility is located and from which the contact lenses are dispensed, if required.

B) Of the location, names, and titles of all principal corporate officers and the person who is responsible for overseeing the dispensing of contact lenses to residents in this State.

C) That it complies with all lawful directions and appropriate requests for information from the appropriate agency of each state in which it is licensed or registered.

D) That it will respond directly to all communications from the Department concerning emergency circumstances arising from the dispensing of contact lenses to residents of this State.

E) That it maintains records of contact lenses dispensed to residents of this State so the records are readily retrievable.

F) That it will cooperate with the Department in providing information to the appropriate agency of the state in which it is licensed or registered concerning matters related to the dispensing of contact lenses to residents of this State.

G) That it conducts business in a manner that conforms with Section 10 of the Act and this Part.

H) That it provides a toll-free telephone service responding to patient questions and complaints during its regular hours of operation. The toll-free number shall be included in literature provided with mailed contact lenses. All questions relating to eye care for the lenses prescribed shall be referred back to the contact lens prescriber.

I) That it provides the following or a substantially equivalent written notification to the patient whenever contact lenses are supplied:

WARNING: IF YOU ARE HAVING ANY OF THE FOLLOWING SYMPTOMS REMOVE YOUR LENS IMMEDIATELY AND CONSULT YOUR EYE CARE PRACTITIONER BEFORE WEARING YOUR LENSES AGAIN: UNEXPLAINED EYE DISCOMFORT, WATERING, VISION CHANGE, OR REDNESS.

2. The required fee set forth in Section 1215.30.

b) When the address or name of a facility is changed, the registrant shall be required to notify the Department, obtain a corrected registration and pay the required fee set forth in Section 1215.30.

68 Ill. Adm. Code 1215.30 Fees

a) Application Fees

The fee for application for original registration as a non-resident mail order ophthalmic provider shall be $1000.

b) Renewal Fees

The fee for renewal of a registration of a non-resident mail order ophthalmic provider shall be $1000 per year.

c) General Fees

1. The fee for issuance of a duplicate registration certification or for the re-issuance of a replacement registration certificate, which has been lost or destroyed, is $50.

2. The fee for issuance of a registration certificate with a change of address other than during the renewal period is $50.

3. The fee for the certification of registration for any purpose is $50.

4. The fee for a roster of persons registered under the Act is the actual cost of producing the roster.

68 Ill. Adm. Code 1215.40 Renewals

a) The first renewal period for registration issued under the Act shall end March 31, 2002 and subsequent renewal periods shall end every March 31 thereafter. The holder of a registration may renew that registration 60 days prior to the expiration date by filing an application with the Department and paying the required fee set forth in Section 1215.30.

b) It is the responsibility of each registrant to notify the Department of any change of mailing address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee or to renew one's registration.

68 Ill. Adm. Code 1215.50 Records

Records of prescriptions filled must be maintained for 3 years, including original copies of the prescription or records of the electronic transmissions.

68 Ill. Adm. Code 1215.60 Violations

The Department may refuse to issue, renew, or restore a registration, or may revoke, suspend, place on probation, reprimand, impose a fine not to exceed $5,000 for each violation, or take other disciplinary action as the Department may deem proper with regard to a registrant for any one or combination of the following reasons:

a) Dispense contact lenses into Illinois without a prescription as required by the Act.

b) Dispense contact lenses into Illinois beyond the stated expiration date of the prescription.

c) Fill a prescription in excess of the quantities or frequency stated.

d) Fill a prescription other than exactly as written without the express approval of the prescriber.

e) Fill a prescription without the full name, address and phone number of the prescribing doctor on the original copy of the prescription or in the record if electronically transmitted and also displayed on the prescription package along with the required warning notice.

f) Advertise to the citizens of Illinois the availability of goods or services that if provided would violate the Act, the Illinois Optometric Practice Act of 1987 or the Illinois Medical Practice Act of 1987.

68 Ill. Adm. Code 1215.70 Granting Variances

a) The Director of the Department may grant variances from this Part in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Illinois Optometric Licensing and Disciplinary Board and the Medical Licensing Board of the granting of the variance, and the reasons for the variance, at the next meeting of the boards.

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1220 Illinois Dental Practice Act

68 Ill. Adm. Code 1220.10 Definitions

"AAOMS" means the American Association of Oral and Maxillofacial Surgeons.

"ACLS" means Advanced Cardiac Life Support.

"Act" means the Illinois Dental Practice Act [225 ILCS 25].

"AMP Exam" means the national Anatomy, Morphology, and Physiology exam administered by DANB.

"BLS" means current basic life support certification intended for healthcare providers that includes evaluation of hands-on skills and a written exam.

"Board" means the Board of Dentistry authorized by Section 6 of the Act.

“CDCA-WREB” means the Commission on Dental Competency Assessments and Western Regional Examining Board.

"CE" means continuing education.

"CITA" means the Counsel of Interstate Testing Agencies, Inc.

"CODA" means Commission on Dental Accreditation of the American Dental Association.

"CRDTS" means the Central Regional Dental Testing Service.

"DANB" means Dental Assisting National Board, Inc.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation with the authority delegated by the Secretary.

"IS Exam" means the national exam on oral cavity isolation techniques administered by DANB.

"JCNDE" or "Joint Commission" means the Joint Commission on National Dental Examinations.

"LLC" means limited liability company, as defined in Section 1-5 of the Limited Liability Company Act [805 ILCS 180].

"NERB" means the North East Regional Board.

"PALS" means Pediatric Advanced Life Support.

"RF Exam" means the national Restorative Functions exam administered by DANB.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"SRTA" means the Southern Regional Testing Agency, Inc.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.100 Application for Licensure

An applicant for a license to practice dentistry in Illinois shall file an application on forms supplied by the Division that shall include:

a) For graduates from a dental college or school in the United States or Canada, certification of successful completion of 60 semester hours or its equivalent of college pre-dental education, and graduation from a dental program specified in Section 1220.140.

b) For graduates from a dental college or school outside of the United States or Canada:

1. Certification of graduation from a dental college or school; and

2. Clinical Training

A) Certification from an approved dental college or school in the United States or Canada that the applicant has completed a minimum of 2 years of general dental clinical training at the school in which the applicant met the same level of scientific knowledge and clinical competence as all graduates from that school or college. The 2 years of general dental clinical training shall consist of:

i) 2850 clock hours completed in 2 academic years for full-time applicants; or

ii) 2850 clock hours completed in 4 years with a minimum of 700 hours per year for part-time applicants; or

B) In the alternative, certification, from the program director of an accredited advanced dental education program approved by the Division, of completion of no less than 2 academic years may be substituted for the 2 academic years of general dental clinical training. The accredited advanced dental education program must have sufficient clinical and didactic training. An advanced dental education clinical program in Prosthodontics, pediatric dentistry, periodontics, endodontics, orthodontics, and oral and maxillofacial surgery is acceptable under this Part;

c) The required fee set forth in Section 1220.415(a)(1).

d) Proof of successful completion of the Theoretical examination given by JCNDE. The passing score shall be determined by JCNDE. The National Board Certificate must be mailed to the Division by JCNDE.

e) Proof of successful completion of an examination set forth in Section 1220.120(a).

f) Certification, on forms provided by the Division, from the state in which an applicant was originally licensed and is currently licensed, if applicable, stating:

1. The time during which the applicant was licensed in that state, including the date of the original issuance of the license; and

2. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

History

• Source: Amended at 48 Ill. Reg. 14138, effective September 10, 2024

68 Ill. Adm. Code 1220.110 Application for Examination (repealed)

History

• Source: Repealed at 26 Ill. Reg. 18286, effective December 13, 2002

68 Ill. Adm. Code 1220.120 Dental Examinations

a) The Division shall accept the following examinations for licensure if administered and passed in their entirety (which includes passage of the restorative, periodontal, prosthodontic and endodontic portions of the examination):

1. CDCA-WREB-CITA Examination, with a passing score established by the testing entity;

2. CRDTS Examination, with a passing score established by the testing entity; or

3. SRTA Examination, with a passing score established by the testing entity.

b) Retake requirements shall be that of the testing entity.

c) The applicant shall have the examination scores submitted to the Division directly from the reporting entity.

d) The Division will accept only examinations that have been completed in the 5 years prior to submission of the application, if never licensed in another jurisdiction.

History

• Source: Amended at 48 Ill. Reg. 14138, effective September 10, 2024

68 Ill. Adm. Code 1220.130 System of Retaking the Clinical Sections of the Examination (repealed)

History

• Source: Repealed at 26 Ill. Reg. 18286, effective December 13, 2002

68 Ill. Adm. Code 1220.140 Minimum Standards for an Approved Program in Dentistry

A dental program shall meet the following requirements:

a) The curriculum must include at least 4 academic years of instruction or its equivalent.

b) Biomedical, Behavioral, and Clinical Science instruction must be integrated and of sufficient depth, scope, timeliness, quality and emphasis to ensure achievement of the curriculum's defined competencies.

c) The stated goals of the dental education program must include the preparation of graduates who possess the knowledge and values to begin the practice of general dentistry.

d) A graduate shall be competent in:

1. Providing oral health care within the scope of general dentistry for all age groups, as well as the medically compromised patient.

2. Functioning in the community and practice environment.

e) The curriculum must include the following areas of instruction:

Ethics

Critical thinking

Professional and community involvement

Patient management

History and examination

Diagnosis

Treatment planning

Emergency care

Prevention and maintenance

Oral medicine

Therapeutics/pharmacology

Periodontal therapy

Endodontic therapy

Surgical therapy

Occlusal therapy

Orthodontic therapy

Restorative/prosthodontic therapy

Office management

Personnel management

f) Graduates must be competent in providing appropriate life support measures for medical emergencies that may be encountered in dental practice.

g) In determining whether a program should be approved, the Division shall take into consideration but not be bound by accreditation by the Commission on Dental Accreditation of the American Dental Association.

h) The Division, upon the recommendation of the Board, has determined that all of the dental programs accredited by the Commission on Dental Accreditation of the American Dental Association as of July 2006 meet the minimum curriculum criteria set forth in this Section and are, therefore, approved.

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.150 Licensure (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4191, effective March 16, 1989

68 Ill. Adm. Code 1220.155 Restricted Faculty Licenses

a) Pursuant to Section 11(d) of the Act, the Division shall issue a Restricted Faculty License to an individual who is currently licensed in another jurisdiction as a dentist and who files an application, on forms provided by the Division, that includes:

1. Certification of licensure from the jurisdiction of original licensure and current licensure;

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original license; and

B) Whether the files of the jurisdiction contain any record of disciplinary action taken or pending;

2. A certification, on forms provided by the Division, signed by the Dean of the school or hospital administrator, indicating:

A) The name and address of the dental school or hospital;

B) The beginning and ending date of the appointment; and

C) The nature of and the need for the educational service that will be provided by the applicant;

3. The required fee set forth in Section 1220.415(a)(8).

b) The restricted faculty license shall be valid for 3 years from the date of issuance and may be renewed in accordance with subsection (e).

c) The holder of a restricted faculty license may perform acts as may be required by the teaching of dentistry and may practice general dentistry or in the holder's area of specialty, including ordering, prescribing and administering controlled substances, but only in a hospital clinic or office affiliated with the dental school. A restricted faculty license holder may apply for and obtain a controlled substances license.

d) Any restricted faculty license and controlled substances license issued to a faculty member shall be terminated immediately and automatically without any further action by the Division if the holder ceases to be a faculty member at an approved dental school or hospital in this State.

e) Renewal

1. Beginning with the September 30, 2021 renewal, every restricted faculty license issued under the Act shall expire on September 30 every 3 years. The holder of a license may renew the license during the month preceding the expiration date thereof by paying the fee required in Section 1220.415(b) and providing the following:

A) Certification from the Dean of a dental program or the administrator of the hospital indicating the term of the renewal contract, not to exceed 3 years from the date of the original expiration date; and

B) Certification from the jurisdiction of current licensure indicating the current status of the license.

2. Failure to renew a restricted faculty license at least 30 days prior to its expiration shall result in the license expiring. A new application must be submitted.

History

• Source: Amended at 48 Ill. Reg. 14138, effective September 10, 2024

68 Ill. Adm. Code 1220.156 Temporary Training License

a) A person seeking a Temporary Training License in Illinois pursuant to Section 11(c) of the Act shall file an application, on forms provided by the Division, that includes:

1. Certification of graduation and/or transcripts from a dental school or program;

2. Certification signed by the Dean/hospital administrator of the specialty or residency program indicating the name of the specialty/residency program, the name and address of the dental school/hospital/institution in which the applicant will be located and the beginning and ending dates of the training;

3. Certification of licensure in another jurisdiction in which the applicant is currently licensed, stating, if applicable:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

B) A description of the licensure examination in that jurisdiction;

C) Whether the file on the applicant contains a record of any disciplinary actions taken or pending;

4. The required fee set forth in Section 1220.415(a)(8).

b) The Temporary Training License will be issued for the duration of the residency or specialty training and may be extended as set forth in subsection (c).

c) The holder of a Temporary Training License may request in writing an extension of a temporary license and pay a $20 processing fee that covers the cost of printing a new temporary license. The Temporary Training License may be extended in the following circumstances:

1. Proof of continuance of a residency/specialty training program;

2. Serving full-time in the Armed Forces; or

3. An incapacitating illness as documented by a currently licensed physician.

d) A Temporary Training License may be transferred from one program to another only upon the return of the temporary license and receipt by the Division of a new application that contains a certificate of acceptance that the resident will be accepted or appointed to a specialty/residency position and the temporary license fee.

e) The holder of a Temporary Training License may only perform such acts as may be prescribed and incidental to the training in the designated facility and may not engage in the practice of dentistry in Illinois.

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.157 Temporary Permit for Free Dental Care

a) A person seeking a Temporary Permit for Free Dental Care pursuant to Section 19.2 of the Act shall file an application on forms provided by the Division, that includes:

1. Certification of licensure in the original jurisdiction and from any jurisdiction where the applicant has been practicing for at least one year, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license; and

B) Whether the files of the jurisdiction contain any record of any disciplinary action taken or pending;

2. Certification of graduation from a course of instruction in a dental school that meets the minimum education standards of the Division specified in Section 1220.140;

3. Certification of licensure in another jurisdiction in which the applicant is currently licensed, stating, if applicable:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

B) A description of the licensure examination in that jurisdiction; and

C) Whether the file on the applicant contains a record of any disciplinary actions taken or pending;

4. Certification of a collaborative agreement with an Illinois licensed dentist, including the name and license number of the Illinois licensed collaborating dentist;

5. Certification of formal invitation to perform dental care by a charitable organization or a formal invitation to study or receive training on specific dental or clinical subjects or techniques by a licensed CE sponsor approved by the Department; and

6. The fee as required under Section 1220.415.

b) A continuing education sponsor seeking a license to provide live patient continuing education clinical training courses pursuant to Section 19.2(a-5) of the Act shall file an application on forms provided by the Division, that includes:

1. Proof of a valid Illinois CE Sponsor License in good standing;

2. Proof that the continuing education course provides services, without compensation, that will improve the welfare of Illinois residents who are eligible for Medicaid or who are uninsured and whose household income is not greater than 200% of the federal poverty level;

3. A plan of follow-up care and training models;

4. Any and all documentation to be signed by the patients, including but not limited to waivers, consent forms, and releases;

5. Information related to the facilities being utilized, staffing plans, and emergency plans;

6. The process by which patients will be contacted before, during, and after treatment;

7. The intended population that will be receiving treatment in the specific continuing education course;

8. Proof of valid malpractice insurance for the approved continuing education sponsor that extends coverage to clinical staff, trainees, and out-of-state permit holders;

9. A valid written collaborative agreement between the temporary visiting dentists holding a permit pursuant to Section 19.2 of the Act and the Illinois licensed dentist co-treating patients under this Section; and

10. A fee as required under 1220.415.

c) The written collaborative agreement shall be made available upon request. The application to the Department shall include the name and Illinois license number of the collaborating dentist, as well as the name, license number, and licensure jurisdiction of the visiting dentist. The Department may disapprove a collaborating dentist if the Department believes a collaborating dentist is not appropriate based on previous disciplinary history or inability to properly serve as a collaborating dentist.

d) The Temporary Training License will be valid for no longer than 5 consecutive clinical days within 6 months from the date of issuance and may be restored no more than one time within 5 years of the initial license’s issuance.

History

• Source: Added at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.160 Restoration

a) A licensee seeking restoration of a dental license after it has expired or has been placed on inactive status for less than 5 years shall have the license restored by submitting proof of 48 hours of continuing education in accordance with Section 1220.440 completed within 3 years prior to the restoration application and payment of $20 plus all lapsed renewal fees. Individuals restoring a license from inactive status shall only be required to pay the current renewal fee.

b) A licensee seeking restoration of a dental license after it has expired or has been placed on inactive status for 5 years or more shall file an application, on forms supplied by the Division, together with proof of 48 hours of CE in accordance with Section 1220.440 completed within 3 years prior to the restoration application and the fees required by Section 21 of the Act. Individuals restoring a license from inactive status shall only be required to pay the current renewal fee.

1. The licensee shall also submit either:

A) Certification of lawful active practice in another jurisdiction for 3 of the last 5 years. That certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice; or

B) An affidavit attesting to military service as provided in Section 16 of the Act. If an applicant applies for restoration of a license within 2 years after termination of military service, the applicant shall have the license restored without paying any lapsed renewal or restoration fees.

2. A current certification in BLS by an organization that has adopted the American Heart Association's or American Red Cross' guidelines on BLS or a statement provided by the dentist's licensed physician indicating that the applicant is physically disabled and unable to obtain certification.

c) If neither subsection (b)(1) or (b)(2) applies to the licensee, then the licensee shall be required to take and pass an examination set forth in Section 1220.120.

d) A licensee who has been granted restoration, whose license has not been active for less than 5 years due to discipline, and whose license expired during the period of discipline, must comply with the requirements of subsection (a). If the licensee has not had an active license for 5 years or more due to discipline, the licensee must pass an examination set forth in Section 1220.120 or shall be required to complete such additional testing, training, or remedial education as the Board may deem necessary in order to establish the licensee’s present capacity to practice dentistry with reasonable judgment, skill, and safety.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.170 Renewal

a) Beginning with the September 30, 2006 renewal, every dental license issued under the Act shall expire on September 30 every 3 years. The holder of a license may renew the license during the month preceding the expiration date thereof by paying the fee required in Section 21 of the Act and certifying to fulfillment of 48 hours of continuing education pursuant to Section 1220.440.

b) A renewal applicant must provide proof of current certification in BLS by an organization that has adopted the American Heart Association's or American Red Cross' guidelines on BLS or a statement provided by the dentist's licensed physician indicating that the applicant is physically disabled and unable to obtain certification;

c) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

d) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 23 of the Act.

History

• Source: Amended at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.200 Application for Licensure

An applicant for licensure as a dental hygienist shall file an application, on forms supplied by the Division, that shall include:

a) Certification of successful completion of 2 academic years of credit from a dental hygiene program approved by the Commission on Dental Accreditation of the American Dental Association;

b) Proof that the applicant has passed the National Dental Hygienist Board Examination, with a passing score as established by the testing entity given by JCNDE and has been issued a National Board Certificate, mailed to the Division by the JCNDF;

c) Proof of successful completion of an examination pursuant to Section 1220.220(a) received directly from the testing entity;

d) A current certification in BLS from the American Red Cross, the American Heart Association, or the American Safety and Health Institute or a statement from a licensed physician indicating that the applicant is physically disabled and unable to obtain certification;

e) Certification, on forms provided by the Division, from the state in which an applicant was originally licensed and is currently licensed, if applicable, stating:

1. The time during which the applicant was licensed in that state, including the date of the original issuance of the license; and

2. Whether the file on the applicant contains any record of disciplinary actions taken or pending;

f) The required fee set forth in Section 1220.415(a)(3).

History

• Source: Amended at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.210 Application for Examination (repealed)

History

• Source: Repealed at 26 Ill. Reg. 18286, effective December 13, 2002

68 Ill. Adm. Code 1220.220 Dental Hygiene Examination

a) The Division shall accept the following examinations for licensure if administered and passed in their entirety:

1. CDCA-WREB-CITA Examination, with a passing score established by the testing entity;

2. CRDTS Examination, with a passing score established by the testing entity; or

3. SRTA Examination, with a passing score established by the testing entity.

b) Retake requirements shall be that of the testing entity.

c) The applicant shall have examination scores submitted to the Division directly from the reporting entity.

d) The Division will only accept examinations that have been completed in the 5 years prior to submission of the application, if never licensed in another jurisdiction.

History

• Source: Amended at 48 Ill. Reg. 14138, effective September 10, 2024

68 Ill. Adm. Code 1220.230 System of Grading (repealed)

History

• Source: Repealed at 19 Ill. Reg. 6606, effective May 2, 1995

68 Ill. Adm. Code 1220.231 System of Retaking the Clinical Examination (repealed)

History

• Source: Repealed at 26 Ill. Reg. 18286, effective December 13, 2002

68 Ill. Adm. Code 1220.240 Prescribed Duties of Dental Hygienists

a) Dental hygienists may perform the operative procedure of dental hygiene, consisting of oral prophylaxis procedures.

b) Dental hygienists may perform dental health education functions and may record case histories and oral conditions observed.

c) Dental hygienists may perform all procedures that may be performed by an appropriately trained dental assistant.

d) Dental hygienists shall not perform those procedures that constitute the practice of dentistry as described in the Act. Hygienists may not perform procedures that require the professional judgment and skill of a dentist. Such prohibited procedures include, but shall not be limited to, the following:

1. Making denture adjustments.

2. Placing and finishing composite restorations.

3. Taking final impressions for the fabrication of prosthetic appliances, crowns, bridges, inlays, onlays or other restorative or replacement dentistry.

4. Permanently cementing permanent crowns or bridges.

5. Permanently re-cementing permanent crowns or bridges that have come loose.

6. Inter-oral use of a high-speed hand piece.

7. Use of a laser to remove tissue.

8. Placement or removal of implant prosthetic components and prostheses, including but not limited to the placement or removal of healing abutments, implant supported provisionals, components used in final impression procedures, and final prostheses, which include abutment, crowns, fixed and fixed detachable prostheses and fixed detachable prostheses during recare appointments.

e) Dental hygienists may administer and monitor nitrous oxide under the following conditions:

1. The dental hygienist functions under the supervision of the dentist who must remain in the facility;

2. The dental hygienist may administer (start the flow of) nitrous oxide to the patient and control the induction of the gas, so that the patient is at a level of analgesia not anesthesia;

3. The dental hygienist may remove the patient from nitrous oxide when the hygiene procedures have been completed;

4. Proof of Completion

A) The dental hygienist is responsible for obtaining proof of certification, validating completion of a 12 hour course relative to nitrous oxide analgesia and submitting certification to the dentist of valid completion of the required course. The course shall have been completed no earlier than December 31, 1994.

B) A dental hygienist who completed the 12 hour course shall complete an additional 2 hour course in nitrous oxide analgesia administration. The course shall be completed by September 30, 2011. A dental hygienist who has not completed the 12 hour course shall complete an approved course of 14 hours relative to the administration and monitoring of nitrous oxide analgesia and submit certification of successful completion to the dentist. The course shall have been completed no earlier than January 1, 1998.

C) An individual who graduated from an approved dental hygiene program after January 1, 1998 that contained nitrous oxide analgesia administration and monitoring in the curriculum shall not be required to complete the 14 hour course upon proof to the dentist of the required curriculum.

D) A dental hygienist who has not completed the 12 or 14 hour course shall complete an approved 6 hour course relative to the administration and monitoring of nitrous oxide analgesia and submit certification of successful completion to the dentist.

E) Proof of nitrous oxide analgesia education shall be made available to the Division upon request. The required hours shall include both didactic and clinical components and be given by a continuing education sponsor approved pursuant to Section 1220.440 or a dental hygiene program approved by the Division pursuant to Section 1220.250;

5. The dental hygienist must maintain BLS certification or its equivalent, which will be in addition to the required courses. Certification or its equivalent shall be completed by September 30, 2011.

f) Dental hygienists may assist in the provision of moderate sedation (conscious sedation), deep sedation, and general anesthesia, as defined in Section 1220.500, under the following conditions:

1. The dental hygienist functions under the supervision of the dentist who must remain in the facility. When the hygienist is the treatment provider while the patient is under moderate sedation (conscious sedation), deep sedation, or general anesthesia, the anesthesia permit holder must remain in the treatment room;

2. The dental hygienist is responsible for obtaining proof of certification validating completion of a course or courses totaling 12 hours or more, including 6 hours of didactic education and 6 hours of clinical training. The didactic education may be completed online, and online instruction may be used to guide the hands-on clinical training.

A) The didactic course work shall include the areas of anatomy, physiology, pharmacology, monitoring, including nitrous oxide monitoring, and emergency procedures with an emphasis on airway management.

B) The clinical components may be conducted by the CE sponsor approved pursuant to Section 1220.440, a dental hygiene program approved by the Division pursuant to Section 1220.250 or a licensed dentist having a permit A or B who employs the dental hygienist.

i) The courses described in this subsection (f)(2)(B) must be approved by the Division prior to initial offering. Dental hygienists who completed a 12 hour course that met course requirements in place for monitoring sedation prior to adoption of the current rules will not be required to recertify. Proof shall be provided to the Division upon request.

ii) If the clinical training is delivered by the supervising dentist, that dentist must attest, in writing, to the CE sponsor that the training has been completed. This attestation must be received by the CE sponsor in order for the sponsor to issue a certification of course completion. The supervising dentist must attest that the dental hygienist has been thoroughly trained and has demonstrated in-office proficiency in the skills required by this subsection (f)(2)(B)(ii). The dentist's attestation, signed by both the dentist and the dental hygienist, shall be maintained by the dentist. The copy sent to the CE sponsor shall be maintained by that sponsor as part of the official course record.

iii) The clinical component must include practical training on airway management. Other skills that must be demonstrated include manual blood pressure and pulse determination, operation of supplemental oxygen equipment, monitoring operations, including EKG, pulse oximeter and capnograph, and completion of the anesthesia record.

3. If the dental hygienist has complied with the provisions set forth in subsection (e)(4), the dental hygienist may complete an additional course or courses totaling 6 hours or more on advanced airway management and monitoring equipment in lieu of the 12 hour course required by subsection (f)(2). The course must comply with the elements set forth in subsection (f)(2), other than coursework related only to administration and monitoring of nitrous oxide. The courses described in this subsection (f)(3) must be approved by the Division prior to their initial offering. Proof of course completion shall be made available to the Division upon request;

4. The dental hygienist must maintain BLS certification or its equivalent, which will be in addition to the required courses.

g) Dental hygienists may administer local anesthetics under the following conditions:

1. The dental hygienist functions under the supervision of the dentist who remains in the facility.

2. The dental hygienist is responsible for obtaining proof of certification, indicating successful completion of a 32 hour course that contains 24 hours of lecture and 8 hours of clinical training relative to the administration of local anesthetics and submitting certification to the dentist. An individual who graduated from an approved dental hygiene program after January 1, 1999 that contained administration of local anesthetics in the curriculum shall not be required to complete the 32 hour course upon proof to the dentist of the required curriculum. Proof of completion of education shall be made available to the Division upon request. The required hours shall include both didactic and clinical components and be given by a continuing education sponsor approved pursuant to Section 1220.440 or a dental or a dental hygiene program approved by the Division pursuant to Section 1220.250. The course shall contain at a minimum the following topics:

A) Patient preevaluation, which includes dental and medical health history (e.g., drug interactions/anxiety/pain and a physical evaluation);

B) Pharmacology (e.g., drugs/types, vasoconstrictors, dosages, toxicity);

C) Recordkeeping;

D) Anatomy/Neuroanatomy/Physiology;

E) Armamentarium;

F) Techniques that include adjunctive use of topical anesthetics, mandibular block and infiltration;

G) Complications;

H) Post-operative instructions; and

I) Clinical experience that includes combining techniques for quadrant anesthesia and practical use of different techniques in all areas of oral cavity.

3. A dental hygienist who was licensed in another state and was authorized to administer local anesthesia in that jurisdiction will not be required to complete an additional course. Proof shall be submitted to the dentist and shall be made available to the Division upon request.

h) Dental hygienists may place, carve and finish amalgam restorations under the following conditions:

1. The dental hygienist functions under the direct supervision of a dentist who remains in the facility and examines the work done by the hygienist prior to the dismissal of the patient.

2. The dental hygienist is responsible for obtaining proof of certification, indicating successful completion of a 40 hour course, pre-approved by the Board, that contains lecture, laboratory and manikin training relative to the placing, carving and finishing of amalgam restorations and submitting certification to the dentist. Proof of completion of education shall be made available to the Division upon request. The required hours shall include both didactic and clinical components and be given by a continuing education sponsor approved by the Division and taught in an institution that is CODA approved, such as a dental school, hygiene program or assistant program. The course shall contain, at a minimum, the following preclinical, didactic and clinical instruction:

A) nomenclature;

B) caries classification;

C) oral anatomy;

D) dental morphology;

E) periodontium;

F) histology;

G) basic occlusion;

H) ergonomics;

I) instrumentation;

J) pulp protection liners and bases;

K) dental materials;

L) the medical history conditions and their implication for dental treatment and office emergencies;

M) matrix and wedge techniques;

N) amalgam placement and carving;

O) polishing amalgams;

P) rubber dam clamp placement;

Q) rubber dam placement and removal;

R) amalgam class I, II, IV and V. Class II cannot involve cusp replacement or pins.

3. Pass a pre-examination on basic dental procedures and techniques, as well as the basic fundamentals of dentistry.

4. Pass DANB's AMP Exam, IS Exam and RF Exam or equivalent exams administered by DANB or DANB's successor organization, or pass another written and clinical exam that is psychometrically sound and approved by the Board.

5. A supervising dentist must attend a required orientation class with the applicant and sign an agreement that he or she will follow the required guidelines regarding supervision and clinical application of specific techniques being taught.

i) The licensed dentist need not be present in the facility for a dental hygienist to perform the procedures set forth in this Section (except for the administration and monitoring of nitrous oxide, minimal sedation, assisting in the provision of moderate sedation (conscious sedation), deep sedation, and general anesthesia, as defined in Section 1220.500, and the administration of injectable local anesthetics, which must be done under the direct supervision of a dentist as outlined in subsection (e)(1)) on persons who reside in a long-term care facility licensed by the State of Illinois or a mental health or developmental disability facility operated by the Department of Human Services hospital or other similar institution and are unable to travel to a dental office because of illness or infirmity. The dentist shall personally examine and diagnose the patient and determine which services are necessary to be performed, which shall be contained in a written order to the hygienist. The order must be implemented within 90 days after its issuance and an updated medical history and oral inspection must be performed by the hygienist immediately prior to beginning the procedures to ensure that the patient's health has not changed in any manner to warrant a re-examination by the dentist.

j) All intraoral procedures performed by a dental hygienist, except those provided for in subsections (b), (h) and (i), must be examined by the supervising dentist prior to the dismissal of the patient from the facility that day.

History

• Source: Amended at 40 Ill. Reg. 12553, effective September 2, 2016

68 Ill. Adm. Code 1220.245 Prescribed Duties of Dental Assistants

a) "Dental Assistant" means an appropriately trained person who, under the supervision of a dentist, provides dental services or procedures as authorized by Section 17 of the Act or as prescribed by this Part. "Appropriately trained" means a person who:

1. Has completed formal training as a condition for administering a specific service or procedure as required by the Act or this Part; and

2. Is considered, for all other authorized or prescribed services or procedures, by the supervising dentist to be competent to render such service or procedure as a result of on-the-job training.

b) Provided that a dental assistant is appropriately trained pursuant to this Section and is acting under the supervision and full responsibility of a dentist, a dental assistant may perform any dental service or procedure except the following:

1. Any and all diagnosis of or prescription for treatment of disease, pain, deformity, deficiency, injury or physical condition of the human teeth or jaws, or adjacent structures.

2. Removal of, restoration of, or addition to the hard or soft tissues of the oral cavity. For purposes of this Section, coronal polishing and acid etching of a tooth surface are not considered removal of hard or soft tissues.

3. Any and all correction of malformation of teeth or of the jaws.

4. Administration of anesthetics, except for monitoring of nitrous oxide, conscious sedation, deep sedation and general anesthetic, as provided in Section 8.1 of the Act.

5. Removal of calculus from teeth.

6. Taking of final impressions for the fabricating of prosthetic appliances, crowns, bridges, inlays, onlays, or other restorative or replacement dentistry.

7. The operative procedure of dental hygiene consisting of oral prophylactic procedures except for coronal polishing as specified in this Section.

8. Making denture adjustments.

9. Placing and finishing composite restorations.

10. Permanently cementing permanent crowns or bridges.

11. Permanently re-cementing permanent crowns or bridges that have come loose.

12. Placement of any chemotherapeutic agent for the management of periodontal disease.

13. Applying cavity bases.

14. Cementing bands and/or bonding brackets.

15. Performing supragingival or subgingival scaling.

16. Performing pulp vitality tests.

17. Inter-oral use of a high-speed hand piece.

18. Use of a laser to remove tissue.

19. Placement or removal of implant prosthetic components and prostheses, including but not limited to the placement or removal of healing abutments, implant supported provisionals, components used in final impression procedures, and final prostheses, which include abutment, crowns, fixed and fixed detachable prostheses and fixed detachable prostheses during recare appointments.

c) A dental assistant, who is at least 18 years of age and has 1000 hours of clinical dental assisting experience or has graduated from a dental assistant program accredited by the CODA or is a currently certified dental assistant as designated by DANB may perform the following services and procedures, but only under the following terms and conditions:

1. Monitoring nitrous oxide, provided:

A) The dental assistant has completed an approved course of 12 hours relative to nitrous oxide analgesia and has submitted certification to the dentist of valid completion of the course. The course shall have been completed no earlier than January 1, 1998 nor later than June 1, 2014.

i) A dental assistant who has not completed the 12 hour course shall complete an approved course or courses totaling 6 hours or more relative to monitoring nitrous oxide analgesia and submit certification of successful completion to the dentist.

ii) Proof shall be made available to the Division upon request.

iii) The required hours shall include both didactic and clinical components and have been designed by an educational institution such as a dental school, dental hygiene or dental assistant program or by an approved CE sponsor. The course shall include areas of anatomy, physiology, monitoring, pharmacology and emergency procedures with an emphasis on airway management. Courses being offered by approved CE sponsors, as provided for in Section 1220.440(b)(2)(N) must be preapproved by the Division prior to their initial offering and must meet the requirements set forth in this subsection (c)(1);

B) The dental assistant is functioning under the supervision of the dentist who must remain in the facility;

C) Only a dentist or dental hygienist qualified pursuant to Section 1220.240(e) shall administer (start the flow of) nitrous oxide to the patient and control the induction of the gas so that the patient is at a level of analgesia, not anesthesia;

D) Only a dentist or dental hygienist qualified pursuant to Section 1220.240(e) shall remove the patient from nitrous oxide when the dentist or dental hygienist has completed the procedures on the patient;

E) If the dental assistant has completed a monitoring course or courses totaling 12 hours or more provided by AAOMS or a similar course preapproved by the Division, the dental assistant need not complete the course hours required in subsection (c)(1)(A). The course shall have been completed no earlier than December 31, 2002. Proof shall be made available to the Division upon request;

F) The dental assistant maintains BLS certification or its equivalent, which will be in addition to the required courses.

2. Monitoring minimal sedation, moderate sedation (conscious sedation), deep sedation, or general anesthesia, as defined in Section 1220.500, provided:

A) The dental assistant is responsible for obtaining proof of certification validating completion of a course or courses totaling 12 hours or more, including 6 hours of didactic education and 6 hours of clinical training.

i) The didactic education may be completed online, and online instruction may be used to guide the hands-on clinical training. The didactic course work shall include the areas of anatomy, physiology, pharmacology, monitoring, including nitrous oxide monitoring, and emergency procedures with an emphasis on airway management.

ii) The clinical components may be conducted by the CE sponsor approved pursuant to Section 1220.440, a dental hygiene program approved by the Division pursuant to Section 1220.250 or a licensed dentist having a permit A or B who employs the dental assistant.

• The courses described in this subsection (c)(2)(A) must be approved by the Division prior to initial offering. Dental assistants who completed a 12 hour course that met course requirements in place for monitoring sedation prior to adoption of the current rules will not be required to recertify. Proof shall be provided to the Division upon request.

• If the clinical training is delivered by the supervising dentist, that dentist must attest, in writing, to the CE sponsor that the training has been completed. This attestation must be received by the CE sponsor in order for the sponsor to issue a certification of course completion. The supervising dentist must attest that the dental assistant has been thoroughly trained and has demonstrated in-office proficiency in the skills required by this subsection (c)(2)(A)(ii). The dentist's attestation, signed by both the dentist and the dental assistant, shall be maintained by the dentist. The copy sent to the CE sponsor shall be maintained by the sponsor as part of the official course record.

• The clinical component must include practical training on airway management. Other skills that must be demonstrated include manual blood pressure and pulse determination, operation of supplemental oxygen equipment, monitoring operations, including EKG, pulse oximeter and capnograph, and completion of the anethesia record.

B) If the dental assistant has complied with the provisions set forth in subsection (c)(1)(A), the dental assistant shall complete an additional 6 hour course on advanced airway management and monitoring equipment in lieu of the 12 hour course required in subsection (c)(2)(A). The courses must comply with the elements set forth in subsection (c)(2)(A) other than coursework related only to monitoring of nitrous oxide. The courses described in this subsection (c)(2)(B) must be approved by the Division prior to their initial offering. Proof shall be made available to the Division upon request.

C) If the dental assistant has completed a monitoring course or courses totaling 12 hours or more provided by AAOMS or a similar course or courses pre-approved by the Division, the dental assistant need not complete the course hours required in subsection (c)(2)(A). The course shall have been completed no earlier than December 31, 2002. Proof shall be made available to the Division upon request.

D) The dental assistant is functioning under the supervision of the dentist who must remain in the facility.

E) The dental assistant maintains BLS certification or its equivalent, which will be in addition to the required courses.

3. Coronal polishing, provided:

A) The dental assistant has completed an approved course of 6 hours relative to coronal polishing and has submitted certification of successful completion to the dentist. The course shall have been completed no earlier than January 1, 1998. Proof shall be made available to the Division upon request. The required hours shall include a minimum of 4 hours of didactic study in areas of anatomy, physiology, pharmacology and dental emergencies and 2 hours of clinical instruction and have been provided by an educational institution such as a dental school, dental hygiene or dental assistant program or by an approved CE sponsor. Courses being offered by CE sponsors approved pursuant to Section 1220.440(b)(2)(N) must be pre-approved by the Division prior to their initial offering and must meet the requirements set forth in this subsection (c)(3). The assistant must pass an examination in the didactic portion of the course and the clinical portion must contain experience on human subjects;

B) Coronal polishing is limited to polishing the clinical crown of the tooth and existing restoration, supragingivally;

C) Coronal polishing is limited to the use of slow speed rotary instruments using a rubber cup and/or brush polishing method. The use of air polish by dental assistants is not permitted; and

D) A dentist shall be limited to supervising 4 dental assistants at any one time for the task of coronal polishing.

4. Pit and fissure sealant application, provided:

A) The dental assistant has completed a course of at least 2 hours of didactic study and 2 hours of clinical instruction;

B) Prior to being permitted to place sealants in accord with this Section, the supervising dentist has personally observed the dental assistant successfully placing 6 pit and fissure sealants;

C) The supervising dentist documents that the training has been completed; and

D) The supervising dentist is responsible for examining the patient prior to and following the placement of sealants by a dental assistant.

5. Placing, carving and finishing amalgam restorations, provided:

A) The dental assistant functions under the direct supervision of the dentist who remains in the facility and examines the work done by the assistant prior to the dismissal of the patient.

B) The dental assistant is at least 18 years of age and can show proof that he or she is a DANB Certified Dental Assistant or has been employed as a dental assistant with a minimum of 2 years continuous hands-on experience (4,000 hours).

C) The dental assistant is responsible for obtaining proof of certification, indicating successful completion of a 40 hour course that contains lecture, laboratory and manikin training relative to the placing, carving and finishing of amalgam restorations and submitting certification to the dentist. Proof of completion of education shall be made available to the Division upon request. The required hours shall include both didactic and clinical components and be given by a continuing education sponsor approved by the Division and taught in an institution that is CODA approved, such as a dental school, hygiene program or assistant program. The course shall contain, at a minimum, the following preclinical, didactic and clinical instruction:

i) nomenclature;

ii) caries classification;

iii) oral anatomy;

iv) dental morphology;

v) periodontium;

vi) histology;

vii) basic occlusion;

viii) ergonomics;

ix) instrumentation;

x) pulp protection liners and bases;

xi) dental materials;

xii) the medical history and conditions and their implication for dental treatment and office emergencies;

xiii) matrix and wedge techniques;

xiv) amalgam placement and carving;

xv) polishing amalgams;

xvi) rubber dam clamp placement;

xvii) rubber dam placement and removal;

xviii) amalgam class I, II, IV and V. Class II cannot involve cusp replacement or pins.

D) All applicants must take and pass a pre-examination on basic dental procedures and techniques, as well as the basic fundamentals of dentistry.

E) All applicants must pass DANB's AMP Exam, IS Exam, and RF Exam or equivalent exams administered by DANB or DANB's successor organization, or pass another written and clinical exam that is psychometrically sound and approved by the Board.

F) All applicants must maintain proof of BLS certification.

G) As a condition of acceptance into the program, a supervising dentist must attend a required orientation class with the applicant and sign an agreement that he or she will follow the required guidelines regarding supervision and clinical application of specific techniques being taught between scheduled classes.

d) An individual who graduated from an approved dental assisting program after January 1, 1999 that contained monitoring of nitrous oxide, coronal polishing, and sealant application in the curriculum shall not be required to complete an additional course or courses in these areas as prescribed in this Section upon proof to the dentist of having successfully completed the required curriculum.

e) All intraoral procedures performed by a dental assistant must be examined by the supervising dentist prior to the dismissal of the patient from the facility that day.

History

• Source: Amended at 40 Ill. Reg. 12553, effective September 2, 2016

68 Ill. Adm. Code 1220.250 Approved Programs of Dental Hygiene

Approved dental hygiene programs are those programs accredited by the Commission on Dental Accreditation of the American Dental Association.

History

• Source: Amended at 26 Ill. Reg. 18286, effective December 13, 2002

68 Ill. Adm. Code 1220.260 Restoration

a) A licensee seeking restoration of a dental hygienist license after it has expired or been placed on inactive status for less than 5 years shall have the license restored by submitting proof of 36 hours of continuing education pursuant to Section 1220.440 within 3 years prior to application for restoration, proof of certification in BLS by an organization that has adopted the American Heart Association's or American Red Cross' guidelines on BLS or a statement from a licensed physician indicating that the applicant is physically disabled and unable to obtain certification and payment of the fees required by Section 1220.415. Individuals restoring a license from inactive status shall only be required to pay the current renewal fee.

b) A licensee seeking restoration of a dental hygienist license after it has expired or been placed on inactive status for 5 years or more shall file an application, on forms supplied by the Division, together with the fees required by Section 1220.415, proof of 36 hours of continuing education pursuant to Section 1220.440 within 3 years prior to application for restoration and proof of certification in BLS by an organization that has adopted the American Heart Association's or American Red Cross' guidelines on BLS or a statement from a licensed physician indicating that the applicant is physically disabled and unable to obtain certification. Individuals restoring a license from inactive status shall only be required to pay the current renewal fee. The licensee shall also submit either:

1. Certification of lawful active practice in another jurisdiction for at least 3 of the last 5 years. The certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 16 of the Act. If an applicant applies for restoration of a license within 2 years after termination of the service, the applicant shall have the license restored without paying any lapsed renewal or restoration fees.

c) If neither subsection (b)(1) or (b)(2) applies to the licensee, then the licensee shall be required to take and pass the clinical examination as provided in Section 1220.220.

d) A licensee who has been granted restoration, whose license has not been active for less than 5 years due to discipline, and whose license expired during the period of discipline, must comply with the requirements of subsection (a). If the licensee has not had an active license for 5 years or more due to discipline, the licensee must pass an examination set forth in Section 1220.220 or shall be required to complete such additional testing, training, or remedial education as the Board may deem necessary in order to establish the licensee’s present capacity to practice dental hygiene with reasonable judgment, skill and safety.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.270 Renewal

a) Beginning with the September 30, 2006 renewal, every dental hygienist license issued under the Act shall expire on September 30 every 3 years. The holder of a license may renew the license during the month preceding the expiration date by:

1. certifying on the application to completion of 36 hours of continuing education pursuant to Section 1220.440;

2. certifying to current certification in Basic Life Support for Healthcare Providers or its equivalent or a statement from a licensed physician indicating that the applicant is physically disabled and unable to obtain certification; and

3. submitting the fee required in Section 1220.415.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 23 of the Act.

History

• Source: Amended at 34 Ill. Reg. 7205, effective May 5, 2010

68 Ill. Adm. Code 1220.310 Applications

a) An applicant for licensure as a dental specialist must be currently licensed as a dentist in Illinois and must file an application. The application shall include the following:

1. Certification of completion of dental specialty training in accordance with subsection (b);

2. The fee required in Section 1220.415(a)(2).

b) To qualify for licensure as a specialist in endodontics, pediatric dentistry, prosthodontics, oral and maxillofacial radiology, or orthodontics and dentofacial orthopedics, the applicant must submit, in addition to the requirements of subsection (a), records, certified by the director of the program, showing that the applicant has successfully completed a course of study of not less than 2 academic years in a program approved by the Division in the dental specialty he or she proposes to practice.

c) To further qualify for licensure as a specialist in oral and maxillofacial surgery, the applicant must submit, in addition to the requirements of subsection (a), the following:

1. The oral and maxillofacial surgery application must contain evidence that the applicant has successfully completed a 4-year (48 months) period of training in oral and maxillofacial surgery in a school and/or hospital approved by the Division. A minimum of 30 months shall be in clinical oral and maxillofacial surgery. The schedule shall include 24 months of full-time hospital training in an acceptable oral and maxillofacial surgery residency program. Not less than 4 months of this period must be devoted to training in anesthesiology.

2. Certified records are required from the Dean of the dental school or the head of the Oral and Maxillofacial Surgery Department of the hospital or clinic in which the oral and maxillofacial surgery training took place. The records must attest to the individual's successful completion of the program.

d) To further qualify for licensure as a specialist in dental anesthesiology, the applicant must submit, in addition to the requirements of subsection (a), the following:

1. The dental anesthesiology application must contain evidence that the applicant has successfully completed a 3-year (36 months) period of training in a CODA accredited dental anesthesiology program. An applicant who completed a dental anesthesiology program prior to July 1, 2018, must submit an application containing evidence of a two-year dental anesthesiology residency program. An applicant who completed a dental anesthesiology program prior to July 1, 1993, must submit an application containing evidence of completion of a one-year dental anesthesiology residency program.

2. Certified records are required from the Program Director of the associated residency training program in which the dental anesthesiology training took place. The records must attest to the individual's successful completion of the program.

e) After July 1, 1994, periodontic specialty programs shall be 3 consecutive academic years with a minimum of 30 months of instruction. At least 2 consecutive years of clinical education must take place in a single educational setting. Applicants who completed periodontic specialty training prior to July 1, 1994, shall have successfully completed a course of study of not less than 2 academic years in a program approved by the Division.

f) The Division shall accept those specialty education providers accredited, at the time the education was obtained, by CODA.

History

• Source: Amended at 48 Ill. Reg. 14138, effective September 10, 2024

68 Ill. Adm. Code 1220.320 Examination (repealed)

History

• Source: Repealed at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.330 System of Grading (repealed)

History

• Source: Repealed at 19 Ill. Reg. 6606, effective May 2, 1995

68 Ill. Adm. Code 1220.335 American Board Diplomates (repealed)

History

• Source: Repealed at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.340 Specialty Listing (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4191, effective March 16, 1989

68 Ill. Adm. Code 1220.350 Restoration

a) A licensee seeking restoration of a specialty license after it has expired for less than 5 years shall have the license restored upon payment of $20 plus all lapsed renewal fees. Individuals restoring a license from inactive status shall not be required to pay lapsed renewal fees. In order to restore a specialty license the applicant shall have an active dental license.

b) A licensee seeking restoration of a license after it has expired or been placed on inactive status for 5 years or more shall file an application, on forms supplied by the Division, together with the fees required by Section 21 of the Act. Individuals reactivating a license from inactive status shall only be required to pay the current renewal fee. The registrant shall also submit either:

1. Certification of lawful active practice in another jurisdiction for 3 of the last 5 years. That certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 16 of the Act. If an applicant applies for restoration of their license within 2 years of termination of such service, the applicant shall have their license restored without paying any lapsed renewal or restoration fees.

c) If the licensee has not maintained an active practice in another jurisdiction for over 5 years, the licensee shall be required to complete such additional testing, training or remedial education as the Board may deem necessary in order to establish the licensee's present capacity to practice a specialty with reasonable judgment, skill and safety.

d) A licensee who has been granted restoration, whose license has not been active for less than 5 years due to discipline, and whose license expired during the period of discipline, must comply with the requirements of subsection (a). If the licensee has not had an active license for 5 years or more due to discipline, the licensee must show proof of training set forth in Section 1220.310 or shall be required to complete additional testing, training, or remedial education as the Board may deem necessary in order to establish the licensee’s present capacity to practice dentistry with reasonable judgment, skill and safety.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.360 Renewal

a) Beginning with the September 30, 2006 renewal, every dental specialty license issued under the Act shall expire on September 30 every 3 years. The holder of a license may renew the license during the month preceding the expiration date thereof by paying the required fee in Section 21 of the Act.

b) No specialty license shall be renewed if the dental license is expired, revoked, suspended or otherwise subject to discipline under Section 23 of the Act.

c) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.380 Definitions

"Act" means the Illinois Dental Practice Act.

"Board" means the State Board of Dentistry.

"Dentistry" means the evaluation, diagnosis, prevention and/or treatment (nonsurgical or surgical), or related procedures of diseases, disorders and/or conditions of the oral cavity, maxillofacial area and/or the adjacent and associated structures and their impact on the human body provided by a dentist, within the scope of his/her education, training and experience in accordance with the ethics of the profession and applicable laws.

"Department" means the Illinois Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.400 Reportable Diseases and Conditions

Whenever a dentist or dental hygienist becomes aware that a patient has or may have a contagious, infectious and communicable disease that is dangerous to the public health, such information shall be reported to the Illinios Department of Public Health in accordance with the rules of the Department of Public Health (77 Ill. Adm. Code 690). Whenever a dentist or dental hygienist continues the active practice of dentistry or dental hygiene while knowingly having an infectious, communicable, or contagious disease as defined in 77 Ill. Adm. Code 690, he or she may be subject to disciplinary action by the Division.

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.403 Dentists Administering Flu Vaccines

A licensed dentist seeking to administer influenza (inactivated influenza vaccine and live attenuated influenza intranasal vaccine) shall be required to complete an additional training course and must comply with all provisions in this Section and Section 54.3 of the Act.

a) Vaccinations shall be limited to patients 18 years of age and older who consent to administration of the vaccine and shall be administered pursuant to a valid prescription or standing order by a physician who, in the course of professional practice, administers vaccines to patients.

b) Prior to being administered a vaccine, those receiving immunizations shall be provided with the relevant vaccine information statements (VIS) that are required to be disseminated by federal law, which may contain information on circumstances in which a vaccine should not be administered.

c) The additional training course shall be given by continuing education providers approved pursuant to Section 1220.440(b)(2).

d) Any course must contain, at a minimum, four hours of training and include:

1. The recognition of contraindications, as well as how to handle adverse reactions;

2. The appropriate methods of storage, handling and disposal of vaccines and all used supplies or contaminated equipment; and

3. Proper administration and maintenance of written policies and procedures that are required by this Section.

e) Reporting Requirements

1. Any adverse events are required to be reported to the Vaccine Adverse Events Reporting System (VAERS) and to the primary care provider named by the patient.

2. Any dentist who administers the influenza vaccine shall enter all patient level data on the vaccines in the immunization data registry (I-Care) maintained by the Department of Public Health.

3. Within 30 days after administration of a vaccine, the dentist must report to the patient's primary care provider that the vaccine has been administered.

4. Additional information, including precautions and contraindications for vaccination, is available from CDC's Vaccines and Immunization online site or by telephone at 800-CDC-INFO or (800-232-4636).

f) Patient records must include:

1. The date of administration and site of injection of the vaccine;

2. The name, dose, manufacturer, lot number and beyond use date of the vaccine;

3. The name and address of the patient's primary health care provider named by the patient;

4. A notation that the patient was presented with the appropriate vaccine information statement (VIS) prior to the administration of each vaccine; and

5. Any adverse event that followed vaccination.

g) Certification of completion of the required course on the administration of the influenza vaccines must be kept on file by the dentist for review by the Department upon request.

History

• Source: Added at 40 Ill. Reg. 12553, effective September 2, 2016

68 Ill. Adm. Code 1220.405 Reporting of Adverse Occurrences

a) "Adverse occurrence" shall be defined for the purposes of this Section as:

1. The death of a patient within 24 hours after the administration of a dental procedure; or

2. The permanent organic brain dysfunction of a patient that first occurs within 24 hours after the administration of a dental procedure; or

3. The in-patient hospitalization of a patient for physical injury within 24 hours after the administration of a dental procedure.

b) A dentist shall report to the Division within 72 hours each adverse occurrence that involves the death of a patient.

c) A dentist shall report to the Division within 30 days each adverse occurrence that involves the permanent organic brain dysfunction or hospitalization of a patient.

d) The adverse occurrence report shall be in writing and shall include:

1. The dentist's name and license number;

2. The date and time of the occurrence;

3. The facility where the occurrence took place;

4. The name of the patient;

5. The dental procedure involved;

6. The type and dosage of sedation or anesthesia utilized in the procedure; and

7. The circumstances involved in such occurrence.

e) Upon receipt of any such report, the Division shall investigate pursuant to Section 25 of the Act and 68 Ill. Adm. Code 1110.

f) The adverse occurrence report is required by the Division to assist in its mission of protecting the public. The filing of such report by a dentist shall not constitute an admission by the dentist of any wrongdoing, malpractice, error or omission in treatment or even an admission that the death, organic brain dysfunction or hospitalization is related to the dental procedure or its administration. A dentist shall be responsible for filing an adverse occurrence report only for those adverse occurrences of which he/she has knowledge or should reasonably have been expected to have knowledge. In the event that a dentist does not have knowledge or cannot reasonably be expected to have knowledge, but subsequently obtains actual knowledge of an adverse occurrence, then such dentist shall file an adverse occurrence report within 72 hours after obtaining knowledge of the death of a patient or within 30 days after obtaining knowledge of the permanent organic brain dysfunction or hospitalization of a patient.

g) Failure to provide such a report to the Division shall be grounds for discipline. (See 225 ILCS 25/23.)

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.406 Impaired Dentist and Dental Hygienist Program of Care, Counseling or Treatment

a) Section 5.5 of the Act requires the Division to establish a program of care, counseling or treatment for impaired dentists.

b) Definitions

1. "Impaired dentist" or "impaired dental hygienist" means a dentist or dental hygienist who is unable to practice with reasonable skill and safety because of a physical or mental disability as evidenced by a written determination or written consent based on clinical evidence, including deterioration through the aging process, loss of motor skills, abuse of drugs or alcohol, or a psychiatric disorder, of sufficient degree to diminish the person's ability to deliver competent patient care. (Section 4 of the Act). A dentist or dental hygienist may be determined to be impaired:

A) by signing a written consent with the Department declaring the nature of the impairment; or

B) upon the determination of a qualified health care professional; or

C) upon the determination of a qualified health care professional who has performed an examination of the dentist or dental hygienist pursuant to Section 23b of the Act.

2. "Program of care, counseling, or treatment" means a written schedule of organized treatment care, counseling, activities, or education satisfactory to the Board, designed for the purpose of restoring an impaired person to a condition whereby the impaired person can practice with reasonable skill and safety of sufficient degree to deliver competent patient care.

c) Program of Care, Counseling or Treatment

1. A dentist or dental hygienist who has been determined by a qualified health care professional to be impaired shall enter into an agreement with the Division in which the dentist or dental hygienist agrees to participate in a program designed to provide care, counseling and treatment specifically for health care professionals and that has been approved by the Division. The agreement may include, but not be limited to, the length of the program, the status of the licensee while in a treatment program, and a termination clause whereby both parties may, by separate agreement in writing, terminate the agreement at any time.

2. All progress reports of treatment and participation in a treatment program shall be sent to the Division every 60 days. A relapse or non-compliance with the treatment program shall be reported to the Division immediately. All reports shall be signed by a licensed physician, clinical psychologist, licensed clinical social worker, or licensed clinical professional counselor or other substance abuse professional approved by the Division.

3. An impaired dentist or dental hygienist shall continue in an after care program until he or she is released upon successful completion of the structured treatment program.

4. If a dentist or dental hygienist is being treated for alcohol or drug abuse:

A) The person shall submit progress reports from any sponsors in Narcotics Anonymous or Alcoholics Anonymous or other after care programs to the Division on a quarterly basis.

B) The person shall submit to random drug and alcohol screenings and the results shall be submitted to the Division by the treatment program. The impaired dentist or dental hygienist is responsible for the cost of the reports. The Division shall be notified immediately by the treatment program if the person fails to submit to the random drug and alcohol screenings.

d) All reports required shall be submitted to the Dental Coordinator, Division of Professional Regulation, Illinois Department of Financial and Professional Regulation, 100 West Randolph Street, Suite 9-300, Chicago, Illinois 60601.

e) The contents of any report shall be strictly confidential and shall be exempt from public disclosure. The reports shall be reviewed only by the following:

1. The Board of Dentistry.

2. Designated Department attorneys.

3. Administrative personnel assigned to open mail containing reports and to process and distribute the reports to authorized persons, and to communicate with senders of reports.

4. The individual who is the subject of the report, his/her attorney or his/her authorized representative.

5. The Division's Dental Coordinator.

f) The reports shall also be admissible as evidence at any hearing arising from any charge by the Division that the impaired individual failed to comply with any terms and conditions of any agreement with the Division or otherwise violated the Dental Practice Act during the period an agreement is in effect.

g) The reports may also be handled or processed by other designated persons in a limited manner necessary to implement reports required under the Act or this Section by computer, word processing equipment or other mechanical means. The data record shall be limited to the name and address of the originator of the report, the date the initial report was received, the date of the most recent report and the professional license number of the subject of the report.

h) Upon determination by the Board that a report on an impaired person is no longer required for review and consideration, the Board shall notify the maker of the reports to cease sending the reports. The Board's determination shall be based on, but not be limited to: the type of impairment and the type of rehabilitation program, length of supervision, occurrence of any relapses, and present status of the dentist's or dental hygienist's license.

History

• Source: Added at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.407 Death or Incapacitation of Dentist

a) The executor or administrator of a dentist's estate or the legal guardian or authorized representative of a dentist who has become incapacitated may contract with another dentist or dentists to continue the operations of the deceased or incapacitated dentist's practice for a period of no more than one year from the time of death or incapacitation of the dentist or until the practice is sold, whichever occurs first. [225 ILCS 25/38.2(a)]

b) An executor, administrator, guardian or authorized representative seeking authorization to contract with another dentist or dentists to continue a practice as referenced in subsection (a), shall file an application with the Division, on forms provided by the Division, that shall include:

1. The name and license number of the deceased or incapacitated dentist;

2. A signed affidavit certifying that the executor, administrator, guardian, or authorized representative understands that any interference by the executor, administrator, guardian, or authorized representative or any agent or assignee of the executor, administrator, guardian, or authorized representative with the contracting dentist's or dentists' practice of dentistry or professional judgment or any other violation of this Section is grounds for an immediate termination of the operations of the dental practice [225 ILCS 25/38.2(a)(1)(E)];

3. The required fee set forth in Section 1220.415;

4. The name and address of the dental practice;

5. The name, address and tax identification number of the estate;

6. The name and license number of each dentist who will operate the dental practice; and

7. A copy of the death certificate of the dentist, if applicable, or a copy of a physician's statement detailing the dentist's incapacitating condition as set forth in subsection (e).

c) A dental practice seeking to continue operations of a deceased or incapacitated dentist shall not begin until the provisions of subsection (b) have been met.

d) Within 30 days after the death or incapacitation of a dentist, the executor, administrator, guardian, or authorized representative shall send notification of the death or incapacitation by mail to the last known address of each patient of record that has seen the deceased or incapacitated dentist within the previous 12 months, with an explanation of how copies of the practitioner's records may be obtained. This notice may also contain any other relevant information concerning the continuation of the dental practice. [225 ILCS 38.2(a)(2)]

e) A licensed dentist shall be considered incapacitated if:

1. a physician licensed to practice medicine in all its branches has examined the licensee and has determined that the licensee lacks decision making capacity in order to competently and safely practice dentistry and that the incapacity is expected to continue for a minimum of 6 months;

2. that physician has made a written record of this determination and has signed the written record within 90 days after the examination; and

3. the written record has been delivered to the Department.

f) A declaration of incapacity or a determination of incapacity shall not be a bar to Department action pursuant to Section 23 of the Act.

g) After review for compliance with the standards set forth in this Section, the Division shall place the licensee's dental license in inactive or deceased status as appropriate.

h) Prior to the Division restoring a license that has been placed in inactive status due to an incapacitating illness or condition, the licensee shall:

1. request restoration in writing on forms supplied by the Department; and

2. provide a statement from a physician licensed to practice medicine in all its branches that the physician has examined the licensee and has determined that the licensee is no longer under the incapacitating illness or condition as stated in subsection (e) and that the licensee is not subject to any other incapacitating illness or condition that would affect the licensee's ability to competently and safely practice dentistry.

History

• Source: Added at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.410 Endorsement

a) A person seeking licensure in Illinois as a dentist, a dental specialist or a dental hygienist who is so licensed in another state or territory and has been lawfully practicing for at least 3 of the last 5 years prior to application in Illinois, may be granted licensure in Illinois upon proof that the requirements for licensure in the other jurisdiction are at least equal to the requirements in Illinois.

b) An applicant for a dental license shall file an application for licensure on forms provided by the Division, that shall include:

1. Certification of licensure in the original jurisdiction and from any jurisdiction where the applicant has been practicing within the last 5 years, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) Whether the files of the jurisdiction contain any record of any disciplinary action taken or pending;

2. The applicant's National Board of Dentistry Examination scores, which must be forwarded to the Division from the Joint Commission on National Dental Examinations;

3. Certification of successful completion of 60 semester hours or its equivalent of college level pre-dental education and graduation from a course of instruction in a dental school that meets the minimum education standards of the Division specified in Section 1220.140;

4. After May 21, 1993, for dental applicants who graduated from a dental college or school outside of the United States or Canada:

A) Certification of graduation from a dental college or school;

B) Certification that the applicant was authorized to practice in the jurisdiction in which the applicant attended dental school; and

C) Certification from an approved dental college or school in the United States or Canada that the applicant has completed a minimum of 2 years of clinical training at the school in which the applicant met the same level of scientific knowledge and clinical competence as all graduates from that school or college. The 2 years of clinical training shall consist of:

i) 2850 clock hours completed in 2 academic years for full-time applicants; or

ii) 2850 clock hours completed in 4 years with a minimum of 700 hours per year for part-time applicants;

5. Verification of employment;

6. The fee required under Section 1220.415.

c) An applicant for a dental hygienist license shall file an application for licensure on forms provided by the Division, that shall include:

1. Certification of licensure in the original jurisdiction and from any jurisdiction where the applicant has been practicing within the last 5 years, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) Whether the files of the jurisdiction contain any record of any disciplinary action taken or pending;

2. The applicant's National Dental Hygienist Board Examination scores, which must be forwarded to the Division from JCNDE;

3. Certification of 2 academic years of credit in an approved school of dental hygiene that meets the minimum education standards of the Division specified in Section 1220.250;

4. Verification of employment;

5. The fee required under Section 1220.415.

d) Applicants who have not actively practiced in 3 of the last 5 years may be required to complete additional testing, training, or remedial education as the Board may deem necessary in order to establish the applicant's present capacity to practice dentistry.

History

• Source: Amended at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.415 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for initial license as a dentist is $250.

2. The fee for application as a dental specialist is $300.

3. The fee for application as a dental hygienist is $100.

4. Applicants for any examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

5. The fee for application for a dentist licensed under the laws of another jurisdiction is $750.

6. The fee for application for a dental hygienist licensed under the laws of another jurisdiction is $300.

7. The fee for application for a dental sedation permit is $300.

8. The fee for application for a restricted faculty license is $250.

9. The fee for application for a temporary training license is $150.

10. The fee for application as a continuing education sponsor is $1,000.

11. The fee for application for a temporary visiting dentist is $100.

12. The fee for application for live patient clinical training is $100.

b) Renewal Fees

1. The fee for the renewal of a license as a dentist is $300 ($100 per year), pursuant to Section 21 of the Act.

2. The fee for the renewal of a license as a dental specialist is $300 ($100 per year), pursuant to Section 21 of the Act.

3. The fee for the renewal of a license as a dental hygienist is $150 ($50 per year), pursuant to Section 21 of the Act.

4. The fee for the renewal of a sedation permit is $300 ($100 per year).

5. The fee for the renewal of a license as a continuing education sponsor is $700.

6. The fee for the renewal of a restricted faculty license is $150.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination administered by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

5. The fee for a roster of persons licensed in this State under the Act shall be the actual cost of producing the roster.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.421 Advertising

a) Persons licensed to practice dentistry in the State of Illinois may advertise in any medium or other form of public communication in a manner that is truthful, and that is not fraudulent, deceptive, inherently misleading or proven to be misleading in practice. The advertising shall contain all information necessary to make the communication not misleading and shall not contain any false or misleading statement or otherwise operate to deceive.

b) Information that may be contained in the advertising includes:

1. Dentist's name, address, office hours and telephone number;

2. Schools attended;

3. Announcement of the opening of, change of, or return to practice;

4. Announcement of additions to or deletions from professional dental staff (Section 45 of the Act);

5. Dentist's hospital affiliations;

6. Any specialty licenses held, Board certification, professional society memberships and any limitations or concentrations of practice;

7. Credit arrangements and/or acceptance of Medicare/Medicaid patients;

8. Foreign language ability;

9. Usual and customary fees for routine professional services that must include a statement that fees may be adjusted due to complications or unforeseen circumstances unless the fees do not vary under any circumstances;

10. Description of offices in which dentist practices, e.g., accessibility to the handicapped, laboratory facilities on the premises, convenience of parking; and

11. Other information about the dentist, the dentist's practice, or the types of practice in which the dentist will accept employment, which a reasonable person might regard as relevant in determining whether to seek the dentist's services. (Section 45 of the Act)

c) If an advertisement is communicated to the public over television, radio or the Internet, it shall be prerecorded and approved for broadcast by the dentist, and a recording of the actual transmission, including videotape, shall be retained by the dentist for a period of at least 3 years. Upon a written request from the Division, a dentist shall provide the Division with a copy of any such advertisement within 7 working days after receipt of the request (e.g., upon initiation of any investigation, receipt of a complaint, inquiry from the public, etc.).

d) Information that may be untruthful, fraudulent, deceptive, inherently misleading, or that has proven to be misleading in practice includes that which:

1. Contains a misrepresentation of fact or omits a material fact required to prevent deception;

2. Guarantees favorable results or creates false or unjustified expectations of favorable results;

3. Takes advantage of the potential client's fears, anxieties, vanities, or other emotions;

4. Contains exaggerations pertaining to the quality of dental care;

5. Describes as available products or services that are not permitted by the laws of this State and/or applicable Federal laws; and

6. Advertises professional services that the dentist is not licensed to render.

e) A dentist may incorporate as a professional service corporation or other business entity permitted to provide dental services under a fictitious or an assumed name; however, all advertisements for dental services to be performed by members or employees of the corporation or other business entity must comply with the following conditions:

1. A dentist licensed and practicing in Illinois shall be designated at each practice location for the corporation or other business entity who shall assume responsibility for all advertising in Illinois.

2. The name, office address and office phone number of the designated dentists shall appear in all advertising for the corporation or other business entity.

3. The names of the owners of the corporation or other business entity, if other than the designated dentists, shall appear in all advertising for the corporation or other business entity.

4. A list of all dentists employed by the corporation or other business entity who perform dental services shall be prominently displayed at the location where they practice.

5. If the corporation or other business entity offers to practice both general dentistry and any licensed specialty, all advertising for the specialty shall include the name of the licensed dental specialists who performs the specialty services.

f) When words relating to specialty practice are used in an advertisement, the advertisement must not imply that the dentist offering those services is licensed as a specialist unless he holds a specialty license issued by the Division. Words that cannot be used by a dentist unless licensed in that specialty are Endodontist, Pedodontist, Pediatric Dentist, Periodontist, Prosthodontist, Orthodontist, Dentist Anesthesiologist, Oral and Maxillofacial Radiologist, or Oral and Maxillofacial Surgeon. Terms such as "Specialist", "Practice Limited To" or "Limited To Specialty Of", with the name of the branch of dentistry practiced as a specialty, (endodontics, pedodontics (pediatric dentistry), periodontics, prosthodontics, orthodontics, oral and maxillofacial radiology, oral and maxillofacial surgery, and dental anesthesiology) shall be prima facie evidence that such dentist is holding himself out to the public as a specialist. A general dentist who advertises, in any media, using words or phrases customarily used by a specialist, except those prohibited above, but who does not hold a specialty license, shall include in the advertisement a prominent disclaimer that he or she is licensed only as a general dentist.

g) Any advertisements offering the availability of those recognized dental specialties specified in Section 1220.310, or offering the availability of some other "specialty" practice not specifically recognized by the Division shall contain a prominent disclaimer in the form of a statement setting forth the specialties in which the dentist is licensed in Illinois and/or a statement that the dentist is licensed to practice as a general dentist in Illinois.

h) Advertising shall not use language suggesting a dental specialty that is not specified in Section 1220.310 unless it contains the disclaimer required in subsection (g). Examples of language requiring disclaimer: family dentistry, cosmetic dentistry, restorative dentistry, preventive dentistry, hospital dentistry, implant dentistry, TMJ, cranio mandibular dentistry.

History

• Source: Amended at 48 Ill. Reg. 14138, effective September 10, 2024

68 Ill. Adm. Code 1220.425 Referral Services

a) The practice of dentistry in the State of Illinois affects the public health, safety and welfare, and consequently regulation and control of the various aspects of dental practice is in the public interest. The offering to refer dental patients and the operation of a dental referral service is considered to be a matter of public interest.

b) If a dental referral service receives compensation or anything of value from dentists in exchange for making referrals, it must disclose in its advertisements and communications to the public that it is compensated. Failure to disclose in accordance with this Section shall be considered fee-splitting in violation of Section 23 of the Dental Practice Act.

c) If a person requesting a referral is expected to pay the referral service, there must be full disclosure of such fees at the time of the initial inquiry to the person using the service.

d) A referral service may only make referrals to licensed dentists or dental specialists who have consented in writing to accept referrals from that referral service.

e) A referral service shall not represent that it is able to practice dentistry as defined in Section 17 of the Dental Practice Act or practice dentistry, furnish dental advice or services, diagnose or treat conditions of the teeth, gums, or jaw, remove stains or calculus from teeth, or furnish, construct or repair dentures, bridges or other appliances or substitutes for natural teeth unless the referral service is operated by a licensed dentist. Any referral service operated by a licensed dentist that refers services to that dentist's own dental practice or a dental practice that he is in any way affiliated with shall disclose these facts at the time of such referral. Failure to comply with this provision shall be considered a violation of Section 8 of the Dental Practice Act.

f) This Section shall not apply to dentists who refer a patient for treatment or consultation to another dentist or dental specialist in the course of their dental practice.

History

• Source: Amended at 30 Ill. Reg. 19656, effective December 18, 2006

68 Ill. Adm. Code 1220.431 Employment by Corporation (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4191, effective March 16, 1989

68 Ill. Adm. Code 1220.435 Renewals (repealed)

History

• Source: Repealed at 17 Ill. Reg. 1559, effective January 25, 1993

68 Ill. Adm. Code 1220.440 Continuing Education

a) Continuing Education Hours Requirements

1. Each person who applies for renewal of a license as a dentist shall have completed 48 hours of continuing education (CE) relevant to the practice of dentistry during the prerenewal period.

2. Each person who applies for renewal of a license as a dental hygienist shall have completed 36 hours of CE relevant to the practice of dental hygiene during the prerenewal period.

3. A prerenewal period is the 36 months preceding September 30 of the year of the renewal.

4. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of a dental or dental hygienist license.

5. Continuing education is not required to renew a dental specialty license. The holder of a dental specialty license is, however, required to complete 48 hours to renew the dental license.

6. Dentists or dental hygienist licensed in Illinois but residing in other states shall comply with the CE requirements set forth in this Section.

7. Continuing education credit for hours used to satisfy the CE requirements of another state may be applied to fulfillment of the CE requirements of the State of Illinois.

b) Approved Continuing Education/Continuing Education Sponsors

1. All CE courses shall be relevant to the treatment and care of patients and shall be:

A) Clinical courses in dentistry and dental hygiene; or

B) Nonclinical subjects that relate to the skills necessary to provide dental or dental hygiene services and are supportive of clinical services (i.e., patient management, legal and ethical responsibilities, stress management). Courses not acceptable for the purpose of this definition include, but are not limited to, estate planning, financial planning, investments and personal health.

2. CE credit may be earned for verifiable attendance at or participation in any courses that meet the requirements of subsection (b)(1) given by one of the following sponsors:

A) American Dental Association and National Dental Association, its constituent and component/branch associations and the American Dental Association Continuing Education Recognition Programs;

B) American Dental Hygienist's Association and National Dental Hygienist's Association, its constituent and component/branch associations;

C) Dental programs approved by the Division as meeting minimum standards for an approved curriculum in dentistry under Section 1220.140 and dental hygiene programs approved under Section 1220.250;

D) Organizations of specialties recognized by the American Dental Association and its constituent and component/branch associations, which are:

i) Oral and maxillofacial surgery;

ii) Endodontics;

iii) Pediatric dentistry;

iv) Prosthodontics;

v) Orthodontics;

vi) Periodontology;

vii) Oral and maxillofacial radiology;

E) Academy of General Dentistry, its constituent and component/branch associations and approved sponsors;

F) American Dental Society of Anesthesiology and its constituent and component/branch associations;

G) Community colleges with an approved dental hygiene program if offered under the auspices of the dental hygiene program;

H) A college or university accredited by an agency approved by the U.S. Office of Education or a community college approved by the Illinois Community College Board;

I) A hospital that has been accredited by the Joint Commission on Accreditation of Healthcare Organizations;

J) The American Heart Association and the American Cancer Society;

K) A medical school that is accredited by the American Medical Association's Liaison Committee for Medical Education;

L) American Medical Association (AMA), specialty medical associations/organizations, the Accreditation Council on Continuing Medical Education;

M) Federal and State government agencies (i.e., dental division, military dental division, Veterans' Administration, etc.);

N) A sponsor whose course is approved by the National Board for Certification in Dental Laboratory Technology; or

O) A person, firm or association approved by the Division in accordance with subsection (c).

3. CE credit may be earned for completion of an individual study course (correspondence, audio or video course) sponsored by an approved sponsor. The courses shall include a test that the licensee must pass to obtain credit. No more than 50% of the required CE credit hours during a prerenewal period may be acquired through correspondence courses.

4. CE credit may be earned from teleconferencing courses with a moderator present given by an Illinois approved sponsor.

5. CE credit may be earned from courses leading to an advanced degree or specialty in dental or dental hygiene. The courses shall be allotted CE credit at the rate of 15 CE hours for each semester hour and 10 CE hours for each quarter hour of school credit awarded.

6. CE credit may be earned as an instructor of continuing education courses given by approved sponsors. Credit will be applied for every hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations). No more than 50% of the required CE credit hours during a prerenewal period may be acquired through teaching continuing education courses.

7. CE credit may be earned for presenting volunteer community oral health education programs. Credit will be applied for each hour of presentation documented by the program director. No more than 2 hours of the required CE credit hours during a prerenewal period may be acquired through presentation of volunteer community oral health education programs.

8. Continuing education hours required by a disciplinary order shall not be used to satisfy the continuing education requirements for license renewal.

9. If a renewal applicant will be earning or has earned CE hours in another jurisdiction, but is not licensed in that jurisdiction and the course is not presented by an Illinois approved sponsor, the applicant shall submit an individual program approval request form, along with a $20 processing fee, to have the program reviewed. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (b)(1). Applicants may seek individual program approval prior to participation in the course or program. All individual program approval requests shall be submitted prior to the expiration date of the license.

c) Sponsor Application Pursuant to Subsection (b)(2)(O)

1. Entities seeking approval as CE sponsors pursuant to subsection (b)(2)(O) shall file an application, on forms supplied by the Division, along with the fee set forth in Section 1220.415(a)(9). The applicant shall certify on the application the following:

A) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (b)(1) and all other criteria in this Section;

B) That the sponsor will be responsible for providing a certificate of attendance and will maintain attendance records for at least 5 years. The certificate of attendance shall contain:

i) The name and address of the sponsor;

ii) The name, address and license number of the participant;

iii) A brief statement of the subject matter;

iv) The number of hours attended in each program;

v) An indication of whether the program fulfills CE requirements for dentist, dental hygienist or both;

vi) The date and place of the program; and

vii) The signature of the sponsor;

C) That, upon request by the Division, the sponsor will submit evidence (e.g., certificate of attendance or course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with this Part and that the information is necessary to ensure compliance.

2. To maintain approval as a sponsor, each sponsor shall submit to the Division by September 30 of each even-numbered year a renewal application, the fee set forth in Section 1220.415(b)(5) and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given.

3. The sponsor shall be responsible for ensuring that any dentist or dental hygienist who will be performing some type of procedure as a part of a continuing education course shall have a current license in Illinois or another jurisdiction.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, to full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional evidence (e.g., certificate of attendance, transcripts and proof of registration) demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of the compliance. The evidence shall be retained for at least 5 years following the renewal period in which the CE was taken.

3. The Division may conduct random audits to verify compliance with CE requirements.

4. When there is evidence of a lack of compliance with CE requirements, an applicant shall be notified in writing and may request a hearing before the Board. The Division may recommend that steps be taken to begin the formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of the license or certificate without having fully complied with these CE requirements shall file with the Division a renewal application, a statement setting forth the facts concerning the noncompliance, a request for waiver of the CE requirements on the basis of the facts and, if desired, a request for an interview before the Board. If the Division finds, from the statement or any other evidence submitted, that good cause has been shown for granting a waiver of the CE requirements, or any part thereof, the Division shall waive enforcement of those requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of that period;

B) A temporary incapacitating illness documented by a licensed physician. A second, consecutive request for a CE waiver pursuant to this subsection (e)(2)(B) shall be prima facie proof that the renewal applicant has a physical or mental illness, including, but not limited to, deterioration through the aging process, or loss of motor skills that results in the dentist's inability to practice dentistry with reasonable judgment, skill or safety, in violation of Section 23(24) of the Act, and shall be grounds for denial of the renewal or other discipline;

C) Temporary undue hardship (e.g., prolonged hospitalization, being disabled and unable to practice dentistry or dental hygiene on a temporary basis).

3. If an interview is requested at the time the request for waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

History

• Source: Amended at 40 Ill. Reg. 12553, effective September 2, 2016

68 Ill. Adm. Code 1220.441 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.500 Definitions

"Anesthesia Case" means a situation in which the permit holder is responsible for anesthesia care on a live patient.

"Deep Sedation" means a pharmacologically induced depressed state of consciousness, accompanied by partial loss of protective reflexes, including the inability to respond purposefully to oral commands. The purposeful response to painful stimulation is maintained.

"General Anesthesia" means a pharmacologically induced state of unconsciousness accompanied by a partial or complete loss of protective reflexes, including the inability to independently maintain an airway and respond purposefully to painful stimulation or oral commands.

"Minimal Sedation" means a minimally depressed level of consciousness, produced by a pharmacological method, that retains the patient's ability to independently and continually maintain an airway and respond normally to tactile stimulation and verbal command. Although cognitive function and coordination may be modestly impaired, ventilatory and cardiovascular functions are unaffected.

"Moderate Sedation" or "Conscious Sedation" means a pharmacologically induced depressed state of consciousness (altered consciousness; signs of sleep) under which an individual retains the ability to independently and continuously maintain an airway and respond appropriately to light tactile stimulation and oral commands.

History

• Source: Amended at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.505 Minimal Sedation in the Dental Office Setting

a) Minimal sedation includes the prescription or administration of a pharmacologic anxiolitic either with or without concomitant use of nitrous oxide dental analgesia. The drugs and/or techniques used must carry a margin of safety wide enough to prevent a depressed level of consciousness.

b) No permit is required beyond the D.D.S. or D.M.D. degrees.

c) Minimal monitoring of the patient is to be by clinical observation and appropriately documented in the patient's record.

History

• Source: Amended at 38 Ill. Reg. 15907, effective July 25, 2014

68 Ill. Adm. Code 1220.510 Moderate Sedation (conscious Sedation) in the Dental Office Setting

a) Moderate sedation (conscious sedation) includes the prescription or administration of pharmacologic agents to be used for the purposes of moderate sedation. Moderate sedation (conscious sedation) must be administered by an individual qualified under this Section. (See Appendix D for characteristics of levels of anesthesia.) The drugs and/or techniques used must carry a margin of safety wide enough to render unintended loss of consciousness unlikely.

b) A licensed dentist seeking a Permit A for moderate sedation (conscious sedation) administration privileges shall file an application with the Division, on forms provided by the Division, that shall include:

1. Certification of completion of an anesthesiology training program that meets the following requirements:

A) Include a minimum of 75 hours of didactic and clinical study that includes training in moderate sedation (conscious sedation), physical evaluation, venipuncture, advanced airway management, technical administration, recognition and management of complications and emergencies, and monitoring with additionally supervised experience in providing moderate sedation to 20 or more patients; and

B) Be an organized sequence of study operated by one entity and completed in less than one calendar year;

2. A signed affidavit certifying that:

A) the dentist will practice in a facility properly equipped in accordance with subsection (g) for the administration of moderate sedation (conscious sedation);

B) the facility will be staffed with a team, supervised by the applicant, that will remain in the treatment room. For each patient, the anesthesia team will consist of at least:

i) the dentist who holds the Permit A;

ii) one dental hygienist or dental assistant who has completed the training prescribed in Section 1220.240(f) or 1220.245(c)(2) and is capable of assisting with procedures, problems and emergencies incident to the administration of sedation; and

iii) one additional hygienist or dental assistant;

C) the dentist permit holder will remain immediately available to the patient after being treated under moderate sedation. A dental hygienist or dental assistant trained to monitor a patient under moderate sedation will remain with the sedated patient until the patient is no longer sedated;

D) all members of the anesthesia team are capable of assisting with procedures, problems and emergencies incident to the administration of sedation and will maintain current certification in BLS; and

E) for the dentist permit holder, the BLS certification is in addition to the required 9 sedation technique CE hours (see subsection (k)) required per renewal cycle;

3. Proof of current ACLS certification or PALS certification; and

4. The required fee set forth in Section 1220.415.

c) Dentists who have a current valid permit for moderate sedation (conscious sedation) issued by the Division shall be permitted to administer without additional application.

d) In accordance with the standards set forth in this Section, the Division will:

1. Issue a moderate sedation (conscious sedation) permit (Permit A).

2. Re-issue a moderate sedation (conscious sedation) permit to Permit A holders who attest to completing continuing education.

e) Licensees qualified to administer deep sedation (Permit B) pursuant to Section 1220.520 may administer moderate sedation (conscious sedation) without a Permit A.

f) If the accuracy, relevance or sufficiency of any submitted documentation is questioned by the Division or the Board, because of discrepancies or conflicts in information, needing further clarification, and/or missing information, additional documentation may be required and/or an on-site evaluation of the facilities, equipment and personnel may be conducted by the Division or a member of the Board's Anesthesia Review Panel.

g) A properly equipped facility for the administration of moderation sedation (conscious sedation) shall include at minimum:

1. Sphygmomanometer and stethoscope;

2. An oxygen delivery system with full face masks and connectors appropriate to the patient population being served that is capable of delivering oxygen to the patient under positive pressure, with an emergency backup system;

3. Emergency drugs and equipment appropriate to the medications administered;

4. Suction equipment, including an emergency backup suction system;

5. An emergency backup lighting system that will permit the completion of any operation underway;

6. A pulse oximeter;

7. Laryngoscope complete with selection of blades and spare batteries and bulbs in sizes appropriate to the patient population being served;

8. Advanced airway devices that would isolate the trachea and facilitate positive pressure oxygen administration in sizes appropriate for the patient population being served (e.g., endotracheal tubes or laryngeal mask airway);

9. Tonsillar or pharyngeal suction tips adaptable to all office outlets;

10. Nasal and oral airways in sizes appropriate to the patient population being served;

11. Defibrillator (an automated external defibrillator is an acceptable defibrillator);

12. Equipment for the establishment of an intravenous infusion;

13. An operating table or an operating chair that permits appropriate access to the patient and provides a firm platform for the management of cardiopulmonary resuscitation; and

14. A recovery area that has available oxygen, lighting, suction and electrical outlets. The Permit A holder shall remain with the patient until the patient retains the ability to independently and consciously maintain an airway and respond appropriately to physical stimulation and oral commands. The recovery area may be the operating theatre.

h) The following records shall be kept during the administration of moderate sedation (conscious sedation):

1. Medical history of the patient and consent for administration of anesthesia prior to the performance of any procedure;

2. Preoperative, intraoperative and pre-discharge monitoring of blood pressure, pulse, respiration and oxygen saturation. A time based record shall be entered into the patient's chart;

3. Drugs and dosages of these drugs used during the operative procedure, including the identification of the person administering drugs and times of their administration over the course of the procedure.

i) The dentist who holds the Permit A shall report adverse occurrences to the Division and the Board as required by Section 1220.405.

j) A licensed dentist shall hold Permit A in order to perform dentistry while a licensed certified nurse anesthetist administers moderate sedation (conscious sedation). A nurse anesthetist for purposes of this Section is a licensed certified nurse anesthetist who holds a license as an advanced practice nurse under the Nurse Practice Act [225 ILCS 65]. The dentist shall enter into a written collaborative agreement with the nurse anesthetist consisting of the requirements of this section as follows: A certified registered nurse anesthetist who provides anesthesia services in a dental office shall enter into a written collaborative agreement with the operating dentist performing the procedure. The agreement shall describe the working relationship of the nurse anesthetist and the operating dentist and shall authorize the categories of care, treatment, or procedures to be performed by the nurse anesthetist. In a collaborating dentist office, the nurse anesthetist may only provide those services that the operating dentist with the appropriate permit is authorized to provide as found in 68 Ill. Adm. Code 1220.510 and 1220.520. For anesthesia services, the operating dentist shall approve the anesthesia plan prepared by the nurse anesthetist and shall remain physically present and be available on the premises during the delivery of anesthesia services for diagnosis, consultation, and treatment of emergency medical conditions. The nurse anesthetist may select, order, and administer medications, including controlled substances, and apply appropriate medical devices for delivery of anesthesia services under the anesthesia plan agreed with by the operating dentist.

k) Proof of 9 hours of continuing education per renewal cycle in sedation techniques, including medications and recognition and management of complications and emergencies, is required for renewal of Permit A.

l) A treating dentist does not need to hold Permit A to perform dentistry when another dentist, who holds Permit A or Permit B, or a physician or dental anesthesiologist assists the treating dentist by administering moderate sedation (conscious sedation). Physician for purposes of this Section means a physician who is licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 [225 ILCS 60] and is authorized to provide anesthesia services in a licensed hospital or licensed ambulatory surgical treatment center or is a Board-certified anesthesiologist.

1. The treating dentist shall be prepared to provide affidavits to the following if requested by the Division:

A) That the facility used for sedation meets the criteria of subsection (g) of this Section;

B) That the dentist shall staff the facility with a team, supervised by the permit holder or physician, that includes a minimum of 3 individuals per patient. The team shall be composed of either:

i) One dental hygienist or dental assistant; the treating dentist; and the dentist who holds a Permit A or B providing the anesthesia services; or

ii) One dental hygienist or dental assistant; the treating dentist; and a dental anesthesiologist or physician performing the anesthesia services.

C) That the permit holder or physician will remain immediately available to the patient after being treated under moderate sedation. A dental hygienist or dental assistant trained to monitor a patient under moderate sedation will remain with the sedated patient until the patient is no longer sedated.

2. All members of the team, including the treating dentist (non-permit holder) must maintain current BLS certification or its equivalent.

3. In addition, the dentist (non-permit holder) shall report adverse occurrences to the Division as set forth in Section 1220.405 and accept the responsibility to verify the certification and licensure of any licensed provider present during the moderate sedation (conscious sedation) of a patient who is receiving dental care.

m) A dentist holding a Permit A shall maintain current ACLS or PALS certification. ACLS or PALS certification shall be in addition to the required 9 hours of anesthesia CE per renewal cycle.

n) A dentist holding a Permit A shall maintain a logbook indicating the sedation cases performed. The log shall include the patient name, date, route of sedation administration, drug name and dosage, and the names of anesthesia team members assisting. This information shall be supplied to the Division upon request.

o) A dentist holding a Permit A must also hold an active Illinois Controlled Substances License and current federal Drug Enforcement Administration registration.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.520 Deep Sedation and General Anesthesia in the Dental Office Setting

Deep sedation and general anesthesia must be administered by an individual qualified under this Section. (See Appendix D for characteristics of levels of anesthesia.)

a) A licensed dentist seeking a permit to administer deep sedation or general anesthesia shall make application to the Division, on forms provided by the Division, that shall include:

1. Certification of meeting one or more of the following:

A) Completion of a minimum of 2 years of advanced training in anesthesiology beyond the pre-doctoral level, in a training program approved by the American Dental Association, Commission on Dental Education, as outlined in Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students, published by the American Dental Association, Commission on Dental Education (October 2012).

B) Be a diplomate of the American Board of Oral and Maxillofacial Surgery.

C) Have an active, approved application with the American Board of Oral and Maxillofacial Surgery to obtain diplomat status.

D) Have a specialty license in oral and maxillofacial surgery issued by the Division;

2. A signed affidavit certifying that:

A) the dentist will practice in a facility properly equipped in accordance with subsection (d) for the administration of deep sedation and general anesthesia;

B) the facility will be staffed with an anesthesia team, supervised by the applicant, that will remain in the treatment room during the procedure on the patient. For each patient, the anesthesia team will consist of at least:

i) the dentist who holds the permit B;

ii) one dental hygienist or dental assistant who has completed the training prescribed in Section 1220.240(f) or 1220.245(c)(2) and is capable of assisting with procedures, problems and emergencies incident to the administration of the sedation; and

iii) one additional hygienist or dental assistant;

C) the dentist permit holder will remain immediately available to the patient after being treated under deep sedation or general anesthesia. A dental hygienist or dental assistant trained to monitor a patient under deep sedation or general anesthesia will remain with the sedated patient until the patient is no longer sedated;

D) all members of the anesthesia team are capable of assisting with procedures, problems and emergencies incident to the administration of sedation and will maintain current certification in BLS or its equivalent; and

E) for the dentist permit holder, the BLS certification is in addition to the required 9 sedation technique CE hours (see subsection (h)) required per renewal cycle;

3. Proof of current ACLS or PALS certification; and

4. The required fee set forth in Section 1220.415.

b) In accordance with the standards set forth in this Section, the Division will issue a deep sedation or general anesthesia permit (Permit B).

c) If the accuracy, relevance or sufficiency of any submitted documentation is questioned by the Division or the Board because of discrepancies or conflicts in information needing further clarification, and/or missing information, additional documentation may be required and/or an on-site evaluation of the facilities, equipment and personnel may be conducted by the Division or a member of the Board's Anesthesia Review Panel.

d) A properly equipped facility for the administration of deep sedation or general anesthesia shall include, at a minimum:

1. Sphygmomanometer and stethoscope;

2. An oxygen delivery system with full face masks and connectors appropriate to the patient population being served that is capable of delivering oxygen to the patient under positive pressure, with an emergency backup system;

3. Emergency drugs and equipment appropriate to the medications administered;

4. Suction equipment, including an emergency backup suction system;

5. An emergency backup lighting system that will permit the completion of any operation underway;

6. Laryngoscope complete with selection of blades and spare batteries and bulbs in sizes appropriate to the patient population being served;

7. Endotracheal tubes and connectors in sizes appropriate for the patient population being served;

8. Tonsillar or pharyngeal suction tips adaptable to all office outlets;

9. Nasal and oral airways in sizes appropriate to the patient population being served;

10. Device for monitoring temperature (e.g., temperature strips, thermometer);

11. Electrocardioscope and defibrillator (an automated external defibrillator is an acceptable defibrillator);

12. Pulse oximeter;

13. Equipment for the establishment of an intravenous infusion;

14. An operating table or an operating chair that permits appropriate access to the patient and provides a firm platform for the management of cardiopulmonary resuscitation; and

15. A recovery area that has available oxygen, lighting, suction and electrical outlets. The Permit B holder shall remain with the patient until the patient retains the ability to independently and consciously maintain an airway and respond appropriately to physical stimulation and oral commands. The recovery area may be the operating theatre.

e) The following records shall be kept when administering deep sedation and general anesthesia:

1. Medical history and patient evaluation prior to the performance of any procedure;

2. Preoperative, intraoperative, and pre-discharge monitoring of blood pressure, pulse, respiration and oxygen saturation. A time based record shall be entered into the patient's chart;

3. EKG monitoring during the entire procedure;

4. Drugs and dosages of agents used during the operative procedure, including nitrous oxide and oxygen, and including identification of the person administering drugs and times of their administration over the course of the procedure. Documentation of the anesthetic encounter will be consistent with currently accepted standards of anesthetic practice.

f) The dentist who holds the Permit B shall report adverse occurrences to the Division and the Board as required by Section 1220.405.

g) A licensed dentist shall hold a Permit B in order to perform dentistry while a licensed certified nurse anesthetist administers deep sedation or general anesthesia. A nurse anesthetist for purposes of this Section is a licensed certified nurse anesthetist who holds a license as an advanced practice nurse under the Nurse Practice Act. The dentist shall enter into a written collaborative agreement with the nurse anesthetist in accordance with the following:

1. A certified registered nurse anesthetist who provides anesthesia services in a dental office shall enter into a written collaborative agreement with the operating dentist performing the procedure. The agreement shall describe the working relationship of the nurse anesthetist and the operating dentist and shall authorize the categories of care, treatment, or procedures to be performed by the nurse anesthetist. In a collaborating dentist office, the nurse anesthetist may only provide those services that the operating dentist with the appropriate permit is authorized to provide as found in 68 Ill. Adm. Code 1220.510 and 1220.520.

2. For anesthesia services, the operating dentist shall approve the anesthesia plan prepared by the nurse anesthetist and shall remain physically present and be available on the premises during the delivery of anesthesia services for diagnosis, consultation, and treatment of emergency medical conditions. The nurse anesthetist may select, order, and administer medications, including controlled substances, and apply appropriate medical devices for delivery of anesthesia services under the anesthesia plan agreed with by the operating dentist.

h) Proof of 9 hours of continuing education per renewal cycle in sedation techniques, including medications and recognition and management of complications and emergencies, is required for renewal of Permit B.

i) A treating dentist does not need to hold Permit B to perform dentistry when another dentist, who holds Permit B, or a physician or dental anesthesiologist assists the treating dentist by administering deep sedation or general anesthesia. Physician for purposes of this Section means a physician who is licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 and is authorized to provide anesthesia services in a licensed hospital or licensed ambulatory surgical treatment center or is a Board-certified anesthesiologist.

1. The treating dentist shall be prepared to provide affidavits attesting to the following if requested by the Division:

A) That the facility used is equipped as specified in subsection (d);

B) That the dentist shall staff the facility with a team, supervised by the Permit B holder or physician, that includes a minimum of 3 individuals per patient. The team shall be composed of either:

i) One dental hygienist or dental assistant who has completed the training prescribed in Section 1220.240(f) or 1220.245(c)(2) capable of assisting with procedures, problems and emergencies incident to the administration of the sedation; the treating dentist; and the dentist who holds a Permit B providing the anesthesia services;

ii) One dental hygienist or dental assistant; the treating dentist; and a physician providing the anesthesia services; or

iii) One dental hygienist or dental assistant; the treating dentist; and a dental anesthesiologist providing the anesthesia services.

C) That the Permit B holder will remain with the patient until the patient retains the ability to independently and consciously maintain an airway and respond appropriately to physical stimulation and oral commands. The recovery area may be the operating theatre.

2. All members of the anesthesia team, including the treating dentist (non-Permit B holder) must maintain certification in BLS or its equivalent.

3. In addition, the dentist shall report severe adverse occurrences to the Division as set forth in Section 1220.405 and accept the responsibility for verifying certification and licensure of any licensed provider present during the deep sedation or general anesthesia of a patient receiving dental care.

j) A dentist holding a Permit B shall maintain current ACLS or PALS certification. ACLS or PALS certification shall be in addition to the required 9 hours of anesthesia CE per renewal cycle.

k) A dentist holding a Permit B shall maintain a logbook indicating the sedation cases performed. The log shall include the patient name, date, route of sedation administration, drug name and dosage, and the names of anesthesia team members assisting. This information shall be supplied to the Division upon request.

l) A dentist holding a Permit B must also hold an active Illinois Controlled Substances License and current federal Drug Enforcement Administration registration.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.525 Renewal

a) Beginning with the September 30, 2006 renewal, every anesthesia permit issued under the Act shall expire on September 30 every 3 years. The holder of a permit may renew the permit during the month preceding the expiration date by paying the required fee in Section 1220.415 and completing the following:

1. 9 hours of continuing education as required in Section 1220.510(k) or 1220.520(h).

2. Certification of the number of anesthesia cases that the renewal applicant has performed.

3. Certification that the renewal applicant has held at least semiannual emergency drills with staff that participates in Permit A or B related activities. These drills shall consist of the staff actively going through simulated emergencies that may occur during the administration of anesthesia. It is incumbent upon the permit holder to design the emergency drills to ensure adequate preparation of staff in the case of a real emergency. In addition, the staff shall assemble and review the necessary office emergency supplies and equipment intended for use in an actual office emergency, including verifying the expiration dates for emergency medications and checking that batteries for defibrillators and laryngoscopes are properly charged. Documentation of the semiannual drills shall be provided to the Division upon request.

b) No anesthesia permit shall be renewed if the dental license of the permit holder is expired, revoked, suspended or otherwise subject to discipline under Section 23 of the Act.

c) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

d) Certification of Anesthesia Cases

1. Each renewal applicant shall certify, on the renewal application, the number of anesthesia cases performed each year by the renewal applicant appropriate to the permit held.

2. The licensee shall be required to maintain the logbooks required in Section 1220.510(n) or 1220.520(k) and shall provide the logbook to the Division upon request.

3. The Division may conduct audits to verify compliance and/or competency. When a licensee is reviewed, the Division will provide notice to the licensee and request that the licensee's anesthesia logbook be submitted. Within 14 days after receipt of the notice, the licensee shall submit to the Division the records required to be kept pursuant to Section 1220.510(h) or 1220.520(e), as appropriate to the permit held, of all anesthesia cases performed during the renewal cycle.

4. When the Division has reason to believe that there is a lack of competency or a lack of compliance, a licensee shall be notified in writing and may request a conference before the Division with a Board member present. When the Division finds a violation of the Act or this Part, it may recommend that steps be taken to begin formal disciplinary proceedings.

History

• Source: Amended at 34 Ill. Reg. 7205, effective May 5, 2010

68 Ill. Adm. Code 1220.530 Anesthesia Review Panel

a) The Director may appoint an Anesthesia Review Panel that shall consist of six members.

b) The members shall meet the following minimum requirements:

1. Each member shall be a licensed dentist in the State of Illinois whose license is active and in good standing;

2. Three members shall hold an active Permit A;

3. Three members shall hold an active Permit B.

c) The Panel shall:

1. Meet only at the direction of the Director;

2. Be reimbursed for all legitimate, necessary and authorized expenses incurred in attending the meetings of the panel;

3. Review Permit A and Permit B applications at the request of the Director;

4. Recommend to the Director the eligibility of applicants;

5. Recommend to the Director when an on-site inspection may be necessary and conduct an inspection with a Board member present;

6. Evaluate results of on-site inspection and make recommendation to the Director as to eligibility of applicants; and

7. Advise the Director in regard to anesthesiology related matters that include mortality and morbidity statistics.

d) Each Panel member shall serve a 4 year term and may be appointed once.

History

• Source: Amended at 34 Ill. Reg. 7205, effective May 5, 2010

68 Ill. Adm. Code 1220.540 Approved Programs in Anesthesiology (repealed)

History

• Source: Repealed at 34 Ill. Reg. 7205, effective May 5, 2010

68 Ill. Adm. Code 1220.550 Reporting of Adverse Occurrences (repealed)

History

• Source: Repealed at 22 Ill. Reg. 14880, effective July 29, 1998

68 Ill. Adm. Code 1220.560 Restoration of Permits

a) A licensee seeking restoration of a permit after it has expired for 12 months or less shall have the permit restored upon payment of $20 plus the current renewal fee. The licensee shall also submit certification of anesthesia cases as provided in Section 1220.525(d) and the records required to be kept pursuant to Section 1220.510(n) or 1220.520(k), as appropriate to the permit held, of all anesthesia cases performed since the permit was last renewed. The permit will be restored if the Division finds that the applicant is competent to provide anesthesia services appropriate to the permit for which restoration is sought.

b) A licensee seeking restoration of a permit after it has expired for more than 12 months shall file an application, on forms supplied by the Division, together with the fees required by Section 1220.415. The licensee shall also submit:

1. Sworn evidence of lawful active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 16 of the Act. If an applicant applies for restoration of the permit within 2 years after termination of such service, he/she shall have the permit restored without paying any lapsed renewal or restoration fees; or

3. For Permit A restoration, proof of the training set forth in Section 1220.510(b)(1) taken 2 years prior to application; or

4. For Permit B restoration, proof of the training set forth in Section 1220.520(a)(1) taken 2 years prior to application.

c) When proof of remedial training is provided, the permit shall not be restored unless and until the Board has reviewed and approved the training. The Board may require the renewal applicant to obtain additional training when it finds that the training completed was not sufficient.

d) A licensee who has been granted restoration, whose license has not been active for less than 5 years due to discipline, and whose license expired during the period of discipline, must comply with the requirements of subsection (a). If the licensee has not had an active license for 5 years or more due to discipline, the licensee must show proof of certification of training pursuant to Sections 1220.510(b) and/or 1220.520(a) or shall be required to complete such additional testing, training, or remedial education as the Board may deem necessary in order to establish the licensee’s present capacity to practice dentistry with reasonable judgment, skill and safety.

History

• Source: Amended at 47 Ill. Reg. 1672, effective January 23, 2023

68 Ill. Adm. Code 1220.APPENDIX A Pre-Clinical Restorative Dentistry Sub-Section (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4191, effective March 16, 1989

68 Ill. Adm. Code 1220.APPENDIX B Dental Assistant Permitted Procedures (repealed)

History

• Source: Repealed at 24 Ill. Reg. 13992, effective August 31, 2000

68 Ill. Adm. Code 1220.APPENDIX C Dental Hygienist Permitted Procedures (repealed)

History

• Source: Repealed at 24 Ill. Reg. 13992, effective August 31, 2000

68 Ill. Adm. Code 1220.APPENDIX D Characteristics of Levels of Anesthesia*

Factors

Minimal Sedation

(No Permit required)

Moderate/Conscious Sedation

(Permit A)

Deep Sedation

(Permit B)

General Anesthesia

(Permit B)

Goal

Decrease anxiety;

facilitate coping skills

Decrease or eliminate anxiety; facilitate coping skills

Eliminate anxiety; coping skills over-ridden

Eliminate cognitive, sensory and skeletal motor activity

Definition

Minimally depressed level of consciousness, produced by a pharmacological method, that retains the patient's ability to independently and continually maintain an airway and respond normally to tactile stimulation and verbal command. Although cognitive function and coordination may be modestly impaired, ventilatory and cardiovascular functions are unaffected

Pharmacologically induced depressed state of consciousness (altered consciousness, signs of sleep) under which an individual retains the ability to independently and continuously maintain an airway and respond appropriately to light tactile stimulation and oral commands

Pharmacologically induced controlled state of depressed consciousness, accompanied by partial loss of protective reflexes, including inability to respond purposefully to oral commands. The purposeful response to painful stimulation is maintained

Pharmacologically induced controlled state of unconsciousness accompanied by a partial or complete loss of protective reflexes, including inability to independently maintain an airway and respond purposefully to painful stimulation or oral commands

Personnel

1 (treating dentist)

3 (treating dentist with Permit A; trained person to monitor patient or nurse anesthetist; trained assistant)

OR

3 (treating dentist w/o Permit A/B; physician or dentist with Permit A/B; trained assistant)

3 (treating dentist with Permit B; trained person to monitor patient or nurse anesthetist; trained assistant)

OR

3 (treating dentist w/o Permit B; physician or dentist with Permit B; trained assistant)

3 (treating dentist with Permit B; trained person to monitor patient or nurse anesthetist, trained assistant)

OR

3 (treating dentist w/o Permit B; physician or dentist with Permit B; trained assistant)

Monitoring

Clinical observation and monitoring as appropriate

Preoperative,

intraoperative and pre-discharge monitoring of BP, pulse, respiration and oxygen saturation

Preoperative,

intraoperative, and pre-discharge monitoring of BP, pulse, respiration and oxygen saturation, EKG monitoring. Defibrillator required

Preoperative,

intraoperative, and pre-discharge monitoring of BP, pulse, respiration and oxygen saturation, EKG monitoring. Defibrillator required

• Chart adapted from American Academy of Pediatric Dentistry, Reference Manual 2000-2001, Templates of Definitions and Characteristics for Levels of Sedation and General Anesthesia and the American Dental Association, Guidelines for the Use of Sedation and General Anesthesia by Dentists (October 2012).

History

• Source: Amended at 38 Ill. Reg. 15907, effective July 25, 2014

Part 1230 Detection of Deception Examiners Act

68 Ill. Adm. Code 1230.10 Statutory Authority (repealed)

History

• Source: Repealed at 22 Ill. Reg. 10567, effective June 1, 1998

68 Ill. Adm. Code 1230.20 Definitions

As used in this Part, unless the context requires otherwise:

a) "Examination" means a detection of deception examination, which generally consists of a pre-test interview, question formulation, two or more tests, and, if appropriate, an interrogation.

b) "Subject" means the person who undergoes an examination.

c) "Client" means the person who engages the services of an examiner for the purpose of administering an examination to a subject.

d) "Specific issue mock examination" means an examination in which the situation is fictitious and designed to simulate a real life criminal act.

e) "Real life examination" means an examination that uses an actual crime that has been committed.

f) "Trainee" means a person registered for the training required by Section 11(D) of the Act.

g) "Trainer" means a person approved under Section 1230.40(a) to teach the areas in the training required by Section 1230.30(a).

h) "Specialized Instructor" means a person approved under Section 1230.40(b) to teach one of the areas in the training required by Section 1230.30(b).

i) "Test" is that period of time during which a subject's physiological responses are being measured as he or she is answering test questions.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.30 Six Month Study of Detection of Deception

To obtain the 6 months of training required by Section 11(D) of the Act, a trainee shall be required to complete the following minimum coursework under the supervision of instructors approved under Section 1230.40:

a) The following coursework shall be obtained under the supervision of a trainer as defined in Section 1230.20 of this Part.

1. Fact Taking – Case History Studies – 5 hours

2. General Theory – 10 hours

3. Instrumentation – 10 hours

4. Physical Settings for Examinations – 5 hours

5. Question Formulation – 25 hours

6. Pre-test Interviews – 25 hours

7. Behavior Symptom Analysis – 15 hours

8. Stimulation and Calming Techniques – 10 hours

9. Types of Test and Test Procedures – 25 hours

10. Chart Interpretation – 25 hours

11. Completion and Analysis of Required Reports – 10 hours

12. History of Polygraph – 10 hours

13. Ethics – 5 hours

14. Interrogation – 25 hours

15. Practical Experience – 30 specific examinations (at least 15 shall be real life examinations and the other 15 may be specific issue mock examinations).

b) The following courses shall be obtained under a specialized instructor as defined in Section 1230.20(f):

1. Physiological Aspects – 25 hours

2. Psychological Aspects – 15 hours

3. Legal Aspects – 15 hours

c) The practical experience required under subsection (a)(15) must be earned in the following manner:

1. Before a trainee is allowed to conduct any real life examinations, he/she must have satisfactorily completed at least 100 hours of formalized instruction.

2. The trainee must be personally supervised by a trainer while he/she conducts the 30 specific examinations. Supervision means the trainer must be at the location where the test is being administered to assist the trainee in:

A) Evaluating the facts;

B) Formulating the questions;

C) Conducting the examination;

D) Interpreting the polygraph charts; and

E) Making the final analysis of the examination results.

3. The trainee must conduct the real life examinations and the specific issue mock examinations under the personal supervision of a trainer.

A) Specific issue mock examinations must investigate whether a person performed a specific act and do not include pre-employment screening examinations.

B) The specific real life cases must reflect a blend of investigative issues. This testing must reflect a balance of at least 5 different types of investigative issues (such as burglary, theft, robbery) and include at least 1 examination involving as the subject a victim, witness or informant.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.40 Instructors Qualifications and Approval

a) Trainer Qualifications. A person shall be approved to teach the courses listed in Section 1230.30(a) who has the following qualifications:

1. Is a detection of deception examiner licensed in Illinois or in another state with substantially equivalent requirements;

2. Has a license in good standing;

3. Has a minimum of 3 years of experience as a licensed detection of deception examiner; and

4. Currently administers examinations on a regular basis.

b) Specialized Instructors Qualifications. A person shall be approved as a specialized instructor:

1. To teach Psychological Aspects, if he or she has a bachelor's degree from an accredited college or university with at least 20 semester hours in psychology courses;

2. To teach Physiological Aspects, if he or she has a bachelor's degree from an accredited college or university with at least 20 semester hours in life science courses, including one course in human physiology;

3. To teach Legal Aspects, if he or she has a law degree from an accredited law school.

c) Application for Approval

1. An applicant for approval as a trainer or specialized instructor shall submit an application and a general course outline to the Department of Financial and Professional Regulation-Division of Professional Regulation (Division). The course outline shall include a list of the books to be used, the number of hours to be devoted to each subject, a brief description of the content of the instruction in each subject, and a course syllabus outlining the expected progression of the course.

2. Trainer applicants not licensed in Illinois must also submit proof of licensure and substantially equivalent qualifications.

3. Specialized instructor applicants shall also submit certified transcripts from the college or university attended indicating that the appropriate number of hours have been earned and/or the appropriate degree granted.

4. The applicant may be required to appear before the Director of the Department of Financial and Professional Regulation-Division of Professional Regulation (Director) or his or her designee for an interview if the Director has any questions relating to the applicant's qualifications or the sufficiency of the course outline.

5. Approval granted under this Section is good for a period of five years and may be renewed only upon a showing that the applicant meets the qualifications then required of a trainer or specialized instructor.

d) Withdrawal of Approval

1. The Director may withdraw, suspend or place on probation the approval of a trainer or specialized instructor when it is found, after a hearing before the Division, that the trainer or specialized instructor has violated any provision of Section 14 of the Act in his or her actions as a trainer or specialized instructor.

2. In the case of an Illinois licensed trainer, any hearing for suspension or revocation of the trainer's detection of deception examiner license shall also serve as a hearing on his or her approval as a trainer.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.50 Application for Registered Training

a) To establish that a prospective trainee "is a person of good moral character", each trainee must satisfactorily undergo an examination administered by the trainer from whom he or she intends to receive training. The results and records of this examination shall be made available to the Division upon request.

b) A person desiring to be trained as a detection of deception examiner shall file an application for approval of registered training with the Division, together with certified transcripts from an accredited college or university indicating that a bachelor's degree has been granted, and the fee required by Section 1230.155.

c) An applicant for registered training may not begin training until the trainee receives written notice of approval from the Division.

d) No person who is or has been issued a detection of deception examiners license shall be issued a trainee certificate.

History

• Source: Amended at 37 Ill. Reg. 4832, effective April 1, 2013

68 Ill. Adm. Code 1230.60 Application for Licensure Examination

An applicant for licensure shall submit an application at least 30 days prior to an examination date. The application shall include a certified transcript of registered training hours the applicant has completed and the fee required by Section 1230.155.

History

• Source: Amended at 37 Ill. Reg. 4832, effective April 1, 2013

68 Ill. Adm. Code 1230.70 Licensure Examination

a) Licensure examination content will be based on the knowledge, skills and abilities required to perform effectively and legally as a detection of deception examiner. The licensure examination shall include, but not be limited to, the following subject areas:

Laws, Regulations and Standards of Practice

Psychology

Physiology and Anatomy

Investigative Techniques

History and Instrumentation

Question Formulation

Chart Interpretation

Practical Chart-Reading

b) The passing grade on the examination shall be a score of 75.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.80 Impermissible Advertising

a) An examiner shall not advertise in any manner with a view of deceiving the public, or in any way that will tend to deceive or defraud the public.

b) An examiner shall not publish, directly or indirectly, or circulate any fraudulent, false or misleading statements as to the skill or method of practice of any person or examiner.

c) An examiner shall not claim superiority over other detection of deception examiners as to his or her skill or method of practice.

d) An examiner shall not identify any subject by any means in any advertisements.

e) An examiner shall not give public demonstrations of detection of deception for the purpose of securing patronage.

f) An examiner shall not advertise free examinations as an inducement to secure patronage.

g) An examiner shall not employ "cappers" or "steerers" to obtain patronage.

h) An examiner shall not divide fees or agree to split or divide the fees received for detection of deception services with any person for bringing or referring a client.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.90 Pre-Test Interview

An examiner shall not administer a test in any case without first conducting a pre-test interview with the prospective subject in accordance with the following minimum requirements:

a) The examiner shall inform the prospective subject of each issue to be determined in the test and reported upon by the examiner.

b) The questions to be asked at the test shall be formulated and reduced to writing and shall be read to the prospective subject. The answers shall be recorded in writing on the same document.

c) The examiner shall not initiate an accusatory interrogation prior to the test for the purpose of eliciting a confession or admission against interest from the prospective subject.

d) The examiner shall inform the prospective subject that taking the test must be a voluntary act, and the examiner shall obtain the subject's consent to undergo the test.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.100 Protection of the Rights of the Subject

In order to protect the rights of the subject, the following minimum procedures must be performed:

a) Notice to Subject. Each prospective subject shall be required to sign a notification, prior to the beginning of an examination, containing the following information:

1. The prohibitions contained in Section 14.1 of the Act; and

2. The subject has the right to request a copy of the results of his or her examination under Section 3 of the Act.

3. The name of the examiner, the firm name and the address.

b) All instruments used in an examination must be kept accurate by being calibrated on a regular basis, as specified in the manufacturer's instructions. The Division has the right to inspect these machines at any time during regular business hours, without notice.

c) When an examination is being administered, no third party shall be present in the examination room without the subject's knowledge and prior written consent as to the identity and the reason for the presence of that person.

d) An examination in progress may be observed or listened to by examiners or trainees from outside the examination room, but no other person may do so without the subject's knowledge and prior written consent. The statement of consent shall include the identity of any person permitted to observe or listen, the means used for observing or listening, and the reasons for observing or listening.

e) Immediately upon request of the subject, an examiner shall terminate an examination.

f) A test shall not continue for more than 4 minutes while the arm pressure cuff is being utilized, nor more than 5 minutes while the wrist cuff is being utilized.

g) During the examination the examiner shall utilize both relevant issue questions and questions to be used for comparison purposes.

h) An examiner, when administering an examination, shall not attempt to determine truth or deception on matters or issues not discussed with the subject at the pre-test interview or not reasonably related to the matters or issues previously discussed with the subject.

i) An examiner shall not initiate an accusatory interrogation for the purpose of eliciting a confession or admission against interest from the subject until after the examiner has conducted two tests on the issues submitted for determination.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.110 Impermissible Activities of an Examiner

a) An examiner shall not knowingly administer an examination on behalf of an illegal business, criminal enterprise or scheme of criminal misconduct in which either the client or subject are employed or otherwise engaged.

b) An examiner shall not administer an examination in any case where there is reason to believe that the client, as a result of the examination or in connection with the examination, intends to perform a criminal act.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.120 Disclosure of Examination Results

a) An examiner shall prepare a written report of each examination he or she administers. The report shall contain at least the following information:

1. Identity of the subject;

2. Identity of the client; and

3. For:

A) Pre-employment examinations, the results of the examination; or

B) All other examinations:

i) A statement of the facts upon which he/she conducted both the pre-test interview with the subject and the examination itself.

ii) A list of the questions asked on the tests that were relevant to the issues upon which the subject agreed to be examined.

iii) His or her conclusion as to truth or deception of the subject's answer to each of the questions listed in the report.

b) An examiner shall not include in the report any conclusion as to the truth or deception of the subject with regard to any matters not submitted by the client for determination.

c) An examiner shall not report his or her professional conclusion as to truth or deception on a relevant issue without having asked the question relating to that issue at least once in each of 2 separate tests.

d) If a defense attorney has asked that an examination of his or her client be conducted and later asks that the examiner not issue a written report, an examiner shall not be required to prepare a written report. When the examination is being utilized as part of that attorney's work product, it falls under protected attorney/client privilege. The request must be documented and kept in the file pursuant to Section 1230.130.

e) When retained privately, an examiner shall not be required to prepare a written report when asked not to do so by the client. The request must be noted and kept in the file pursuant to Section 1230.130.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.130 Required Records

An examiner shall, in the case of every examination administered by him/her, maintain a record for at least 5 years that shall contain at least the following:

a) All material upon which he/she conducted the pre-test interview.

b) The questions asked of the subject at the pre-test interview and his/her answers.

c) The examination questions, as formulated at the pre-test interview, and the subject's answers.

d) The exact questions asked of the subject at any time during the examination and the subject's answers thereto.

e) All recordings of the polygraph instrument made during the tests adequately identified as to the order in which the recordings were obtained, the point at which every question was asked and the answer thereto, the identification of each question and any notations indicating changes of the subject's behavior and environmental influence that might affect the polygraph's recordings.

f) All written consents and acknowledgments of the subject as required by this Part.

g) A copy of all examination reports prepared by an examiner.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.140 Endorsement

a) A person licensed in another state or territory desiring to obtain licensure by endorsement shall submit an application to the Division that shall include a certification of registration form completed by the licensing board of the state of original licensure, and the required fee.

b) The Division shall evaluate the application to determine if the requirements in the state of original licensure are substantially equivalent to those in Illinois. Within a reasonable time, the Division shall either grant licensure by endorsement or inform the applicant of the reasons for denial.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.150 Renewals

a) The certificate of registration issued under the Act for a detection of deception examiner shall expire on May 31 of each odd-numbered year. The holder of this certificate of registration may renew the certificate during the month preceding the expiration date by paying the fee required by Section 1230.155.

b) The certificate of registration for detection of deception trainee shall expire one year from the date of issuance. The holder of this certificate of registration may renew the certificate by submitting a new 4-page application and the fee required by Section 1230.155 two months prior to the expiration date of the initial certificate of registration. The certificate of registration for detection of deception trainee shall only be renewed one time past the initial issuance of the certificate.

c) It is the responsibility of each registrant to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

History

• Source: Amended at 37 Ill. Reg. 4832, effective April 1, 2013

68 Ill. Adm. Code 1230.151 Restoration

A person seeking restoration of a license that has expired or been placed on inactive status for less than 5 years shall have the license restored upon payment of the fee required by Section 1230.155, except that the fee is waived, under Section 13 of the Act, for applicants who can provide an affidavit attesting to military service during which the license expired, if application is made within 2 years after discharge.

History

• Source: Added at 29 Ill. Reg. 16416, effective October 13, 2005

68 Ill. Adm. Code 1230.155 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for a license as a detection of deception examiner is $100. In addition, applicants for an examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application for a license as a detection of deception examiner trainee is $50.

b) Renewal Fees

1. The fee for the renewal of a detection of deception examiner license shall be calculated at the rate of $125 per year.

2. The fee for the renewal of a detection of deception examiner trainee license is $50.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, not to exceed $675.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license that has been lost or destroyed or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

5. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

6. The fee for a roster of persons licensed as detection of deception examiners in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 37 Ill. Reg. 4832, effective April 1, 2013

68 Ill. Adm. Code 1230.160 Granting Variances

The Director may grant variances from this Part in individual cases where he or she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 29 Ill. Reg. 16416, effective October 13, 2005

Part 1240 Private Detective, Private Alarm, Private Security, Fingerprint Vendor, and Locksmith Act of 2004

68 Ill. Adm. Code 1240.10 Application for Examination and Licensure – Private Detective

a) Applications for licensure by examination, together with all supporting documentation, including verification of work experience, must be on file at least 60 days prior to the date of the examination.

b) No candidate shall be admitted to the examination until having fulfilled the experience and/or education requirements specified in Section 15-10(a)(6) of the Act. To determine such fulfillment, the following standards shall be applied:

1. The term "year" shall be 12 months with an average of at least 20 work days per month during which the applicant was engaged in full-time employment equal to 1500 hours or more annually.

2. "Full‑time investigator in a law enforcement agency" shall mean a sworn peace officer, as defined in Section 5-10 of the Act, who serves in the capacity of a full-time detective/investigator or above rank.

c) The passing grade on the examination is 70 or above.

d) Upon notification of successful completion of the examination, the applicant may apply to the Department of Financial and Professional Regulation-Division of Professional Regulation (Division) for licensure. The application must be complete and must be accompanied by:

1. One of the following:

A) Copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

B) Out-of-state residents unable to utilize the ISP electronic fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP; or

C) In lieu of fingerpints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application in lieu of fingerprints. The verification shall be signed by the applicant's employer;

2. Proof of at least $1,000,000 of general liability insurance held by the applicant as evidenced by a certificate of insurance from the insurer; and

3. The required fees specified in Section 1240.570.

e) A successful examination score shall be valid for 3 years. After 3 years the examination score will be void and an applicant will be required to file a new application, meeting the requirements at the time of the new application, and will be required to sit for and pass the examination.

f) In addition to any other requirements, an applicant for licensure shall meet the following:

1. Has not been convicted of any felony in any jurisdiction or at least 10 years have lapsed since the time of full discharge from a sentence imposed for a felony conviction;

2. Is of good moral character. Good moral character is a continuing requirement of licensure. Conviction of crimes other than felonies may be used in determining moral character, but shall not constitute an absolute bar to licensure, except when the applicant is a registered sex offender;

3. Has not been declared by any court of competent jurisdiction to be incompetent by reason of mental or physical defect or disease, unless a court has subsequently declared the applicant to be competent;

4. Is not suffering from dependence on alcohol or from narcotic addiction or dependence;

5. Has not been dishonorably discharged from the armed forces of the United States;

6. Submits his or her fingerprints, in accordance with the provisions of the Act and this Part, including but not limited to the payment of any required fees;

7. Has not violated any provision of the Act or this Part.

g) For applicants utilizing the experience referenced in Section 15-10(c) where proof of canine odor detection services for hire since January 1, 2005 is required, at least the following shall be included:

1. Certified copies of a minimum of three canine odor detection services contracts prior January 1, 2005.

2. A completed VE-DET form to document the work experience in canine odor detection services since January 1, 2005.

History

• Source: Amended at 38 Ill. Reg. 7879, effective March 25, 2014

68 Ill. Adm. Code 1240.20 Application for Licensure – Private Detective Agency

a) An applicant for licensure as a private detective agency shall, in accordance with Section 15-15 of the Act, file an application with the Division, on forms provided by the Division, together with the following:

1. Agency name, address and telephone number of principal office in Illinois where services are provided. A post office box by itself is not acceptable.

2. If the agency does not maintain a principal office in Illinois, the address and telephone number of its out-of-state office where its licensee-in-charge is located and records of its operations within Illinois are kept in compliance with the requirements of the Act and this Part. A post office box by itself is not acceptable.

3. Name and Illinois private detective license number of its licensee-in-charge.

4. The required fees specified in Section 1240.570.

5. The type of business (sole proprietorship, partnership, corporation, etc.).

A) If a sole proprietorship, the name of the owner and his or her license number;

B) If a partnership, a listing of all partners and their license numbers;

C) If a corporation, a copy of the Articles of Incorporation, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the officers and directors of the corporation, including license numbers, if applicable. If using an assumed name (d/b/a), a copy of the assumed name registration issued by the Secretary of State. If the corporation is a foreign corporation, a copy of the authorization to conduct business in Illinois;

D) If a limited liability company, a copy of the Articles of Organization, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the members of the limited liability company and their license numbers, if applicable.

b) The name of the agency shall not include the words "law enforcement" or "police" or any other words or combination that implies that the agency is a law enforcement or police agency or a governmental agency.

c) Any unlicensed officers, directors or members of the applicant corporation or limited liability company shall be persons of good moral character as determined by the Division.

d) When the accuracy, relevance or sufficiency of any submitted documentation or information is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure or any of its owners, partners, officers, directors or members shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the accuracy, relevance or sufficiency of any submitted documentation or information or lack of information, discrepancies or conflicts in information given.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.100 Application for Examination and Licensure – Private Alarm Contractor

a) Application for licensure by examination, together with all supporting documentation, including verification of work experience, must be on file at least 60 days prior to the date of examination.

b) No candidate shall be admitted to the examination until having fulfilled the experience and/or education requirements specified in Section 20-10(a)(6) of the Act. To determine such fulfillment, the term "year" shall be 12 months with an average of at least 20 work days per month during which the applicant was engaged in full-time employment equal to 1500 hours or more annually.

c) The passing score on the examination is 70 or above.

d) Upon notification of successful completion of the examination, the applicant may apply to the Division for licensure. The application shall include:

1. One of the following:

A) Copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

B) Out-of-state residents unable to utilize the ISP electronic fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP; or

C) In lieu of fingerprints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application. The verification shall be signed by the applicant's employer;

2. Proof of at least $1,000,000 of general liability insurance held by the applicant as evidenced by a certificate of insurance from the insurer; and

3. The required fees specified in Section 1240.570.

e) A successful examination score shall be valid for 3 years. After 3 years the examination score will be void and an applicant will be required to file a new application, meeting the requirements at the time of the new application, and will be required to sit for and pass the examination.

f) In addition to any other requirements, an applicant for licensure shall meet the following:

1. Has not been convicted of any felony in any jurisdiction or at least 10 years have lapsed since the time of full discharge from a sentence imposed for a felony conviction;

2. Is of good moral character. Good moral character is a continuing requirement of licensure. Conviction of crimes other than felonies may be used in determining moral character, but shall not constitute an absolute bar to licensure, except when the applicant is a registered sex offender;

3. Has not been declared by any court of competent jurisdiction to be incompetent by reason of mental or physical defect or disease, unless a court has subsequently declared the applicant to be competent;

4. Is not suffering from dependence on alcohol or from narcotic addiction or dependence;

5. Has not been dishonorably discharged from the armed forces of the United States;

6. Submits his or her fingerprints, in accordance with the provisions of the Act and this Part, including but not limited to the payment of any required fees;

7. Has not violated any provision of the Act or this Part.

History

• Source: Amended at 38 Ill. Reg. 7879, effective March 25, 2014

68 Ill. Adm. Code 1240.110 Application for Licensure – Private Alarm Contractor Agency

a) An applicant for licensure as a private alarm contractor agency shall, in accordance with Section 20-15 of the Act, file an application with the Division, on forms provided by the Division, together with the following:

1. Agency name, address and telephone number of principal office in Illinois where services are provided. A post office box by itself is not acceptable.

2. If the agency does not maintain a principal office in Illinois, the address and telephone number of its out-of-state office where its licensee-in-charge is located and records of its operations within Illinois are kept in compliance with the requirements of the Act and this Part. A post office box by itself is not acceptable.

3. Name and Illinois private alarm contractor license number of its licensee-in-charge.

4. The required fees specified in Section 1240.570.

5. The type of business (sole proprietorship, partnership, corporation, etc.).

A) If a sole proprietorship, the name of the owner and his or her license number;

B) If a partnership, a listing of all partners and their license numbers;

C) If a corporation, a copy of the Articles of Incorporation, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the officers and directors of the corporation, including license numbers, if applicable. If using an assumed name (d/b/a), a copy of the assumed name registration issued by the Secretary of State. If the corporation is a foreign corporation, a copy of the authorization to conduct business in Illinois;

D) If a limited liability company, a copy of the Articles of Organization, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the members of the limited liability company and their license numbers, if applicable.

b) The name of the agency shall not include the words "law enforcement" or "police" or any other words or combination that implies that the agency is a law enforcement or police agency or a governmental agency.

c) Any unlicensed officers, directors or members of the applicant corporation or limited liability company shall be persons of good moral character as determined by the Division.

d) When the accuracy, relevance or sufficiency of any submitted documentation or information is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure or any of its owners, partners, officers, directors or members shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the accuracy, relevance or sufficiency of any submitted documentation or information or lack of information, discrepancies or conflicts in information given.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.200 Application for Examination and Licensure – Private Security Contractor

a) Applications for licensure by examination, together with all supporting documentation, including verification of work experience, must be on file at least 60 days prior to the date of the examination.

b) No candidate shall be admitted to the examination until having fulfilled the experience and/or education requirements specified in Section 25-10(a)(6) of the Act. To determine such fulfillment, the following standards shall be applied:

1. The term "year" shall be 12 months with an average of at least 20 work days per month during which the applicant was engaged in full-time employment equal to 1500 hours or more annually.

2. "Full‑time supervisor in a law enforcement agency" shall mean a sworn peace officer serving in a full-time position responsible for the direction and performance of other law enforcement personnel.

c) The passing grade on the examination is 70 or above.

d) Upon notification of successful completion of the examination, the applicant may apply to the Division for licensure. The application must be complete and must be accompanied by:

1. One of the following:

A) Copy of the verification of electronic fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

B) Out-of-state residents unable to utilize the ISP fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP; or

C) In lieu of fingerprints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application. The verification shall be signed by the applicant's employer;

2. Proof of at least $1,000,000 of general liability insurance held by the applicant as evidenced by a certificate of insurance from the insurer; and

3. The required fees specified in Section 1240.570.

e) A successful examination score shall be valid for 3 years. After 3 years the examination score will be void and an applicant will be required to file a new application, meeting the requirements at the time of the new application, and will be required to sit for and pass the examination.

f) In addition to any other requirements, an applicant for licensure shall meet the following:

1. Has not been convicted of any felony in any jurisdiction or at least 10 years have lapsed since the time of full discharge from a sentence imposed for a felony conviction;

2. Is of good moral character. Good moral character is a continuing requirement of licensure. Conviction of crimes other than felonies may be used in determining moral character, but shall not constitute an absolute bar to licensure, except when the applicant is a registered sex offender;

3. Has not been declared by any court of competent jurisdiction to be incompetent by reason of mental or physical defect or disease, unless a court has subsequently declared the applicant to be competent;

4. Is not suffering from dependence on alcohol or from narcotic addiction or dependence;

5. Has not been dishonorably discharged from the armed forces of the United States;

6. Submits his or her fingerprints, in accordance with the provisions of the Act and this Part, including but not limited to the payment of any required fees;

7. Has not violated any provision of the Act or this Part.

g) For applicants utilizing the experience referenced in Section 25-10(c) where proof of canine odor detection services for hire since January 1, 2005 is required, at least the following shall be included:

1. Certified copies of a minimum of three canine odor detection services contracts prior January 1, 2005.

2. A completed VE-DET form to document the work experience in canine odor detection services since January 1, 2005.

History

• Source: Amended at 38 Ill. Reg. 7879, effective March 25, 2014

68 Ill. Adm. Code 1240.210 Application for Licensure – Private Security Contractor Agency

a) An applicant for licensure as a private security contractor agency shall, in accordance with Section 25-15 of the Act, file an application with the Division, on forms provided by the Division, together with the following:

1. Agency name, address and telephone number of principal office in Illinois where services are provided. A post office box by itself is not acceptable.

2. If the agency does not maintain a principal office in Illinois, the address and telephone number of its out-of-state office where its licensee-in-charge is located and records of its operations within Illinois are kept in compliance with the requirements of the Act and this Part. A post office box by itself is not acceptable.

3. Name and Illinois private security contractor license number of its licensee-in-charge.

4. The required fees specified in Section 1240.570.

5. The type of business (sole proprietorship, partnership, corporation, etc.).

A) If a sole proprietorship, the name of the owner and his or her license number;

B) If a partnership, a listing of all partners and their license numbers;

C) If a corporation, a copy of the Articles of Incorporation, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the officers and directors of the corporation, including license numbers, if applicable. If using an assumed name (d/b/a), a copy of the assumed name registration issued by the Secretary of State. If the corporation is a foreign corporation, a copy of the authorization to conduct business in Illinois;

D) If a limited liability company, a copy of the Articles of Organization, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the members of the limited liability company and their license numbers, if applicable.

b) The name of the agency shall not include the words "law enforcement" or "police" or any other words or combination that implies that the agency is a law enforcement or police agency or a governmental agency.

c) Any unlicensed officers, directors or members of the applicant corporation or limited liability company shall be persons of good moral character as determined by the Division.

d) When the accuracy, relevance or sufficiency of any submitted documentation or information is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure or any of its owners, partners, officers, directors or members shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the accuracy, relevance or sufficiency of any submitted documentation or information or lack of information, discrepancies or conflicts in information given.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.300 Application for Examination and Licensure – Locksmith

a) An individual seeking licensure by examination as a locksmith shall make application to the Division, on forms provided by the Division, at least 60 days prior to the examination. The application form shall include questions necessary for the Division to establish that the applicant meets the qualifications for licensure specified in Section 30-10 of the Act.

b) The passing score on the examination is 70 or above.

c) Upon notification of successful completion of the examination, the applicant may apply to the Division for licensure. The application shall include:

1. One of the following:

A) Copy of the verification of fingerprint processing from ISP or one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

B) Out-of-state residents unable to utilize the ISP fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by the vendor; or

C) In lieu of fingerprints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application. The verification shall be signed by the applicant's employer;

2. Proof of at least $1,000,000 of general liability insurance held by the applicant as evidenced by a certificate of insurance from the insurer; and

3. The required fees specified in Section 1240.570.

d) A successful examination score shall be valid for 3 years. After 3 years the examination score will be void and an applicant will be required to file a new application, meeting the requirements at the time of the new application, and will be required to sit for and pass the examination.

e) In addition to any other requirements, an applicant for licensure shall meet the following:

1. Has not been convicted of any felony in any jurisdiction or at least 10 years have lapsed since the time of full discharge from a sentence imposed for a felony conviction;

2. Is of good moral character. Good moral character is a continuing requirement of licensure. Conviction of crimes other than felonies may be used in determining moral character, but shall not constitute an absolute bar to licensure, except when the applicant is a registered sex offender;

3. Has not been declared by any court of competent jurisdiction to be incompetent by reason of mental or physical defect or disease, unless a court has subsequently declared the applicant to be competent;

4. Is not suffering from dependence on alcohol or from narcotic addiction or dependence;

5. Has not been dishonorably discharged from the armed forces of the United States;

6. Submits his or her fingerprints, in accordance with the provisions of the Act and this Part, including but not limited to the payment of any required fees;

7. Has not violated any provision of the Act or this Part.

History

• Source: Amended at 38 Ill. Reg. 7879, effective March 25, 2014

68 Ill. Adm. Code 1240.310 20hour Basic Training Course – Locksmith

a) Every person employed as a registered employee of a locksmith agency certified under the Act shall complete, within 30 days after the applicant's employment, a course of basic training.

b) The training shall be a minimum of 20 hours of training related to the applicant's employment that shall be certified by the employer and shall include at a minimum the following subject areas:

1. Public Safety Codes (NFPA 80 & NFPA 101)

A) Life Safety Codes

B) Building Code

C) ADA Law

2. Practical Locksmithing

A) Master Keying

B) Key Records and Codes

C) Key Blanks and Keyways

D) Product Liability

E) Professional Installations

F) Do Not Duplicate

G) Basic Electronic Access Control

3. Responsibilities as Required by the Act

A) When to ask for identification

B) What identification is acceptable

C) Required Information for Consumers

D) Record Keeping

4. Permanent Employee Registration Card (PERC)

A) Cause for revoking the card

B) Disciplinary Sanctions

C) Renewal

c) Upon successful completion of the training prescribed in subsection (b), each individual shall be issued, by the employer or the instructor, a Certification of Completion of a Basic Training Course and/or refresher course, which shall be signed by the instructor. The licensee-in-charge shall be responsible for the documentation of the training.

d) The Certification shall be the permanent record of training and shall be retained by the individual as proof of the training. During the term of the individual's employment with an agency licensed by the Division, the Certification or a certified copy shall be filed by the employer with the employee statement and shall remain in the file during the term of employment. Upon termination of employment the original Certification shall be returned to the employee.

e) In the case of an employee who is employed by more than one employer, a notarized copy of the Certification of Completion of a Basic Training Course and/or refresher course shall be kept with the employee statement in lieu of the original Certification.

f) Basic training materials will be made available to Division personnel upon request to verify content.

History

• Source: Amended at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.320 Recordkeeping Requirements – Locksmith (repealed)

History

• Source: Repealed at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.330 Application for Licensure – Locksmith Agency

a) An applicant for licensure as a locksmith agency shall, in accordance with Section 30-15 of the Act, file an application with the Division, on forms provided by the Division, together with the following:

1. Agency name, address and telephone number of principal office in Illinois where services are provided. A post office box by itself is not acceptable.

2. All trade or business names used by the applicant.

3. If the agency does not maintain a principal office in Illinois, the address and telephone number of its out-of-state office where its licensee-in-charge is located and records of its operations within Illinois are kept in compliance with the requirements of the Act and this Part. A post office box by itself is not acceptable. This office shall be located within 50 miles or less in distance from the borders of Illinois.

4. Name and Illinois locksmith license number of its licensee-in-charge.

5. The required fees specified in Section 1240.570.

6. The type of business (sole proprietorship, partnership, corporation, etc.).

A) If a sole proprietorship, the name of the owner and his or her license number;

B) If a partnership, a listing of all partners and their license numbers;

C) If a corporation, a copy of the Articles of Incorporation, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the officers and directors of the corporation, including license numbers, if applicable. If using an assumed name (d/b/a), a copy of the assumed name registration issued by the Secretary of State. If the corporation is a foreign corporation, a copy of the authorization to conduct business in Illinois;

D) If a limited liability company, a copy of the Articles of Organization, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of the members of the limited liability company and their license numbers, if applicable.

b) The name of the agency shall not include the words "law enforcement" or "police" or any other words or combination that implies that the agency is a law enforcement or police agency or a governmental agency.

c) Any unlicensed officers, directors or members of the applicant corporation or limited liability company shall be persons of good moral character as determined by the Division.

d) When the accuracy, relevance or sufficiency of any submitted documentation or information is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure or any of its owners, partners, officers, directors or members shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the accuracy, relevance or sufficiency of any submitted documentation or information or lack of information, discrepancies or conflicts in information given.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.400 Registration of Armed Proprietary Security Force

a) Pursuant to Section 35-45 of the Act and Section 24-2 of the Criminal Code of 2012 [720 ILCS 5/24-2], all commercial or industrial operations that employ one or more persons as armed employees in accordance with Section 24-2(a)(6) and all financial institutions that employ armed employees in accordance with Section 24-2(a)(8) shall register their security forces with the Division, on forms provided by the Division, which include the following:

1. Business name and address of the armed proprietary security force;

2. Any doing business as (d/b/a) names used by the armed proprietary security force and proof of legal authorization to use that name;

3. The type of business (sole proprietorship, partnership, corporation, etc.).

A) If a sole proprietorship, the name and address of the owner;

B) If a partnership, a listing of all partners and addresses;

C) If a corporation, a copy of Articles of Incorporation, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of all officers and members of the board of directors. If the corporation is a foreign corporation, a copy of the authorization to conduct business in Illinois, a copy of the Articles of Incorporation, and a list of all officers and members of the board of directors shall be submitted;

D) If a limited liability company, a copy of the Articles of Organization, a Certificate of Good Standing issued by the Secretary of State within the previous 60 days, and a listing of all officers and members of the limited liability company. If the limited liability company is a foreign limited liability company, a copy of the authorization to conduct business in Illinois, a copy of the Articles of Organization, and a list of all officers and members of the limited liability company shall be submitted.

4. The nature or type of business conducted or to be conducted;

5. The number of armed employees; and

6. The name, title, and email address of the security director who will be registering armed employees and who is responsible for the daily activities of the force.

b) For the purposes of this Section, "armed employee" means an employee whose primary employment responsibility is one or more of the functions of a private security contractor as defined in Section 5-10 of the Act.

c) All armed employees of the registered armed proprietary security force in subsection (a) shall be required to complete a 20-hour basic training course in accordance with Section 1240.505 and a 28-hour firearm training course in accordance with Section 1240.510. All armed employees of the registered security force shall also be subject to the annual refresher training requirement in accordance with Section 1240.510.

d) Except as otherwise provided in this Section, each armed proprietary security force shall be required to apply to the Division, on forms supplied by the Division, for the issuance of a firearm control card, in accordance with Section 1240.530(b) and (c), for each armed employee of the security force. Each application shall include:

1. One of the following:

A) Copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

B) Out-of-state residents unable to utilize the ISP electronic fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP; or

C) In lieu of fingerprints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application. The verification shall be signed by the applicant's employer;

2. Verification that the employee has completed the training required in subsection (c). If the employee's firearm training was completed more than two years before the request for a firearm control card, the employer shall submit evidence that the employee has completed refresher training in accordance with Section 1240.510(o) within the one year preceding the request; and

3. The fee required in Section 1240.570.

e) The firearm control card or retired police card for an eligible employee shall be retained by the employee for the term of employment. The employer shall maintain a copy of the firearm control card or retired police card in its files, available for inspection upon request by the Division. Upon termination of employment, the card shall be returned to the Division by the employer. In the event an employee fails to return a firearm control card or retired police card to the employer, the employer shall notify the Division in writing why the card was not returned.

f) Except as otherwise provided in this Section, no employee shall carry a firearm until the requirements of this Section have been satisfied. An employee who has been issued a license to carry a concealed firearm under the Firearm Concealed Carry Act [430 ILCS 66] is not exempt from compliance with the requirements of this Section. An armed employee shall be in possession of a valid firearm control card, a valid retired police card or otherwise be in compliance with this Section at all times that the armed employee is engaged in employment related duties.

g) If an employee is employed by more than one armed proprietary security force, that employee must possess a separate firearm control card or retired police card for each armed proprietary security force for which the employee uses, carries, or possesses a firearm.

h) The Division may conduct an inspection to verify the information on the application prior to the armed proprietary security force being registered or renewed with the Division.

i) All armed proprietary security force registrations and renewals shall expire on the date specified in the registration or last renewal. The Division shall renew the registration after payment of the renewal fee and upon proof that:

1. The armed proprietary security force still meets all requirements for registration under the Act and this Part; and

2. The armed proprietary security force has either updated or reaffirmed all required information on file with the Division.

j) All armored car companies registered as armed proprietary security forces pursuant to this Section shall have all employees who are required to carry a firearm control card complete classroom and range training in weapons on an annual basis and shall maintain a copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors. The armored car company shall make these documents available to the Division upon request.

k) Individuals currently employed as peace officers, as defined in Section 5-10 of the Act, who are in good standing are not required to obtain firearm control cards. If the individual ceases to be employed as a peace officer, then the individual is required to obtain a firearm control card in accordance with this Section unless the individual is obtaining a retired police card in accordance with subsection (f) of Section 1240.530. For active peace officers, the armed proprietary security force shall maintain on file a copy of the current police identification card and a signed letter from the peace officer's chief of police or the chief of police's designee indicating current status as a peace officer. The armed proprietary security force shall annually re-verify and maintain proof of the employee's qualifications for the peace officer exemption.

l) Maintaining a security director responsible for the daily activities of the force is a continuing requirement for armed proprietary security force registration. The Division must be notified within 14 days after any change in name or title of the security director.

m) When the accuracy, relevance or sufficiency of any submitted documentation or information is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking registration shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the accuracy, relevance or sufficiency of any submitted documentation or information or lack of information, discrepancies or conflicts in information given.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.500 Definitions

"Act" means Private Detective, Private Alarm, Private Security, Fingerprint Vendor, and Locksmith Act of 2004 [225 ILCS 447].

"Board" means the Private Detective, Private Alarm, Private Security, Fingerprint Vendor and Locksmith Board.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"ISP" means the Illinois State Police.

"Qualified Instructor" – An individual who can provide the training as outlined in the Act. This shall include:

A licensed private detective, private alarm contractor, private security contractor or locksmith active and in good standing;

A registered employee (holder of a Permanent Employee Registration Card issued under Section 1240.520), retained or employed by a licensed agency, who has a minimum of 5 years' experience in the discipline being taught;

Registered employees of licensed agencies with a least 3 years' full-time supervisory experience in the area in which the individual will conduct training;

Full time or part-time faculty employed by an institution under the jurisdiction of the Illinois Board of Higher Education or the Illinois Community College Board to teach firearms training courses or security training courses.

A registered employee, retained or employed by a licensed agency, who has a baccalaureate degree in education, business, law enforcement or other related degree to provide training in the discipline to be taught or has 3 years previous experience as a corporate trainer or equivalent in another industry.

An armed employee of a registered armed propriety security force who has the same experience or education as a registered employee under this Section, provided that instruction is limited to basic training for armed employees of a registered armed proprietary security force.

A person who holds a private detective, private alarm, private security, or locksmith license or registration in another state, has law enforcement training experience, has a baccalaureate degree in education, business, law enforcement, or other related degree, or has experience as a corporate trainer may serve as the instructor in a commercially-produced recorded or online training course.

For private alarm contractors, a qualified instructor may also include factory trained and certified personnel on the types of systems or work being trained; National Institute of Certification in Engineering Technologies (NICET) certified personnel; or a Certified Protection Professional (CPP) as designated by the American Society for Industrial Security.

For the 28-hour firearm training course, a qualified instructor is a person registered as a firearm instructor under Section 1240.515.

"Related to" – The immediate family living in the same household.

"Restored" – A court has declared an individual to be competent, as referenced in Section 35-30 of the Act.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Traffic Offense" – As used in Section 35-30(a)(3) of the Act, means a minor offense concerning the operation and use of a motor vehicle or is related to motor vehicles and that does not rise to the level of a felony or misdemeanor.

"Usher" means a person who escorts or directs people to their seats, as in a theater, church or stadium, or acts as a doorkeeper or ticket taker but does not perform any of the functions of a private security contractor as defined in Section 5-10 of the Act.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.501 Licensee-in-Charge

a) Every private detective agency, private alarm contractor agency, private security contractor agency, fingerprint vendor agency, and locksmith agency shall designate a licensee-in-charge. Maintaining a licensee-in-charge is a continuing requirement for agency licensure.

b) The licensee-in-charge shall be a full-time officer or employee of the agency and shall participate in agency affairs. Participation in agency affairs includes, but is not limited to, responsibility for delivery of professional services and compliance with the Act and this Part, including employee recordkeeping, training, activities and conduct, and the review and approval of contracts and proposals. Participation in agency affairs also includes responsibility of the licensee-in-charge for maintaining at a location within Illinois all files subject to audit or inspection pursuant to Section 35-10 of the Act. If the agency does not maintain an office in Illinois, the licensee-in-charge is responsible for maintaining these records at the agency's out-of-state office named in its application for licensure.

c) The licensee-in-charge is responsible for notifying the Division, on forms provided by the Division, of any change of address of the agency or any other change of information required to be reported in any application for licensure within 14 days after the change. Placing this responsibility on the licensee-in-charge does not relieve the agency of any of its related legal obligations.

d) If the agency is a corporation or a limited liability company, the licensee-in-charge is responsible for maintaining the good standing of the corporation or limited liability company with the Secretary of State. If the agency is a foreign corporation, the licensee-in-charge is responsible for maintaining its authorization to conduct business in Illinois. Placing this responsibility on the licensee-in-charge does not relieve the agency of any of its related legal obligations.

e) In determining whether a licensee-in-charge participates in agency affairs, the Division may consider those responsibilities identified in this Section, the number of employees under the direct supervision of the licensee-in-charge, and the employment relationship between the licensee-in-charge and the agency, including the existence of a contract for employment and any other relevant fact or circumstance.

f) An agency applying for a temporary certificate of authority or an extension of a temporary certificate of authority pursuant to Section 15-15, 20-15, 25-15, 30-15, or 31-15 of the Act shall file an application with the Division on forms provided by the Division. The agency shall report to the Division the name and contact information of an officer or other authorized person who will serve as a contact person in the absence of the licensee-in-charge and who has access to agency records.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.502 Application for Branch Office License

a) A licensed private detective agency, private alarm contractor agency, private security contractor agency, or locksmith agency shall not operate a branch office within this State without first applying for and receiving a branch office license for each location. An applicant for a branch office license shall, in accordance with Section 10-5 of the Act, file an application with the Division, on forms provided by the Division, together with the following:

1. Agency name and license number;

2. Branch office address and telephone number. A post office box by itself is not acceptable;

3. County in which the branch office is located;

4. Name and license number of the licensee-in-charge; and

5. The required fees specified in Section 1240.570.

b) The branch office must use the same name as the licensed agency. Use of a different name shall require a new application for an agency license in that name.

c) If the branch office is relocated, a new branch office license application must be submitted to the Division.

d) This Section shall not apply to a licensed fingerprint vendor agency.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.505 Basic, Additional, and Refresher Training - Private Detective, Private Alarm Contractor, Private Security Contractor and Armed Proprietary Security Force Employee

a) Every person employed as a registered employee of a private detective, private alarm or private security agency certified under the Act or as an armed employee of an armed proprietary security force shall complete, within 30 days after commencing employment, a course of basic training. The training shall be a minimum of 20 hours of basic training related to the employment and shall be certified to by the employer. The training may be classroom-based or online Internet-based and shall not be conducted as on-the-job training.

b) Registered employees of a private security contractor agency who provide guarding or other private security related functions, in addition to the basic classroom training required under subsection (a), within 6 months after their employment, shall complete an additional 8 hours of training on subjects to be determined by the employer. This training may be classroom-based, online Internet-based, site-specific, or conducted on the job.

c) In addition to the basic training provided for in subsections (a) and (b), registered employees of a private security contractor agency who provide guarding or other private security related functions and registered employees of a private detective agency shall complete an additional 8 hours of refresher training on subjects to be determined by the employer each calendar year commencing with the calendar year following the employee's first employment anniversary date. The refresher training may be classroom-based, online Internet-based, site-specific, or conducted on the job.

d) Upon successful completion of the training prescribed in subsections (a) through (c), each individual shall be issued, by the employer or the instructor, a Certification of Completion of basic, additional, and/or refresher training courses signed by the instructor or the employer. The licensee-in-charge shall be responsible for the documentation of the training. Documentation of the additional and refresher training shall consist of the date and location of the training, the subject matter covered and instructor or employee who administered the training. The Certificate of Completion of basic, additional, and/or refresher training courses may be reproduced digitally provided the form is printed out and signed and the printed form is a virtual identical copy of the current form in use by the Division.

e) The Certification or a copy shall be the permanent record of training and shall be retained by the individual as proof of the training. During the term of the individual's employment with an agency licensed by the Division, the Certification or a copy shall be filed by the employer with the employee statement required by Section 35-30(b) of the Act and shall remain in the file during the term of employment. Upon termination of employment, the original Certification or a copy shall be returned to the employee.

f) In the case of an employee who is employed by more than one employer, a copy of the Certification of Completion of basic, additional, or refresher training shall be kept with the employee statement required by Section 35-30(b) of the Act.

g) Copies of all training certification and materials required under the Act and this Section shall be made available to Division personnel upon request.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.506 Annual Training for Private Detectives and Private Security Contractors

a) Licensed private detectives shall complete 8 hours of annual training on subjects related to private detective functions.

1. For those licensed as private detectives prior to January 1, 2023, the first annual training must be completed before January 1, 2024.

2. For those licensed as private detectives after December 31, 2022, the first annual training must be completed by the calendar year following the issuance of the private detective license.

b) Licensed private security contractors shall complete 4 hours of annual training on subjects related to private security contractor functions.

1. For those licensed as private security contractors prior to January 1, 2023, the first annual training must be completed before January 1, 2024.

2. For those licensed as private security contractors after December 31, 2022, the first annual training must be completed by the calendar year following the issuance of the private security contractor license.

c) Certifications and records of training shall be prepared and kept and made available to Division personnel in the same manner as prescribed under Section 1240.505. A licensed agency employing a licensed private detective or private security contractor shall be responsible for maintaining the original or a copy of annual training certifications and records. If a private detective or private security contractor is not employed by a licensed agency, then the private detective or private security contractor is responsible for compliance with these requirements.

History

• Source: Added at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.510 Firearm Training Course

a) No registered or armed employee shall be allowed to perform duties that require the use, carrying or possession of a firearm until that employee has completed the 20 hours of basic training required by the Act, and has satisfactorily completed a 28-hour firearm training course approved by the Division. No licensed private detective, private alarm contractor, private security contractor, or locksmith may perform duties that require the use, carrying or possession of a firearm until that licensee has likewise satisfactorily completed a 28-hour firearm training course approved by the Division. The firearm training course shall include 20 hours of classroom-based or online Internet-based instruction and 8 hours firing range experience. The 20 hours of instruction shall include, but not be limited to, the following subject matter:

1. The dangers of and misuse of firearms, their storage, safety rules, and care and cleaning of firearms;

2. Defensive tactics for in-holster weapon retention;

3. Legal use of firearms;

4. Ethical and moral considerations necessary for any person who possesses a firearm;

5. The laws regarding arrest, search, and seizure;

6. Liability for acts that may be performed in the course of employment;

7. Use of deadly force; and

8. Fundamentals of firearm use:

A) Stance;

B) Grip;

C) Sight alignment;

D) Sight picture; and

E) Trigger control.

b) In addition to the 20 hours of instruction required in subsection (a), each student shall complete 8 hours of practice firing on the firing range to apply, in supervised practice, the techniques and methods described in subsection (a). Prior to any range firing, the range master shall conduct a safety inspection on the student's personal firearm or the firearm assigned to the student. Instruction shall include double-action shooting.

c) Training Range

1. The range where the training is to be given, whether indoor or outdoor, shall be maintained in a safe condition and shall be located in an area where the firing of live ammunition is allowed. In determining whether the range is maintained in a safe condition, the Division may conduct an on-site inspection and may consider the following factors:

A) Safety of participants;

B) Safety of any persons or property in the area;

C) Safety maintenance procedures; and

D) Operational rules and policy.

2. Any range found to be operating in an unsafe manner by the Division may be prohibited by the Division from offering the training required under subsection (b) until such time as unsafe practices are remedied.

d) Upon application to the Division, any firearm training course approved by the Illinois Community College Board and/or Illinois Board of Higher Education that requires the firing of a minimum of 50 live rounds of ammunition and a minimum qualification score of 70% will be approved as satisfying the requirements of this Section.

e) Upon application to the Division, any Law Enforcement Firearms Instructor Course approved and registered by the National Rifle Association that requires the firing of a minimum of 50 live rounds of ammunition and a minimum qualification score of 70% will be approved for the range portion of the training.

f) Each individual shall be required to fire a minimum of 50 rounds of live ammunition (factory loaded service ammunition or factory reloaded ammunition).

g) Each student must qualify with a minimum score of 70% with each type of weapon (revolver, semi‑automatic handgun, shotgun, rifle) the student will be authorized to carry.

h) The range instructor shall be responsible for maintaining a safe range environment. Any student who refuses to adhere to proper safety requirements shall be dismissed from training by the instructor or the range master. The range master shall also have full authority as to whether a weapon is in safe operating condition.

i) Upon completion of the training, each student must successfully complete a written examination. A copy of the examination shall be made available to the Division upon request (e.g., course audit). The examination shall test the subjects encompassed in both classroom or internet-based instruction and range instruction. Passage of the examination shall require a score of 75%.

j) Each instructor shall file with the Division, on forms provided by the Division, Certification of Completion of Firearm Training for each student who successfully completes the training. Upon receipt by the Division of the Certification of Completion of Firearm Training, a Certificate of Training shall be issued to the student which shall bear the training number assigned by the Division.

k) The Certificate of Firearm Training shall be the permanent record of firearm training and shall be retained by the individual as proof of the training. During the term of the individual's employment with an agency licensed by the Division, the Certificate of Training or a copy shall be filed by the employer with the employee statement required by Section 35-30(b) of the Act and shall remain in the employee file during the term of employment. Upon termination of employment, the original Certificate of Firearm Training, if in the possession of the employer, shall be returned to the employee.

l) In the case that the employee is employed by more than one employer, a copy of the Certificate of Firearm Training shall be kept with the employee statement required by Section 35-30(b) of the Act in lieu of the original Certificate of Firearm Training.

m) Those persons employed as registered armed employees on August 5, 2003 shall be considered to have completed the training prescribed in this Section except for the annual refresher training established under subsection (o).

n) The training requirements of this Section shall be waived for an individual approved by the Division as a firearm instructor under the provisions of Section 1240.515. That individual shall, upon application to the Division, be issued a Certificate of Firearm Training by the Division.

o) Every person issued a firearm control card or retired police card by the Division shall complete each calendar year, commencing with the calendar year after the date of the issuance of the firearm control card or retired police card, 8 hours of refresher training which may include subjects listed in subsection (a) as determined by the employer but shall include practice firing of a minimum of 50 rounds of live ammunition and a minimum qualification score of 70% for each type of weapon (revolver, semi-automatic handgun, shotgun, rifle) the person is authorized to carry.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.515 Approval of Firearm Training Programs and Firearm Instructors

a) Any person, business entity, agency, or institution offering the training courses described in Section 1240.505 of this Part shall first apply to and receive approval of the course, based upon compliance with Section 1240.510, from the Division. Application shall be made on forms provided by the Division and accompanied by the required application fee established under Section 1240.570.

b) Any person teaching the firearms training courses described in Section 1240.510 of this Part must be approved by the Division. Application for approval shall be on forms provided by the Division and must be accompanied by the required application fee (see Section 1240.570), a current photograph of the applicant, a photocopy of the applicant's valid Firearm Owners Identification Card, which is a continuing requirement of registration, and:

1. Proof that the applicant is recognized and approved by the National Rifle Association (NRA) having taken a Law Enforcement Firearms Instructor Course that includes security personnel within the course. Proof shall be a copy of the applicant's Certificate from the NRA; or

2. Proof that the applicant is approved and recognized as a range instructor by the Illinois Law Enforcement Police Training and Standards Board. Proof shall be a copy of the Instructor's Certificate issued by the Law Enforcement Training and Standards Board. Nothing in this subsection (b)(2) shall obligate the Law Enforcement Police Training and Standards Board to train, recognize or approve range instructors for any purpose other than as specified in the Illinois Police Training Act [50 ILCS 705] and Peace Officer and Probation Officer Firearm Training Act [50 ILCS 710]; or

3. Proof of other firearm instructor education or experience that the Division may consider to be substantially equivalent to subsection (b)(1) or (2), such as experience or education received in military service or federal law enforcement service.

c) Upon application to the Division, any full-time or part-time faculty employed by an institution under the jurisdiction of the Illinois Board of Higher Education or the Illinois Community College Board to teach a firearms training course or security training course shall be approved as satisfying the requirements of this Section.

d) Any firearm training program approved by the Law Enforcement Training and Standards Board shall be approved as satisfying the requirements of this Section.

e) All approvals of firearm instructors shall expire on December 31, 2012 and then every five years thereafter. Failure to apply for and receive renewal of approval by that date shall cause the Division's previously granted approval to expire. The approval may be renewed by the firearm instructor by making application for renewal on forms provided by the Division and accompanied by the required renewal fee (see Section 1240.570) and an affirmation by the firearm instructor that the certification or other qualifying basis on which the Division originally granted approval under this Section remains current or in effect.

f) In addition to any other requirements, a firearm instructor applicant shall meet the following:

1. Not have a felony conviction in any jurisdiction or at least 10 years have lapsed since the time of full discharge from a sentence imposed for a felony conviction;

2. Be of good moral character. Good moral character is a continuing requirement of licensure. Conviction of crimes other than felonies may be used in determining moral character, but shall not constitute an absolute bar to licensure, except when the applicant is a registered sex offender;

3. Not be declared incompetent by reason of any court of competent jurisdiction due to intellectual, physical, or developmental disability, unless a court has subsequently declared the applicant to be competent;

4. Attest they will not engage in instruction while impaired due to illness or the use of alcohol, drugs, chemicals, or any other materials;

5. Not be dishonorably discharged from the armed forces of the United States;

6. Not have prior violations of any provision of the Act or this Part.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.520 Permanent Employee Registration Card

a) Any person seeking employee registration under Section 35-30 of the Act shall file an application with the Division, on forms provided by the Division, along with the following:

1. One of the following:

A) Copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

B) Out-of-state residents unable to utilize the ISP electronic fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP; or

C) In lieu of fingerprints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application. The verification shall be signed by the applicant's employer;

2. The required registration fee specified in Section 1240.570.

b) An agency may employ an applicant in a temporary capacity in accordance with Section 35-30(k) of the Act by:

1. submitting the required application in accordance with subsection (a) on behalf of the person or verifying with the Division that an application has been submitted for the individual;

2. verifying on the Division's website (www.idfpr.com) that the applicant has no criminal conviction pursuant to the ISP criminal history check;

3. maintaining a separate roster of the names of all employees whose applications are pending; and

4. meeting any other requirements set forth in this Part or the Act.

c) If no record is found relating to the fingerprints and the applicant is otherwise qualified under the Act, the Division shall issue to the applicant a permanent employee registration card that shall be valid for the period specified on the face of the card and shall be renewable upon the conditions set forth in Section 1240.550.

d) A valid permanent employee registration card shall serve as proof to an employer that the bearer is eligible for employment.

e) Exempt employees are as follows:

1. Private Detective. Persons who have no access to confidential or detective related information and who otherwise do not provide traditional detective related services are exempt from employee registration. Examples of exempt employees include reception personnel. Confidential or detective related information is that which pertains to employee files, scheduling, client contracts or technical data.

2. Private Alarm Contractor. Persons who have no access to confidential or alarm related information and who otherwise do not provide traditional alarm related services are exempt from employee registration. Examples of exempt employees include, but are not limited to, employees working in the capacity of reception personnel. Confidential or security information is that which pertains to employee files, scheduling, client contracts or technical alarm data.

3. Private Security Contractor. Persons who have no access to confidential or security information and who otherwise do not provide traditional security services are exempt from employee registration. Examples of exempt employees include, but are not limited to, employees working in the capacity of ticket takers, cashiers, drivers, ushers and reception personnel. Confidential or security information is that which pertains to employee files, scheduling, client contracts or technical security data.

4. Locksmith. Persons who have no access to confidential or security information and who otherwise do not provide traditional locksmith services, as defined in this Act, are exempt from employee registration. Examples of exempt employees include, but are not limited to, employees working in the capacity of key cutters, cashiers, drivers, and reception personnel. Confidential or security information is that which pertains to employee files, scheduling, client contracts, master key charts, access codes, or technical security and alarm data. (Section 30-5(10) of the Act)

5. Fingerprint Vendor

A) Persons who have no access to confidential or security information and who otherwise do not provide or operate fingerprint equipment or other equipment designed to obtain fingerprint images for the purpose of providing fingerprint images and associated demographic data to ISP are exempt from employee registration. Examples of exempt employees include, but are not limited to, employees working in the capacity of cashiers, ushers and reception personnel. Confidential or security information is that which pertains to employee files, scheduling, client contracts or technical security data.

B) No registered employee of a licensed fingerprint vendor agency may operate live scan fingerprint equipment or other equipment designed to obtain fingerprint images for the purpose of providing fingerprint images and associated demographic data to ISP. (Section 31-20(d) of the Act)

6. Individuals currently employed by this State, a political subdivision of this State, or a federal agency as peace officers, as defined in Section 5-10 of the Act, who are in good standing are not required to obtain permanent employee registration cards. If the individual ceases to be employed as a peace officer, then the agency is required to obtain a permanent employee registration card in accordance with this Section.

7. All employees of any agency licensed under the Act who reside outside of Illinois and who perform no duties in Illinois.

8. Clerical or administrative personnel who do not perform services for clients but prepare or assist in the preparation of reports, memoranda, correspondence or other documents or records that contain confidential information are not exempt from employee registration.

f) A registered employee of a private detective agency shall not hold himself or herself out as a private detective or use the title "private detective", but may use the title "private investigator" provided that he or she reports the name of the private detective agency that employs him or her.

History

• Source: Amended at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.525 Refusal to Issue Employee Registration Card or Firearm Control Card Due to Criminal History Record Information

a) For purposes of this Section, criminal history record information is defined as information collected by criminal justice agencies (defined in 20 ILCS 2630) on individuals consisting of identifiable descriptions and notation of arrests, detention, indictments, information, or other formal criminal charges, and any disposition arising from those charges, sentencing, correctional supervision and release. The individual records must contain both information sufficient to identify the subject of the record and notations regarding any formal criminal justice transaction involving the identified individual.

b) In determining whether an applicant for a permanent employee registration card or firearm control card is unfit for such registration because of criminal history record information, the Division shall consider the following standards:

1. Whether the crime was one of armed violence or any two or more repeated acts of violence towards persons or property [720 ILCS 5/Art. 33A] or:

A) Crimes involving dishonesty, false statement or some other element of deceit, untruthfulness or falsification (including, but not limited to perjury, inducement of perjury, false statement, criminal fraud, embezzlement, false pretense, forgery, counterfeiting and theft).

B) Drug offenses including, but not limited to, the Illinois Controlled Substances Act [720 ILCS 570/Art. I] and Federal Drug Enforcement Laws (21 USC 801 et seq.).

C) Sex offenses including, but not limited to, all crimes listed in Article 11 of the Criminal Code of 1961 [720 ILCS 5/Art. 11].

2. Whether the crime is related to the detective, security, alarm or locksmith profession.

3. Whether more than 10 years have elapsed since the date of completion of imposed sentence.

4. Whether the conviction was from a city ordinance violation or conviction for which a jail sentence was not imposed.

5. Whether the applicant has been sufficiently rehabilitated to warrant the public trust. The Division shall consider, but not be bound by, the following in considering whether an applicant has been presumed to be rehabilitated:

A) Completion of probation;

B) Completion of parole supervision; or

C) If no parole was granted, a period of 10 years has elapsed after final discharge or release from any term of imprisonment without any subsequent conviction.

c) If any one of the following factors exists, this outweighs the presumption of rehabilitation as defined in subsection (b)(5):

1. Lack of compliance with terms of punishment (i.e., failure to pay fines or make restitution, violation of the terms of probation or parole);

2. Unwillingness to undergo, or lack of cooperation in, medical or psychiatric treatment/counseling;

3. Falsification of an application for registration with the Division;

4. Failure to furnish to the Division additional information or failure to appear for a conference with the Division in relation to the applicant's application for registration.

d) The following criminal history records shall not be considered in connection with an application for registration:

1. Juvenile adjudications;

2. Records of arrest not followed by a conviction;

3. Convictions overturned by a higher court;

4. Convictions that have been the subject of a pardon or expungement.

e) If determination is made that the applicant is unfit for registration, the applicant shall be notified in writing that the Division intends to deny or intends to refuse to renew the permanent employee registration card or firearm control card. The applicant/licensee shall be given an opportunity to appear at a Division conference regarding the matter. Failure to appear at the conference shall result in the denial or the refusal to renew an applicant's permanent employee registration card or firearm control card. If the applicant chooses not to attend the conference, he/she may request a formal hearing regarding the determination prior to final action by the Division in accordance with 68 Ill. Adm. Code 1110.

History

• Source: Amended at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.530 Firearm Control Cards

a) Except as otherwise provided in this Section, each employer shall make a request to the Division, on forms supplied by the Division, for the issuance of a firearm control card for each licensee or employee whose duties include the use, carrying or possession of a firearm. Each employee shall have an active permanent employee registration card issued in accordance with Section 1240.520 prior to applying for a firearm control card unless employed by an armed proprietary security force in accordance with Section 1240.400.

b) Upon verification by the Division that the individual licensees or employees have completed the required firearm training course within the 2 years preceding the request for a firearm control card, and meet all the requirements of the Act for issuance of a firearm control card, the Division shall issue a card to the employer for each licensee or employee. If the licensee's or employee's firearm training was completed more than 2 years before the request for a firearm control card, the employer shall submit evidence that the licensee or employee has completed refresher training as required by Section 1240.410 within one year preceding the request.

c) The firearm control card or retired police card shall be retained by the licensee or employee for the term of employment. Upon termination of employment, the card and any copies shall be returned to the employer, and the employer shall terminate the firearm control card or retired police card in the Division's online system.

d) No licensee or employee of a licensee may carry a firearm while engaged in the performance of official duties until the requirements of this Section have been satisfied. A licensee or employee who has been issued a license to carry a concealed firearm under the Firearm Concealed Carry Act [430 ILCS 66] is not exempt from compliance with the requirements of this Section. An armed licensee or employee shall be in possession of a valid firearm control card or otherwise be in compliance with this Section at all times that the employee is engaged in employment related duties.

e) If a licensee or employee is employed by more than one agency, regardless of whether the agencies are owned or operated by the same person or different persons, that licensee or employee must possess a separate firearm control card or retired police card for each agency.

f) Individuals employed by this State, a political subdivision of this State, or a federal agency as peace officers, as defined in Section 5-10 of the Act, who are in good standing are not required to obtain firearm control cards. If the individual ceases to be employed as a peace officer, then the individual is required to obtain a firearm control card in accordance with this Section, unless the individual obtains a permanent employee registration card under Section 1240.520, possesses a valid Firearm Owner's Identification card, and is in compliance with the federal Law Enforcement Officers Safety Act of 2004 (18 U.S.C. 926B and 926C). If the former peace officer will be carrying a firearm under these latter conditions, the agency employing the individual shall submit notice to the Division by filing an application, on forms provided by the Division, with the fee required under Section 1240.570. After receipt of this application, the Division will issue a retired police card. The former peace officer may begin performing employment related duties after the agency submits this required application to the Division and while the former peace officer's retired police card is awaiting issuance. The retired peace officer shall be in possession of a valid retired police card or otherwise be in compliance with this Section at all times that the retired peace officer is engaged in employment related duties. The retired police card may be renewed upon submission of a renewal application and a renewal fee of $25.

g) A person licensed as a fingerprint vendor or any employee of a licensed fingerprint vendor agency may not possess or carry a firearm in the course of providing fingerprinting services. This subsection shall not apply to an active duty sworn peace officer acting within the scope of the officer's duties.

h) The Division shall not grant or authorize the issuance of a firearm control card to a fingerprint vendor or any employee of a licensed fingerprint vendor agency unless:

1. the individual is licensed as a private detective, private alarm contractor or private security contractor;

2. the individual is employed by a private detective agency, private alarm contractor agency or private security agency licensed under the Act who carries a weapon while engaged in the performance of his or her official duties providing detective, private security contracting or alarm contractor services within the course and scope of employment during the hours and times the employee is scheduled to work or is commuting between home or place of employment, provided that the individual is not providing fingerprinting services while possessing or carrying a firearm; or

3. the person is employed by an armed proprietary security force registered under this Act who carries a weapon while engaged in the performance of official duties within the course and scope of employment during the hours and times the employee is scheduled to work or is commuting between home or place of employment, provided that the individual is not providing fingerprinting services.

A) The firearm control card shall authorize the holder to carry one or more of the following weapons: revolver, semi-automatic handgun, rifle or shotgun. The firearm control card shall specify which of these weapons the holder is authorized to carry. Any holder of a firearm control card may carry a stun or taser, tear gas gun projector, or billy club or similar device.

B) Any firearm requalification required under the Act or this Part shall be certified by a registered firearm instructor, the licensee-in-charge of the agency employing the firearm control card holder, or, for a member of an armed proprietary security force, its security director.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.535 Recordkeeping Requirements

a) Each employer licensed under the Act shall maintain a file on each employee pursuant to Section 35-30 of the Act. The employee file shall be maintained by the agency for 5 years after termination of the employee, shall be accessible to duly authorized representatives of the Division with 24 hours prior notice (72 hours' notice for files more than 2 years old), and shall contain the following information:

1. A photograph of the employee taken within 10 days after the date the employee commences employment. The photo shall be replaced every 3 calendar years;

2. The employee's statement required in Section 35-30(b) of the Act;

3. All correspondence or documents related to the character and integrity of the employee received by the employer from an official source or law enforcement;

4. The employee identification card of a terminated employee pursuant to Section 35-30(h);

5. A copy of the weapons discharge report, if applicable, during the course of the employee's duties or activities;

6. Application for employment;

7. Certification of Completion of Basic, Additional, Refresher, and Annual Training courses as provided in Section 1240.505 and 1240.506;

8. Certificate of Firearm Training, if applicable (or copy) as provided in Section 1240.510 verified by the licensee in charge;

9. Copy of employee's permanent employee registration card, firearm control card or retired police card, and active Firearm Owner's Identification Card (FOID), if applicable;

10. Certification or copy of completion of firearm refresher training (Section 1240.510);

11. Copy of employee's certification of completion of canine handler training, canine handler authorization card and canine trainer authorization card, if applicable;

12. Copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division;

13. A copy of the employer portal found on the Division's webpage (www.idfpr.com) showing that an applicant has no criminal conviction pursuant to the ISP criminal history check for individuals employed prior to issuance of the permanent employee registration card; and

14. For active peace officers, the agency employee file shall include a copy of the current police identification card and, within 14 days after employment a signed and dated letter from the peace officer's chief of police or designee (or Division verification of employment form) indicating current status as a peace officer, as well as items set forth in subsections (a)(1), (4), (5) and (6). The agency shall annually re-verify by obtaining another signed and dated letter from the peace officer's chief of police or designee indicating current status as a peace officer and maintain proof of the employee's qualifications for the peace officer exemption.

b) Private alarm contractors who provide monitoring services shall maintain a separate roster of the names of all licensed agencies and individuals, including license number, from whom they accept monitoring contracts or assignments. The roster shall be made available to the Division upon 24 hours' notice. It shall be considered unprofessional conduct, subject to discipline by the Division under section 40-10(a)(3) of the Act, for a licensed alarm contractor or agency to accept monitoring contracts or assignments from an unlicensed entity.

c) Fingerprint Vendors Records

1. A fingerprint vendor or fingerprint vendor agency shall document in the form of a work order the date, time and location where each and every fingerprint service is provided;

2. In order to be fingerprinted by the fingerprint vendor, the vendor shall require each individual seeking to be fingerprinted to present a primary identification, secondary identification, or requesting agency authorized identification as established by this subsection (c)(2). The work order shall describe the form of identification presented by the individual seeking to be fingerprinted.

A) Primary Identification − The work order shall include the name, address, date of birth, aliases, telephone number and driver's license number or Secretary of State issued State identification number from a valid driver's license or Secretary of State issued State identification card of the person requesting to be fingerprinted, the signature of that person, and the Transaction Control Number (TCN) for that fingerprint request.

B) Secondary Identification – The work order shall include all of the information set forth in subsection (c)(2)(A). However, in the absence of a driver's license or State identification number, the work order shall contain verification that the individual seeking to be fingerprinted provided at least 2 forms of identity verification described within the Identity Verification Program Guide (2014) developed and available from the National Crime Prevention and Privacy Compact Council at the Federal Bureau of Investigation's website (http://www.fbi.gov/services/cjis/compact-council/identity-verification-program-guide-booklet), no later amendments or editions apply. A copy of the documentation used to establish identity verification shall be attached as part of the work order.

C) Requesting Agency Authorized Identification – The work order shall include all of the information set forth in subsection (c)(2)(A). If the individual is unable to provide a driver's license, Secretary of State issued State identification or any identity verification set forth in subsection (c)(2)(B), the agency requesting the individual to be fingerprinted must authorize an alternative form of identification to be used to verify the identity of the individual seeking to be fingerprinted. The work order must contain documentation confirming that the requesting agency authorized the use of an alternative form of identification in the absence of a Primary or Secondary form of identity verification. A copy of the requesting agency authorized identity verification documentation shall be attached as part of the work order;

3. All work orders shall contain the name and license number of the licensed fingerprint vendor who performed the services;

4. If a licensee is employed by more than one fingerprint vendor agency, the employer that the licensed employee is providing fingerprint services for must be identified on the work order by the agency license number;

5. All work orders, including applicant fee submissions, shall be maintained for a minimum of 2 years from the date of printing. The records may be maintained in an electronic format so long as the records cannot be altered. Corrections may be made but must be noted in the record;

6. Each applicant fee submission shall contain the originating identifier (ORI) number of the agency requesting the fingerprints;

7. Beginning January 1, 2014, all work orders, including applicant fee submissions, must contain a photograph of the individual who was fingerprinted. The photos shall be maintained in an electronic format and shall be forwarded to ISP along with any request for criminal history record information or other information;

8. A licensed fingerprint vendor must develop a written policy, made available to the public, establishing a retention schedule and guidelines for permanently destroying identifiers and other biometric information when the initial purpose for collecting or obtaining the identifiers or information has been satisfied or after 3 years from the individual's last interaction with the licensed fingerprint vendor, whichever occurs first. Absent a valid warrant or subpoena issued by a court of competent jurisdiction, a private entity in possession of biometric identifiers or biometric information must comply with its established retention schedule and destruction guidelines;

9. Work order forms, including applicant fee submissions, required to be kept under this Section shall be available for inspection by the Division or by ISP at the discretion of the Division or ISP, respectively. The Division shall have the right to audit records of a licensed fingerprint vendor to ensure compliance with the Act and this Part;

10. A licensed fingerprint vendor shall provide and obtain a signed consent form from the applicant prior to the fingerprinting of any individual fingerprinted for all civil submissions (e.g., passport, adoption and employment related criminal background checks). The privacy statement within the consent form must be pre-approved by ISP;

11. A licensed fingerprint vendor shall provide to a fingerprinted individual a transmission control receipt that includes the transaction control number and the name and license number of the licensed fingerprint vendor taking the fingerprints.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.540 Reporting Requirements

a) All licensees and registrants shall notify the Division in writing within 30 days after any convictions, arrests, felony information, and/or indictments against him or her and shall provide a copy of that notification to his or her current employer, if any.

b) All agencies shall submit a monthly roster of employees with PERC applications pending with the Division.

c) All agencies shall submit a weapons discharge report, on forms provided by the Division, along with the police report of the incident, within 30 days after the incident.

History

• Source: Amended at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.550 Renewals

a) Beginning with the May 1999 renewal, every individual license issued under the Act shall expire on May 31 every 3 years. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee set forth in Section 1240.570 and providing proof of liability insurance as evidenced by a certificate of insurance from the insurer.

b) Beginning with the May 1999 renewal, every certificate of registration for an agency and every branch office and armed proprietary security force certificate issued under the Act shall expire on August 31 every 3 years. The holder of a certificate of registration may renew such certificate during the month preceding the expiration date by paying the required fee.

c) Beginning with the May 2000 renewal, every employee registration card issued under the Act shall expire on May 31 every 3 years. The holder of the card may renew the card during the month preceding the expiration date by submitting the required fee to the Division.

d) It is the responsibility of each licensee and employee registration card holder to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew one's license or employee registration card or to pay the renewal fee. Practicing on an expired license or employee registration card is unlicensed practice and subject to discipline under Section 45-10 of the Act.

e) Every firearm control card or retired police card shall expire on the date specified on the face of the card. The card shall be renewed upon proof that:

1. The employee has completed the refresher course required by Section 1240.510 within one year preceding the renewal date; and

2. The employee continues to be employed by the agency to which the card was issued.

f) No employer shall, after the expiration of a firearm control card or retired police card, employ the holder of the card in an armed capacity.

g) In addition to the other requirements of this Section, fingerprint vendor and/or fingerprint vendor agency licensees, as applicable, shall provide the following in order to renew:

1. verification by the fingerprint vendor agency that the applicant's fingerprinting equipment and software meets all specifications outlined in Section 1240.600 and that the equipment has been scheduled for recertification if required by ISP, or the licensee has received notice from ISP that recertification is not required at the time of renewal. The licensed agency shall maintain all correspondence or notices related to recertification of equipment that have been received from ISP for a period of 6 years since the last renewal of the vendor's license. The correspondence or notices shall be made available to the Division upon request. Current certification with ISP is a continuing requirement of licensure. The requirements of this subsection (g)(1) shall apply to a fingerprint vendor under the conditions specified in Section 1240.600;

2. verification that the fingerprint vendor licensee or a fingerprint vendor agency on behalf of the fingerprint vendor currently maintains insurance in the type and amounts required in Section 1240.600. Insurance in the type and amounts required in Section 1240.600 shall be a continuing requirement for licensure;

3. the licensee shall provide proof, acceptable to the Division, that the requirements of subsections (g)(1) and (2) have been met.

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.555 Endorsement (repealed)

History

• Source: Repealed at 38 Ill. Reg. 7879, effective March 25, 2014

68 Ill. Adm. Code 1240.560 Restoration

A licensee seeking restoration of a license shall file an application on forms provided by the Division and shall also submit the following:

a) If the license is expired for 6 years or less, the application must be accompanied by the required fees specified in Section 1240.570 or an affidavit attesting to military service as provided in Section 10-25c of the Act.

b) If the license is expired for more than 6 years, the applicant must submit proof of competence to resume practice satisfactory to the Division. The proof may include active practice in another jurisdiction; an affidavit attesting to military service; or passing a written examination. The applicant must also submit the required restoration fee specified in Section 1240.570.

c) Any permanent employee registration card expired for less than one year may be restored upon payment of lapsed renewal fees. Any permanent employee registration card expired for one year or more may be restored by making application to the Division and filing proof acceptable (proof of no past due child support) to the Division of the licensee's fitness to have the permanent employee registration card restored, including verification of fingerprint processing through the Department of State Police and Federal Bureau of Investigation and paying the restoration fee. (Section 10-25(d) of the Act)

d) If the license expired while the license was suspended or revoked or placed in refuse to renew status, if that expiration occurred 6 years or less prior to application, and if a petition for restoration has been granted by the Director pursuant to section 45-30 of the Act, the application must be accompanied by the required fees specified in Section 1240.570.

e) If the license expired while the license was suspended or revoked or placed in refuse to renew status, if that expiration occurred more than 6 years prior to application, and if a petition for restoration has been granted by the Director pursuant to Section 45-30 of the Act, the applicant must submit proof of competence to resume practice satisfactory to the Division. This proof may include passing a written examination. The applicant must also submit the required restoration fee specified in Section 1240.570.

f) An applicant for restoration of a permanent employee registration card that expired while that registration was suspended or revoked or placed in refuse to renew status and for which a petition for restoration has been granted by the Director shall comply with the requirements of subsection (c).

History

• Source: Amended at 46 Ill. Reg. 16228, effective September 6, 2022

68 Ill. Adm. Code 1240.561 Inactive Status

a) Licensees who notify the Division, on forms provided by the Division, may place their licenses on inactive status for a period of not longer than six years and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Licensees seeking restoration from inactive status shall do so in accordance with Section 1240.560 of this Part.

68 Ill. Adm. Code 1240.565 Requests for Duplicate Certificates (repealed)

History

• Source: Repealed at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.570 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for a license as a private detective, security contractor, alarm contractor, or locksmith is $500. In addition, applicants for an examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application for a license as a fingerprint vendor is $150.

3. The fee for application for an agency license is $500.

4. The fee for application for a branch office license is $200.

5. The fee for issuance of a permanent employee registration card is $55.

6. The fee for issuance of a firearm control card is $75.

7. The fee for issuance of an armed proprietary security force registration is $300.

8. The fee for the ISP fingerprint training course is the fee, if any, charged by ISP.

9. The fee for ISP equipment certification or recertification is the fee, if any, charged by ISP.

10. The fee for certification as a firearm instructor is $75.

11. The fee for issuance of a canine handler authorization card is $75.

12. The fee for issuance of a canine trainer authorization card is $100.

13. The fee for approval of a canine handler training program is $100.

14. The fee for approval of a canine instructor training program is $100.

15. The fee for filing a notice pursuant to Section 1240.530(f) (former peace officer serving in an armed capacity) is $25.

b) Renewal Fees

1. The fee for the renewal of a private detective, private alarm contractor, private security contractor or locksmith license shall be calculated at the rate of $150 per year.

2. The fee for the renewal of a fingerprint vendor license shall be calculated at the rate of $50 per year.

3. The fee for the renewal of an agency license is $450 for the renewal period.

4. The fee for the renewal of a branch office license is $200 for the renewal period.

5. The fee for the renewal of a permanent employee registration card is $45 for the renewal period.

6. The fee for the renewal of a firearm control card is $45 for the renewal period.

7. The fee for the renewal of an armed proprietary security force registration is $200 for the renewal period.

8. The fee for renewal of certification as a firearm instructor is $45.

9. The fee for renewal of a canine handler authorization card is $45.

10. The fee for renewal of a canine trainer authorization card is $45.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees; the fee for restoration from inactive status is the current renewal fee.

2. The fee for electronic fingerprint processing by ISP or one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division is the cost of processing that shall be made payable to the vendor.

3. The fee for a certification of a licensee’s record for any purpose is $20.

4. The fee to have the scoring of an examination administered by the Division reviewed and verified is $20, plus any fee charged by the testing service.

5. The fee for approval of a firearm training program is $100.

History

• Source: Amended at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.575 Conduct of Hearings

Any hearing conducted by the Division pursuant to Section 45-10 of the Act shall be conducted in accordance with the Division's Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110).

68 Ill. Adm. Code 1240.580 Investigation by the Division

a) The Division may conduct an investigation for the purpose of investigating an applicant or application, an agency, a licensee, a registrant or any other party for an alleged violation of the Act or this Part or to determine qualifications to be granted a license or registration by the Division.

b) The Division may require an applicant, an agency, a licensee or registrant to produce relevant documents, records or any other material pertinent to the investigation of alleged violations of the Act or this Part. Failure to provide such material shall be grounds for disciplinary action, as authorized by Section 40-10 of the Act. Nothing in Section 35-10 of the Act shall be construed to interfere with the Division's authority to investigate licensees under the Act.

c) All information collected by the Division in the course of an examination or investigation of a licensee or applicant, including, but not limited to, any complaint against a licensee filed with the Division and information collected to investigate any such complaint, shall be maintained for the confidential use of the Division and shall not be disclosed. The Division may not disclose the information to anyone other than law enforcement officials, regulatory agencies that have an appropriate regulatory interest as determined by the Secretary, or a party presenting a lawful subpoena to the Division. Information and documents disclosed to a federal, state, county, or local law enforcement agency shall not be disclosed by the agency for any purpose to any other agency or person. A formal complaint filed against a licensee by the Division or any order issued by the Division against a licensee or applicant shall be a public record, except as otherwise prohibited by law.

History

• Source: Amended at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.585 Granting Variances

The Director may grant variances from this Part in individual cases where he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.600 Application for Licensure – Fingerprint Vendor

a) An applicant for licensure as a fingerprint vendor shall submit an application, on forms supplied by the Division, that shall include the following:

1. verification that the applicant is at least 18 years of age.

2. one of the following:

A) Copy of the verification of fingerprint processing from ISP or from one of the ISP live scan vendors whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Division. Applicants shall not take fingerprints of themselves for processing;

B) Out-of-state residents unable to utilize the ISP electronic fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP at 20 Ill. Adm. Code 1215.50; or

C) In lieu of fingerprints, verification, on forms provided by the Division, of proof of retirement as a peace officer, as defined in Section 5-10 of the Act, within 12 months prior to application. The verification shall be signed by the applicant's employer.

3. certification issued by ISP that the applicant has successfully completed a fingerprint vendor training course conducted or authorized by ISP.

4. proof of at least $1,000,000 of general liability insurance held by the applicant as evidenced by a certificate of insurance from the insurer. A fingerprint vendor employed by a licensed fingerprint vendor agency may provide proof that his or her actions as a fingerprint vendor are covered by the liability insurance of his or her employer.

5. the required fees specified in Section 1240.570.

6. certification issued by ISP that the applicant's fingerprinting equipment and software meets all specifications of ISP if the applicant is not employed by a fingerprint vendor agency or is not required to obtain a fingerprint vendor agency license. Compliance with the ISP fingerprinting equipment and software specifications is a continuing requirement for licensure and shall be provided to Division personnel upon request.

7. proof that the applicant maintains an office location in Illinois and attestation that the applicant will operate from that location when providing fingerprint services unless authorized to provide services from a location other than the stated office location.

8. all other information the Division deems relevant to determine the applicant's qualifications under the Act and this Part.

b) Failure to maintain general liability insurance and failure to provide the Division with written proof of the insurance, upon request, shall result in cancellation of the license without a hearing.

c) In addition to any other requirements, an applicant for licensure shall meet the following:

1. Has not been convicted of any felony in any jurisdiction or at least 10 years have elapsed since the time of full discharge from a sentence imposed for a felony conviction;

2. Is of good moral character. Good moral character is a continuing requirement of licensure. Conviction of crimes other than felonies may be used in determining moral character, but shall not constitute an absolute bar to licensure, except when the applicant is a registered sex offender;

3. Has not been declared by any court of competent jurisdiction to be incompetent by reason of mental or physical defect or disease, unless a court has subsequently declared him or her to be competent;

4. Is not suffering from dependence on alcohol or from narcotic addiction or dependence;

5. Has not been dishonorably discharged from the armed forces of the United States;

6. Submits his or her fingerprints, in accordance with the provisions of the Act and this Part, including but not limited to the payment of any required fees;

7. Has not violated any provision of the Act or this Part;

8. Pays all required licensure fees.

d) A person licensed as a fingerprint vendor or any employee of a licensed fingerprint vendor agency may not possess or carry a firearm in the course of providing fingerprinting services. This subsection shall not apply to an active duty sworn peace officer acting within the scope of his or her duties.

e) The Division shall not grant or authorize the issuance of a firearm control card to a fingerprint vendor or any employee of a licensed fingerprint vendor agency unless the person is authorized to carry a firearm under the Act or authorized in accordance with Section 1240.530(h).

f) Upon certification of the applicant's fingerprinting equipment by ISP as provided in subsection (a)(6) or in Section 1240.610(c), an unlicensed person may operate the fingerprinting equipment and otherwise take and submit fingerprints provided that the unlicensed person submits to the Division an application for licensure as a fingerprint vendor within 30 days after the ISP certification. In addition, the unlicensed person must have successfully completed a fingerprint vendor training course conducted or authorized by ISP. In the event the Division denies the application, the applicant shall cease operating the fingerprinting equipment and otherwise taking or submitting fingerprints.

History

• Source: Amended at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.610 Licensure - Fingerprint Vendor Agency

a) An applicant for licensure as a fingerprint vendor agency shall, in accordance with Section 31-15 of the Act, file an application with the Division, on forms provided by the Division, together with the following:

1. Business name and address of the fingerprint vendor agency. If fingerprint services are provided at a location other than the business address, a branch office license shall not be necessary;

2. Anyone doing business as (d/b/a) names used by the fingerprint vendor agency and proof of legal authorization to use that name;

3. The type of business (sole proprietorship, partnership, corporation, etc.):

A) If a partnership, a listing of all partners and their addresses;

B) If a corporation, a copy of the Articles of Incorporation and a listing of all members of the board of directors. If the corporation is a foreign corporation, a copy of the authorization to conduct business in Illinois and a list of all members of the board of directors shall be submitted;

C) If a limited liability company, a copy of the Articles of Organization and a listing of all members of the board of directors;

4. The name of the licensed fingerprint vendor who is and who shall remain responsible for the daily activities of the fingerprint vendor agency;

5. The device identification number (ID number) of all fingerprinting machines utilized by the fingerprint vendor agency and their locations;

6. Certification issued by ISP that the applicant's fingerprinting equipment and software meets all specifications of ISP. Compliance with the ISP fingerprinting equipment and software specifications is a continuing requirement for licensure. The certification shall be provided to Division personnel upon request.

b) An applicant for a fingerprint vendor agency shall name at least one officer or executive employee who is a licensed fingerprint vendor under the Act who is responsible for the daily activities of the fingerprint vendor agency, and any unlicensed officers or directors of the corporation or limited liability company who have been determined by the Division to be persons of good moral character. Maintaining at least one officer or executive employee who is a licensed fingerprint vendor under the Act who shall be responsible for the daily activities of the fingerprint vendor agency shall be a continuing requirement of licensure.

c) When the accuracy, relevance or sufficiency of any submitted documentation or information is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the accuracy, relevance or sufficiency of any submitted documentation or information or lack of information, discrepancies or conflicts in information given.

History

• Source: Amended at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.620 Fingerprint Vendor – Standards, Unethical, Unauthorized, or Unprofessional Conduct

a) The Division may deny issuance, refuse to renew, or restore or may reprimand, place on probation, suspend, revoke, or take other disciplinary or non-disciplinary action against any license, registration, or permanent employee registration card, and may impose a fine [225 ILCS 447/40-10(a)], based on a finding of unethical, unauthorized or unprofessional conduct, which shall include, but is not limited to, the following acts or practices:

1. Errors and omissions in work orders submitted for print verification or other information, including but not limited to ORI number errors;

2. Errors and omissions in work orders submitted for print verification or other information and not meeting the following standards or levels of performance:

A) Demographic field errors shall not exceed the acceptable accuracy rate established by ISP of those records audited by ISP or its designee during any analyzed audit timeframe;

B) Fingerprint quality rejects shall not exceed the acceptable error rate established by ISP of those records audited by ISP or its designee during any analyzed audit timeframe;

C) Fingerprint visual quality errors shall not exceed the acceptable review rate established by ISP of those records audited by ISP or its designee during any analyzed audit timeframe;

3. Failing to have a clause in all software and/or hardware agreements that a fingerprint vendor licensee enters into to obtain, repair, update and/or maintain fingerprint machines that require a software and/or hardware vendor to maintain the confidentiality of information that may be exposed to the software and/or hardware vendor in obtaining, repairing, updating and/or maintaining a fingerprint machine;

4. Unlicensed practice by any person employed by, authorized by, assisted by in any manner, or permitted by a licensed fingerprint vendor or licensed fingerprint vendor agency that provides fingerprinting services, including, but not limited to, rolling a print or any other activity defined as unlicensed practice;

5. Practicing or offering to practice on an expired or inactive license, constituting unlicensed or unauthorized practice;

6. Failure to maintain a record, for at least 3 years, listing the identification number of the machine used to fingerprint each individual and the location where the individual was fingerprinted;

7. A determination and notice from ISP that a licensee is in noncompliance with ISP procedures, policies or practices, causing ISP to terminate or otherwise limit that licensee's ability to submit fingerprints to ISP;

8. Failure by a licensee to obtain the required consent of any person being printed prior to providing any fingerprint services;

9. Providing, selling or offering to sell or provide any information for a fee or any other valuable consideration any information that has been obtained from a person for whom the licensee is providing or has provided fingerprint services;

10. Sending or providing fingerprint or other criminal history record information to any party other than to the designated authorized party. "Authorized party" is any party that is authorized by law to request a criminal history record check and receive the results; however, the authorized party shall not be the licensee nor shall fingerprint or other criminal history record information be returned to the licensee;

11. Providing or offering to provide services or using techniques for which one is not qualified by education, training and experience or providing or offering to provide services as a fingerprint vendor without proper licensure;

12. Revealing facts, data or information relating to a client or examinee without the expressed consent of the person to whom fingerprinting services are being offered or are being provided or as allowed by law. The release of information with "the expressed consent of the client" shall mean that the licensee, prior to the release of the information, has obtained written consent and made certain that the client understood the possible uses or distributions of the information;

13. Making gross or deliberate misrepresentations or misleading claims as to his/her qualifications;

14. Refusing to divulge to the Division, upon request, all information, records, techniques or procedures used in his/her activities or practice;

15. Directly or indirectly giving to or receiving from any person, firm or corporation any fee, commission, rebate or other form of compensation for any professional services not actually rendered;

16. Impersonating another person holding a license or allowing another person to use his/her license to provide fingerprint vendor services;

17. Submission to a third party of fraudulent information relating to any individual;

18. Providing or offering to provide fingerprint services when the licensee has a conflict of interest with the person to whom services are offered or provided. "Conflict of Interest" shall include but is not limited to those situations in which a licensee currently has or may have had a social, business or other relationship of a nature that might impair, or give the appearance of impairing, the impartiality or independence of the licensee. The licensee may only continue to provide or offer to provide fingerprint services to the person after the licensee makes full disclosure of the potential conflict on the work order and explains the conflict of interest to the person to whom fingerprinting services are being offered or provided.

b) Any licensee who leases, subcontracts or uses any other similar type of arrangement to provide fingerprint scanning equipment or services to an individual or entity shall remain responsible for the actions of the lessee if the licensee maintains any role in the offering or providing of fingerprint services to the public beyond the mere lease of the equipment, including, but not be limited to, receiving criminal history record information or other personal information from or on behalf of a lessee, transferring fingerprints to ISP on behalf of a lessee, scheduling appointments for printing services for a lessee, or training the lessee's employees to provide or offer to provide fingerprinting services.

c) ISP shall not accept or process fingerprint requests from any licensee who the Division has revoked, suspended or otherwise disciplined in a manner prohibiting the licensee from taking fingerprints or providing fingerprint services. The Division shall provide to ISP notice of disciplinary measures taken.

d) A licensee shall conduct all fingerprint services in accordance with applicable local, State and federal law regarding privacy, confidentiality and information release, including but not limited to the Illinois Biometric Information Privacy Act [740 ILCS 14].

History

• Source: Added at 36 Ill. Reg. 1486, effective February 3, 2012

68 Ill. Adm. Code 1240.630 Fingerprint Vendor – Training

a) Every person employed as a registered employee of a fingerprint vendor agency licensed under the Act shall complete, within 30 days after beginning employment, a course of basic training provided by the employing agency.

b) The training shall consist of a minimum of 20 hours related to the individual's employment. The training shall include, at a minimum, the following subject areas:

1. the agency's retention policy required by Section 1240.535(c);

2. the agency's confidentiality policy required by Section 1240.620(d);

3. responsibilities and duties required by the Act and this Part;

4. general information regarding a Personal Employee Registration Card (PERC), including but not limited to:

A) cause for revoking the card;

B) disciplinary sanctions;

C) renewal; and

5. the basic operation of a Livescan Machine.

c) Upon successful completion of the training prescribed in subsection (b), the employer shall issue to the trainee a Certification of Completion of Basic and/or Refresher Training Course, which shall be signed by the instructor teaching the course.

d) The Certification shall be the permanent record of training and shall be retained by the individual. During the term of the individual's employment with a licensed agency, the Certification or a certified copy shall be filed by the employer with the employee statement required by Section 35-30(b) of the Act and shall remain in the employee's file during the term of employment. Upon termination of employment, the original Certification shall be returned to the employee.

e) In the case of an employee who is employed by more than one employer, each employer shall require the employee to complete 20 hours training as required in this Section that is specific to that employer.

f) Training materials shall be made available to the Division, upon request, to allow the Divisions to verify that course content complies with this Section.

History

• Source: Added at 36 Ill. Reg. 1486, effective February 3, 2012

68 Ill. Adm. Code 1240.700 Canine Handler Training Course Requirements

a) No licensed private detective, licensed private security contractor, or registered employee of a private detective agency or private security contractor agency shall use or handle a trained canine to protect persons or property or to conduct investigations until that person has satisfactorily completed a canine handler training course approved by the Division and has been issued a canine handler authorization card by the Division. The canine handler training course shall consist of basic training and specialized training and shall include both classroom instruction and practical field experience as set forth in this Section.

b) Basic training shall consist of a minimum of 100 hours and shall include:

1. canine handling safety procedures;

2. basic veterinary health and wellness principles, including canine first aid;

3. principles of canine conditioning;

4. canine obedience techniques;

5. search patterns and techniques; and

6. legal guidelines affecting canine odor detection operations.

c) Specialized training shall consist of a minimum of 80 hours of additional training related to the particular canine discipline or disciplines in which the canine and canine handler are to be used and may include, without limitation:

1. patrol;

2. narcotics odor detection;

3. explosives odor detection;

4. cadaver odor detection; or

5. any other specialized detection discipline in which the canine and canine handler are to be used.

d) All odor detection certification conducted with the canines shall use the actual explosive materials, controlled substances, fire accelerants, or sample human tissue to which the canine is being trained to identify and respond.

e) All training facilities shall be maintained in a safe and good working condition. The Division may conduct on-site inspections and may consider the following factors:

1. display of all required licenses under the Act and any other licenses required under federal or State law;

2. safety of persons and property in the area;

3. operational rules and policies;

4. canine training logs;

5. display of canine care logs;

6. storage of training materials;

7. training documentation and records; and

8. kennel facility compliance with United States Department of Agriculture animal welfare guidelines.

f) Upon completion of the training, each canine handler must successfully complete a written and practical examination. The canine training facility shall make a copy of the examination or a copy of any person's examination or related records available to the Division upon request. Passage of the written examination shall require a score of 70%. Passage of the field examination shall be determined by the canine training facility in accordance with certification standards established by the United States Police Canine Association, Inc. (USPCA) (2018/2019), North American Police Work Dog Association (NAPWDA) (2017), no later editions or amendments included, or other nationally recognized and substantially similar standards. Every canine handler and canine shall be required to recertify annually according to the USPCA or NAPWDA Certification Standards or the certification standards of another nationally recognized canine association accepted by the Division.

g) Each canine trainer shall issue a certification of completion of canine handler training for each person who successfully completes the course. This certification shall include the name of the canine handler, the name or identification of the canine with which he or she is certified to work, the patrol and/or detection specialty or specialties the canine handler and canine are certified to perform, the name of the canine instructor, and the name of the agency employing the canine instructor. This certification shall be the permanent record of canine handler training and shall be retained by the canine handler as proof of the training. During the term of a canine handler's employment with an agency licensed by the Division, the certification or a copy of the certification shall remain in the employee's file as maintained by the employer. Upon termination of employment, an original certification shall be returned to the employee.

h) Upon application to the Division prior to 7/1/14, any canine handler who completed training from a canine training facility prior to the effective date of this Subpart and whose course syllabus meets or exceeds the requirements of this Section, shall be deemed by the Division to have complied with the requirements of this Section.

i) The training requirements of this Section shall be waived for a person who holds an active canine trainer authorization card issued by the Division.

j) The Division may accept other training as meeting the requirements of this Section if the training was conducted by a law enforcement agency, the military, or a training facility located outside of the State of Illinois and is substantially similar to the training required under this Section.

History

• Source: Amended at 43 Ill. Reg. 7111, effective June 21, 2019

68 Ill. Adm. Code 1240.710 Canine Handler Authorization Card

a) The employer shall make a request to the Division, on forms supplied by the Division, for the issuance of a canine handler authorization card for each employee whose duties include the use or handling of a canine to protect persons or property or to conduct investigations.

b) Upon verification by the Division that the employee has completed the required canine handler training course within the one year preceding the request for a canine handler authorization card, or is exempt under Section 1240.700, has an active private detective license, private security contractor license, or permanent employee registration card, has paid the required fee, and meets all other requirements of the Act and this Part, the Division shall issue a canine handler authorization card to the employer for the employee. A photocopy of the certification of completion of canine handler training issued by the canine trainer pursuant to Section 1240.700(g) and submitted with the application for issuance of a canine handler authorization card shall suffice as verification.

c) The canine handler authorization card shall be retained by the employee for the term of employment. Upon termination of employment, the card shall be returned to the Division by the employer. In the event an employee fails to return a canine handler authorization card to the employer, the employer shall notify the Division in writing of the failure and the reason why the card was not returned.

d) If an employee is employed by more than one agency, regardless of whether the agencies are owned or operated by the same person or entity or different persons or entities, that employee must possess a separate canine handler authorization card for each agency.

e) All canine handlers and canines certified in either explosives odor detection or narcotics odor detection shall be required to conduct, at a minimum, four hours per week of maintenance training. Maintenance training shall consist of classroom, self-study or field training exercises performed at the discretion of the agency. The maintenance training shall be fully documented and maintained by the agency in accord with other training documentation.

f) "Canine handler registration card", as used in Section 35-41 of the Act, means a canine handler authorization card.

g) In the event that the private detective license, private security contractor license, or permanent employee registration card issued to a person who also has been issued a canine handler authorization card is revoked, suspended, not renewed or otherwise terminated, the canine handler authorization card shall be terminated or cancelled. Any probationary terms or other restrictions imposed upon a private detective license, private security contractor license, or permanent employee registration card shall also be imposed on the person's canine handler authorization card.

h) Every canine handler authorization card shall expire on the date specified on the face of the card. The card shall be renewed, after payment of the renewal fee, upon proof that:

1. The employee has been recertified on the canine handler field training course within one year preceding the renewal date;

2. The employee continues to be employed by the agency to which the card was issued; and

3. The employee continues to hold a valid private detective license, private security contractor license, or permanent employee registration card.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.720 Canine Handler Training Program

a) Any person, business entity, agency, or institution offering the training courses described in Section 1240.700 shall first apply to and receive approval of the course or courses from the Division and pay the applicable fee. Application shall be made on forms provided by the Division.

b) Each applicant shall state on its application the types of odor detection training it intends to offer and shall provide copies of the following licenses, as applicable, to the Division prior to receiving canine training course approval:

1. United States Department of Transportation Hazardous Materials Certificate of Registration;

2. Drug Enforcement Administration Controlled Substance Registration;

3. Alcohol, Tobacco, and Firearms User of High Explosives Registration;

4. Illinois Department of Natural Resources Explosives Storage Certificate; or

5. Illinois Department of Financial and Professional Regulation Controlled Substances License Class I, II, IIN.

c) Any canine handler training program approved by the Division that utilizes human remains or human body parts as part of its odor detection training course shall ensure:

1. that the human remains or body parts are procured from a licensed medical facility or other lawful establishment authorized to provide human parts to medical schools, research institutions or canine agencies;

2. that the human remains or human body parts shall be stored and maintained in a manner consistent with all applicable local, state and federal public health codes.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.730 Canine Trainer Authorization Card

a) The employer shall make a request to the Division, on forms supplied by the Division, for the issuance of a canine trainer authorization card for each instructor applicant whose duties include the training of canine handlers and canines to protect persons or property or to conduct investigations.

b) The employer shall submit with its application evidence of the following in regards to each instructor applicant:

1. 2 years full-time employment as a canine handler in this or another state; and

2. Either:

A) 200 hours of canine instructor training from a program approved by the Division pursuant to this Section; or

B) Proof of other canine instructor education or experience that the Division may consider to be substantially equivalent to subsections (b)(1) and (2), such as experience or education received in military service or local, state or federal law enforcement service.

c) The 200 hours of canine instructor training referenced in subsection (b)(2)(A) shall include all elements of the training specified in Section 1240.700 and additional courses in instruction methods.

d) Upon verification by the Division that the instructor applicant has an active private detective license, private security contractor license, or permanent employee registration card, meets all requirements of the Act and this Part for the issuance of a canine trainer authorization card, and has paid the fee required by Section 1240.570, the Division shall issue a card to the employer for the instructor applicant.

e) The canine trainer authorization card shall be retained by the instructor for the term of employment. Upon termination of employment, the card shall be returned to the Division by the employer. In the event an instructor fails to return a canine trainer authorization card to the employer, the employer shall notify the Division in writing of the failure and the reason why the card was not returned.

f) If an instructor is employed by more than one agency, regardless of whether the agencies are owned or operated by the same person or entity or different persons or entities, that instructor must possess a separate canine trainer authorization card for each agency.

g) In the event that the private detective license, private security contractor license, or permanent employee registration card issued to a person who has been issued a canine trainer authorization card is revoked, suspended, not renewed or otherwise terminated, the canine trainer authorization card shall be terminated or cancelled. Any probationary terms or other restrictions imposed upon a private detective license, private security contractor license, or permanent employee registration card shall also be imposed on the person's canine trainer authorization card.

h) Every canine trainer authorization card shall expire on the date specified on the face of the card. The card shall be renewed, after payment of the renewal fee required by Section 1240.570, upon proof that:

1. The instructor has completed 10 hours of canine instructor training from a program approved by the Division since the card's issuance or last renewal;

2. The instructor continues to be employed by the agency to which the card was issued; and

3. The instructor continues to hold a valid private detective license, private security contractor license, or permanent employee registration card.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

68 Ill. Adm. Code 1240.740 Canine Handler and Canine Training Instructor – Unprofessional Conduct

The Division may deny issuance, or refuse to renew or restore, or may reprimand, place on probation, suspend, revoke, or take other disciplinary or non-disciplinary action against any license, registration, permanent employee registration card, canine handler authorization card, canine trainer authorization card, or firearm control card, and may impose a fine not to exceed $10,000 for each violation, (Section 40-10 of the Act) based on a finding of unprofessional conduct, which shall include, but is not limited to, the following acts or practices:

a) Failure to comply with all federal and State requirements regarding the, transportation of explosives, including obtaining the appropriate driver's license endorsement from the Illinois Secretary of State, as well as regulations regarding the proper placarding of vehicles used in the transport of the explosives; or

b) Failure to maintain the highest level of dignity and respect for human remains or human body parts while in possession of the remains or body parts or while displaying or utilizing them for any training program or other purpose.

History

• Source: Added at 36 Ill. Reg. 9938, effective July 13, 2012

Part 1245 Dietitian Nutritionist Practice Act

68 Ill. Adm. Code 1245.10 Definitions

"Act" means the Dietitian Nutritionist Practice Act [225 ILCS 30].

"Board" means the Dietitian Nutritionist Practice Board appointed by the Secretary.

"Certified clinical nutritionist" means an individual certified by the Clinical Nutrition Certification Board.

"Certified nutrition specialist" means an individual certified by the Board for Certification of Nutrition Specialists.

"Department" means the Department of Financial and Professional Regulation.

"Diplomate of the American Clinical Board of Nutrition" means an individual certified by the American Clinical Board of Nutrition.

"Director" means the Director of the Division of Professional Regulation, with the authority delegated by the Secretary.

"Direct supervision" means supervision by a licensed dietitian nutritionist or other appropriate supervisor as defined in Section 1245.140. The supervisor shall:

Meet at regularly scheduled sessions with the supervisee a minimum of one hour per average week;

Be responsible for the standard of work performed by the supervisee; and

Have knowledge of patients/clients and the case information.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Licensed dietitian nutritionist" means a person licensed to practice dietetics and nutrition services, as set forth in the Act. Activities of a licensed dietitian nutritionist do not include the medical differential diagnosis of the health status of an individual.

"Nutrition assessment" means the evaluation of the nutrition needs of individuals or groups using appropriate data to determine nutrient needs or status and make appropriate nutrition recommendations. The mere collection of nutrition and health data is not nutrition assessment and does not require licensure under the Act, unless activities include an evaluation of nutrition needs and nutrition recommendations.

"Nutrition care" means a dietary intervention whose primary function is to improve an individual's nutrition status and involves modification to meet individual needs. Provision of food for general sustenance of being is not construed as nutrition care and not subject to regulation under the Act and this Part.

"Nutrition counseling" means advising and assisting individuals or groups on appropriate nutrition information by integrating information from the nutrition assessment. The distribution by an individual of written nutrition educational material prepared by or approved in writing by a licensee is not nutrition counseling or nutrition education and any person distributing such written material need not be licensed under this Act.

"Nutrition education" means a planned nutrition program based on learning objectives with expected outcomes.

"Nutrition information" is oral or written factual data that includes:

Food sources of vitamins, minerals and nutrients;

Nutrient analysis of food, food items, recipes and menus;

Reporting the results of published scientific studies as long as the source is cited and recommendations are general in nature and are limited to those included in the published study;

Instruction and uses of food, dietary supplements and food material consistent with State and federal laws (i.e., Federal Food and Drug Administration, Department of Public Health); and

The display or distribution of printed, audio or video nutrition education information developed by a licensee, an entity of any federal, state or local government, or any nonprofit organization as outlined in Section 20(g) of the Act.

All health claims shall be consistent with the Federal Food and Drug Administration regulations.

Individuals are not required to be licensed to provide nutrition information; however, the evaluation of an individual's or group's dietary intake and/or recommendation for dietary changes is considered nutrition services and a license would be required to perform these activities.

"Registered dietitian" and/or "registered dietitian nutritionist" means a person registered with the Commission on Dietetic Registration, the credentialing body of the Academy of Nutrition and Dietetics, formerly known as the American Dietetic Association.

"Restorative care to attainment of optimal health" relates to the use of foods, nutrients and/or dietary supplements for individuals or groups who may or may not have a diagnosed disease or medical condition, as long as it is not medical nutrition therapy.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.100 Application for Licensure as a Dietitian Under Section 60(a) of the Act (grandfather) (repealed)

History

• Source: Repealed at 24 Ill. Reg. 518, effective December 31, 1999

68 Ill. Adm. Code 1245.110 Application for Examination/Licensure

a) An applicant for examination to obtain licensure as a dietitian nutritionist shall file an application, on forms provided by the Department, at least 90 days prior to the examination date. The application shall include:

1. Certification of education and an official transcript indicating the applicant holds one of the following:

A) A baccalaureate degree or post-baccalaureate degree in human nutrition, foods and nutrition, dietetics, food systems management, nutrition education, nutrition, nutrition science, clinical nutrition, applied clinical nutrition, nutrition counseling, nutrition and functional medicine, or nutrition and integrative health from a school or program accredited by a regional accrediting agency recognized by the Council on Higher Education Accreditation and the U.S. Department of Education; or

B) A baccalaureate degree or post-baccalaureate degree in an equivalent major course of study recommended by the Board and approved by the Department in accordance with Section 1245.130;

2. Verification of 900 hours of practice experience, on forms provided by the Department; and

3. The required fee set forth in Section 1245.305.

b) In lieu of the documents in subsections (a)(1) and (2), an applicant for licensure as a dietitian nutritionist who, at the time of application, is a certified clinical nutritionist, certified nutrition specialist, diplomate of the American Clinical Board of Nutrition, registered dietitian or registered dietitian nutritionist shall submit a copy of his or her current registration or certification. The applicant will not be required to take an examination set forth in Section 1245.120.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

d) An applicant who has filed a completed application with the Department may work under direct supervision, as defined in Section 1245.10, until the earliest of the following:

1. 6 months after the filing of his or her written application with the Department;

2. Upon the withdrawal of the application for licensure under the Act;

3. The denial of the application by the Department; or

4. Upon delivery of a notice of intent to deny the application from the Department.

e) Upon receipt of his or her examination score, an applicant shall direct the testing entity to submit his or her examination score to the Department.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.120 Examinations

a) The examinations for licensed dietitian nutritionists shall include the examinations given through:

1. the Commission on Dietetic Registration;

2. the American Clinical Board of Nutrition;

3. the Board for Certification of Nutrition Specialists; and

4. the Clinical Nutrition Certification Board.

b) The passing score on an examination shall be the passing score of the testing entity.

c) Applicants who fail an examination 3 times in Illinois or any other jurisdiction shall be required to submit proof to the Department of the completion of 6 semester hours of dietetic or nutrition course work as set forth in Section 1245.130(a)(5) prior to sitting for an examination a fourth time.

d) If an applicant is not a certified clinical nutritionist, certified nutrition specialist, diplomate of the American Clinical Board of Nutrition, registered dietitian or registered dietitian nutritionist, but has taken and passed an examination set forth in subsection (a) within the 12 months prior to applying for licensure, the applicant shall not be required to retake the examination. The examination scores shall be submitted to the Department directly by the testing entity.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.130 Approved Schools or Programs in Dietetics and Nutrition

a) The education requirements are as follows:

1. The school or program is accredited by a regional accrediting agency recognized by the Council on Higher Education Accreditation, or is a foreign school or program that has been validated by an accrediting agency approved by the U.S. Department of Education as offering a degree equivalent to the baccalaureate or post baccalaureate degree conferred by a regionally accredited college or university in the United States;

2. The school or program has a sufficient number of full-time instructors to assure that educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their areas of teaching from professional colleges or institutions;

3. The school or program has a designated program director;

4. The school or program maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance; and

5. The applicant holds one of the following:

A) A baccalaureate or post-baccalaureate degree in human nutrition, foods and nutrition, dietetics, food systems management, nutrition education, nutrition, nutrition science, clinical nutrition, applied clinical nutrition, nutrition counseling, nutrition and functional medicine, or nutrition and integrative health; or

B) A baccalaureate or post-baccalaureate degree with a major course of study that includes the following:

i) 18 semester hours of clinical or life science, comprised of the following:

• 3 semester hours of anatomy and/or physiology;

• 3 semester hours of counseling and/or behavioral sciences;

• 12 hours of other clinical and/or life science, including but not limited to the following: medicine, organic chemistry, biology, microbiology, molecular biology, biotechnology, botany, nutrition science, neuroscience, environmental science, immunotherapy, pathology, research methods and applied statistics, biostatistics, epidemiology, genetics, genomics and/or pharmacology; and

ii) 18 semester hours of nutrition and/or metabolism, comprised of the following:

• 6 semester hours of biochemistry;

• 12 other hours of nutrition and/or metabolism, including but not limited to the following: micronutrients, macronutrients, vitamins and minerals, nutrition education, nutrition counseling, nutrition through the life cycle, endocrinology, therapeutic nutrition, nutritional aspects of disease, pathophysiologic basis of metabolic disease, functional medicine nutrition, molecular metabolism and/or developmental nutrition.

b) The Department has determined that dietetic and nutrition schools and programs authorized by the following are approved:

1. Accreditation Council for Education in Nutrition and Dietetics;

2. Academy of Nutrition and Dietetics;

3. American Clinical Board of Nutrition;

4. Board for Certification of Nutrition Specialists; and

5. Clinical Nutrition Certification Board.

c) Individuals who are deficient in any of the courses set forth in subsection (a)(5) above may complete those courses in an approved school or program.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.140 Practice Experience

a) Pursuant to Section 45 of the Act, applicants for licensure are required to demonstrate successful completion, within a 5 year time frame, of a minimum of 900 hours of practice experience in dietetics or nutrition, as defined in Section 10 of the Act.

b) The practice experience shall have been received from a supervisor who, at the time direct supervision took place, had at least 3 years of experience in dietetics or nutrition and was one of the following:

1. An individual who holds an active license under the Act or an actively licensed resident of another jurisdiction if the jurisdiction in which the supervisor practices requires licensure;

2. A licensed practitioner (such as, but not limited to, a licensed physician or registered nurse) whose license includes nutrition care;

3. An individual with a doctoral degree conferred by a U.S. regionally accredited college or university with a major course of study in human nutrition, nutrition education, food and nutrition, dietetics or food systems management, nutrition, nutrition science, clinical nutrition, applied clinical nutrition, nutrition counseling, nutrition and functional medicine, or nutrition and integrative health;

4. A registered dietitian or registered dietitian nutritionist of the Commission on Dietetic Registration;

5. A certified clinical nutritionist of the Clinical Nutrition Certification Board;

6. A certified nutrition specialist of the Board of Certification of Nutrition Specialists;

7. A diplomate of the Academy of Nutrition and Dietetics; or

8. A supervisor approved by the Department.

c) Practice experience must be completed in the United States or its territories.

d) The supervisor shall observe, supervise and assess the applicant through contact or meetings with the supervisee. Supervision may be individual or group.

e) The practice experience must be under direct supervision as defined in Section 1245.10 and documented by the supervisor as satisfactory or better.

f) The practice experience may be obtained concurrently with or following the completion of the education requirements.

g) Internships approved by the following meet the experience requirements set forth in this Section:

1. Accreditation Council for Education in Nutrition and Dietetics;

2. American Clinical Board of Nutrition;

3. Board for Certification of Nutrition Specialists; and

4. Clinical Nutrition Certification Board.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.150 Endorsement

a) An applicant who is licensed, certified or registered under the laws of another state or territory of the United States or of a foreign country and who wishes to be licensed in Illinois as a dietitian nutritionist shall file an application with the Department, on forms provided by the Department, that includes:

1. Certification of education and an official transcript from a baccalaureate or post baccalaureate degree program in human nutrition, foods and nutrition, dietetics, food systems management, nutrition education, nutrition, nutrition science, clinical nutrition, applied clinical nutrition, nutrition counseling, nutrition and functional medicine, or nutrition and integrative health from a school or program accredited by a regional accrediting agency recognized by the Council on Higher Education Accreditation, or an equivalent major course of study recommended by the Board and approved by the Department in accordance with Section 1245.130;

2. Certification of at least 900 hours of practice experience as set forth in Section 1245.140;

3. Certification from the state or territory of the United States or the foreign country in which the applicant was originally licensed, certified or registered and any location in which the applicant predominantly practices and is currently licensed, certified or registered, stating:

A) The time during which the applicant was originally licensed, certified or registered;

B) Whether the file of the applicant contains any record of disciplinary actions taken or pending; and

C) Examinations taken and examination scores received;

4. Proof of successful completion of an examination in accordance with Section 1245.120; and

5. The required fee as set forth in Section 1245.305.

b) In lieu of the documents in subsections (a)(1), (2) and (4), an applicant for licensure as a dietitian nutritionist may submit a copy of any of the following current disignations:

1. registered dietitian or registered dietitian nutritionist of the Commission on Dietetic Registration;

2. certified clinical nutritionist of the Clinical Nutrition Certification Board;

3. certified nutrition specialist of the Board for Certification of Nutrition Specialists; or

4. diplomate of the Academy of Nutrition and Dietetics.

c) An applicant for licensure as a dietitian nutritionist who is licensed, certified or registered under the laws of another state or territory of the United States or of a foreign country or is a registered dietitian or registered dietitian nutritionist, certified clinical nutritionist, certified nutrition specialist or diplomate of the American Clinical Board of Nutrition may practice dietetics in this State:

1. Until 6 months after the filing of his or her written application to the Department;

2. Upon the withdrawal of the application for licensure under the Act;

3. Until the denial of the application by the Department; or

4. Upon delivery of a notice of intent to deny the application from the Department.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.160 Restoration

a) Any dietitian nutritionist whose license has expired or has been placed on inactive status for 5 years or less may have the license restored by paying the fees required by Section 1245.305 and providing proof of meeting the CE requirements of Section 1245.310 during the 2 years prior to restoration.

b) Any person seeking restoration of a license that has been expired or placed on inactive status for more than 5 years shall file an application, on forms supplied by the Department, together with the fee required by Section 1245.305 and proof of meeting the CE requirements of Section 1245.310 during the 2 years prior to restoration. The applicant shall also submit:

1. Sworn evidence of active practice in another jurisdiction. That evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice;

2. An affidavit attesting to military service as provided in Section 70 of the Act;

3. Proof of passage of the Commision on Dietetic Registration examination for dietitian nutritionists during the period the license was lapsed or on inactive status; or

4. Evidence of current status as a registered dietitian or registered dietitian nutritionist, certified clinical nutritionist, certified nutrition specialist, or diplomate of the American Clinical Board of Nutrition.

c) Any person seeking restoration of a license within 2 years after honorable termination from military service pursuant to Section 70 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the CE requirements.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration may be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.200 Application for Licensure as a Nutrition Counselor Under Section 60(b) of the Act (grandfather) (repealed)

History

• Source: Repealed at 24 Ill. Reg. 518, effective December 31, 1999

68 Ill. Adm. Code 1245.210 Application for Examination/Licensure (repealed)

History

• Source: Repealed at 28 Ill. Reg. 4867, effective March 5, 2004

68 Ill. Adm. Code 1245.220 Examination (repealed)

History

• Source: Repealed at 28 Ill. Reg. 4867, effective March 5, 2004

68 Ill. Adm. Code 1245.230 Approved Programs of Nutrition Counselors (repealed)

History

• Source: Repealed at 28 Ill. Reg. 4867, effective March 5, 2004

68 Ill. Adm. Code 1245.240 Experience (repealed)

History

• Source: Repealed at 28 Ill. Reg. 4867, effective March 5, 2004

68 Ill. Adm. Code 1245.250 Endorsement (repealed)

History

• Source: Repealed at 28 Ill. Reg. 4867, effective March 5, 2004

68 Ill. Adm. Code 1245.260 Restoration (repealed)

History

• Source: Repealed at 28 Ill. Reg. 4867, effective March 5, 2004

68 Ill. Adm. Code 1245.300 Renewal

a) Every license issued under the Act shall expire on October 31 of each odd-numbered year. In order to renew a license, a licensee shall be required to complete 30 hours of CE in accordance with Section 1245.310. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each licensee to notify the Department of any change of address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or attempting to practice without a valid license or while a license is not active shall be considered unlicensed practice and shall be grounds for discipline in accordance with Section 15.5 of the Act.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.305 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as a dietitian nutritionist is $100. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing an examination. Failure to appear for an examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application as a CE sponsor is $500. State colleges and universities and State agencies are exempt from payment of this fee.

b) Renewal Fees

1. The fee for the renewal of a license shall be calculated at the rate of $50 per year.

2. The fee for renewal of CE sponsor approval is $250 for the renewal period.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees, but not to exceed $300.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Department records when no duplicate license is issued.

3. The fee for certification of a licensee's record for any purpose is $20.

4. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

5. The fee for a roster of persons licensed as dietitian nutritionists in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.310 Continuing Education

a) Continuing Education Hours Requirements

1. In order to renew a license, a licensee shall be required to complete 30 hours of CE during the renewal period.

2. A renewal period is the 24 months preceding October 31 of each odd-numbered year.

3. One CE hour shall equal one clock hour. After completion of the initial CE hour, credit may be give in one-half hour increments.

4. Courses that are part of the curriculum of a regionally accredited university or college shall be allotted CE credit at the rate of 15 CE hours for each semester hour, 14 CE hours for each trimester hour and 10 CE hours for each quarter hour of school credit awarded.

5. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

6. Dietitian nutritionists licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

7. CE credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

b) Approved Continuing Education

1. CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program or course that is offered or sponsored by an approved CE sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3) and (4).

2. CE credit may be earned through postgraduate training programs (e.g., extern, residency or fellowship programs) or completion of dietetic and nutrition services related courses that are a part of the curriculum of a college or university.

3. CE credit may be earned for verified teaching in a regionally accredited college, university or graduate school of dietetics and nutrition services approved in accordance with Section 1245.130 as an instructor of CE programs given by approved sponsors. Credit will be applied at the rate of 1.5 hours for every clock hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations). A person may earn a maximum of 10 hours per renewal period.

4. CE credit may be earned for authoring papers, publications or books and for preparing presentations and exhibits. The preparation of each published paper, book chapter or audio-visual presentation dealing with dietetics and nutrition services may be claimed as 5 hours of credit per renewal period. A presentation must be before an audience of dietitian nutritionists. Five credit hours may be claimed for only the first time the information is published or presented.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean one of the following:

A) Academy of Nutrition and Dietetics, branch associations, or organizations approved as sponsors of CE by the Commission on Dietetic Registration;

B) Board for Certification of Nutrition Specialists, branch associations, or organizations approved as sponsors of CE by the Board for Certification of Nutrition Specialists;

C) American Clinical Board of Nutrition, branch associations, or organizations approved as sponsors of CE by the American Clinical Board of Nutrition;

D) Clinical Nutrition Certification Board, branch associations, or organizations approved as sponsors of CE by the Clinical Nutrition Certification Board;

E) Colleges and universities accredited by a regional accrediting agency recognized by the Council on Higher Education Accreditation;

F) Employers licensed under the Hospital Licensing Act [210 ILCS 85];

G) Illinois State agencies;

H) Providers approved by another state's board of dietitian nutritionist practice; or

I) A person, firm, association, corporation or any other group that applies pursuant to subsection (c)(2) and has been approved and authorized by the Department to coordinate and present CE courses and programs.

2. An entity seeking approval as a CE sponsor shall submit an application, on forms supplied by the Department, along with the required fee as set forth in Section 1245.305. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The application shall include:

A) Certification that:

i) All programs offered by the sponsor for CE credit shall comply with the criteria in this Section;

ii) The sponsor shall be responsible for verifying attendance at each program and provide a certificate of attendance to the participant as set forth in subsection (c)(7);

iii) Upon request by the Department, the sponsor will submit evidence (e.g., certificate of attendance or course material) as is necessary to establish compliance with this Section. Evidence shall be required when the Department has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance; and

B) A copy of a 3 hour sample program with faculty, course materials and syllabi.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of dietetics and nutrition services;

B) Foster the enhancement of general or specialized work in the practice of dietetics and nutrition services;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for renewal of a license.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or electronically. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the program may also be identified, but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. All programs given by approved sponsors shall be open to all dietitian nutritionists and not be limited to members of a single organization or group.

7. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

8. The sponsor shall maintain attendance records for not less than 5 years.

9. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

10. Upon the failure of a sponsor to comply with any one of the requirements of this subsection (c), the Department, after notice to the sponsor and hearing before the Department, shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until the Department receives assurances of compliance with requirements of this Section.

11. Notwithstanding any other provision of this Section, the Department or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in this Section.

2. The Department may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. The Department may conduct a random audit to verify compliance with the CE requirements.

4. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing.

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the licensee shall submit an individual program approval request form, along with a $20 processing fee, within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using criteria set forth in subsection (c)(3) of this Section. Licensees may seek individual program approval prior to participating in the program.

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $20 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Department a renewal application along with the required fee set forth in Section 1245.305, a statement setting forth the facts concerning noncompliance and request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Department finds, from an affidavit or any other evidence submitted, that extreme hardship has been shown for granting a waiver, the Department shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician; or

C) Any other similar extenuating circumstance.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Department.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.320 Inactive Status

a) A licensed dietitian nutritionist who notifies the Department, on forms provided by the Department, may place the license on inactive status and shall be excused from paying renewal fees until he or she notifies the Department in writing of the intention to resume active practice.

b) Any dietitian nutritionist whose license is on inactive status shall not practice dietetics and nutrition services and shall not use the title "dietitian nutritionist", "dietitian", "licensed nutritionist", or "nutrition counselor" or the letters "L.D.N." in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

c) Any licensee seeking restoration from inactive status shall do so in accordance with Section 1245.160.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.325 Supervision Under Section 20(m) of the Act

Under Section 20(m) of the Act, "supervision", when referring to a dietary technical support person working in a hospital setting or a regulated Department of Public Health or Department on Aging facility or program who has been trained and is supervised while engaged in the practice of dietetics by a licensed dietitian nutritionist, means supervision by a licensed dietitian nutritionist or other appropriate supervisor. The supervisor shall:

a) Meet at regularly scheduled sessions with the supervisee a minimum of one hour per month;

b) Be responsible for the standard of work performed by the supervisee; and

c) Have knowledge of patients, clients and case information.

History

• Source: Added at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.330 Unprofessional Conduct

a) The Department may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its finding of "unethical, unauthorized, or unprofessional conduct" within the meaning of Section 95 of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

1. Discriminating against clients on the basis of race, gender, religion, age, national origin, political affiliation, social or economic status, choice of lifestyle or sexual orientation;

2. Promoting or endorsing products in a manner that is not true or is misleading;

3. Permitting the use of his or her name to certify that professional services have been rendered when the licensee has not provided or supervised those services. When providing supervision the licensee shall assume responsibility for the actions of any person under their supervision;

4. Making gross or deliberate misrepresentations or misleading claims as to his or her professional qualifications or of the efficacy or value of his or her nutrition services, or those of another practitioner;

5. Submission of fraudulent claims for services to any health insurance company or health service plan or third party payor;

6. Refusing to divulge to the Department techniques or procedures used in his or her professional activities upon request;

7. Practicing or offering to practice beyond one's competency (for example, providing services and techniques for which one is not qualified by education, training and experience);

8. Directly or indirectly giving to or receiving from any person, firm or corporation any fee, commission, rebate or other form of compensation for any professional services not actually rendered;

9. Making false or misleading statements designed to induce a client to purchase services, goods, appliances or drugs as to exploit the client for the financial gain of the licensee or of a third party;

10. Failing to make available to a client, upon request, copies of documents in the possession or under the control of the licensee that have been prepared for and paid for by the client;

11. Revealing of personally identifiable facts, data or information obtained in a professional capacity without the prior consent of the client, except as authorized or required by law;

12. Delegating professional responsibilities to a person when the licensee delegating those responsibilities knows or has reason to know that the person is not qualified, by training, by experience or by licensure, to perform them;

13. Performing professional services that have not been duly authorized by the client or his or her legal representative;

14. Failing to comply with the following applicable designation:

A) the 2009 American Dietetic Association/Commission on Dietetic

Registration Code of Ethics for the Profession of Dietetics and Process for Consideration of Ethics Issues, published July 22, 2009 by the Academy of Nutrition and Dietetics, 120 S. Riverside Plaza, Suite 2000, Chicago, Illinois, are hereby incorporated by reference with no later amendments or editions;

B) the 2004 American Clinical Board of Nutrition Certification Agreement, published December 1, 2005 by the American Clinical Board of Nutrition Certification, 6855 Browntown Road, Front Royal, Virginia 22630, are hereby incorporated by reference with no later amendments or editions;

C) the Certified Clinical Nutritionist Code of Professional Ethics and Responsibility, published December 15, 1991 by the Clinical Nutrition Certification Board, 15280 Addison Road, Suite 130, Addison, Texas 75001, are hereby incorporated by reference with no later amendments or editions; or

D) the Board for Certification of Nutrition Specialists 2013 Code of Ethics and Professional Conduct, effective July 23, 2013, published by the Board for Certification of Nutrition Specialists, 4707 Willow Springs Road, Suite 207, La Grange, Illinois 60525, are hereby incorporated by reference with no later amendments or editions.

b) A dietitian nutritionist shall not advertise in any way that is fraudulent, false, deceptive or misleading. Any advertising shall be considered fraudulent, false, deceptive or misleading if it:

1. Contains a misrepresentation of facts;

2. Makes only a partial disclosure of relevant, material facts;

3. Represents that professional services can or will be completely performed for a stated fee when this is not the case, or makes representations with respect to fees for professional services that do not disclose all variables affecting the fees that will in fact be charged;

4. Represents the licensee in a deceptive or misleading manner with respect to the profession or professional status of the licensee;

5. Contains any representation of a special area of practice by the licensee that implies that the licensee requires a superior license or formal recognition by the Department other than a licensed dietitian nutritionist;

6. Makes false, unproven or misleading claims about the validity, safety, or effectiveness of any dietetic or nutrition related service, product or test;

7. Fails to conspicuously identify the licensee by name in the advertisement; or

8. Makes a guarantee of success.

History

• Source: Amended at 40 Ill. Reg. 3658, effective March 11, 2016

68 Ill. Adm. Code 1245.340 Granting Variances

a) The Director may grant variances from these rules in individual cases where:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Dietitian Nutritionist Practice Board in writing of the granting of a variance, and the reasons therefor.

History

• Source: Amended at 28 Ill. Reg. 4867, effective March 5, 2004

Part 1246 Electrologist Licensing Act

68 Ill. Adm. Code 1246.10 Qualification for Licensure

a) An applicant may apply for licensure as an electrologist by filing an application on forms provided by the Department of Financial and Professional Regulation-Division of Professional Regulation (Division). For individuals who wish to apply under the grandfather provision, the application shall be postmarked no later than February 22, 2006 and shall include:

1. A complete work history documenting employment as an electrologist;

2. Verification that the applicant has received compensation for practicing electrology for a period of 3 years. This may be in the form of affidavits from at least 3 clients or business owners who can attest to applicant's practicing electrology for compensation;

3. Proof of one of the following:

A) Current board certification by the American Electrology Association as a Certified Professional Electrologist (CPE) or Clinical Certified Electrologist (CCE) or certification from any other organization approved by the Division; or

B) Completion of 30 hours of continuing education in electrology as set forth in Section 1246.70; and

4. the required fee set forth in Section 1246.30.

b) Individuals applying for licensure as an electrologist, except for those qualified under the grandfather provision, shall file an application with the Division, on forms provided by the Division, that the applicant has:

1. Completed 600 hours in the study of electrology over a period of not less than 16 weeks nor more than 2 consecutive years at a program approved by the Division. If an applicant completed a program before December 31, 2003, the program may be less than 600 hours if it is approved by the Division; and

2. Successfully completed the IBEC (International Board of Electrology Certification) examination.

History

• Source: Amended at 29 Ill. Reg. 18815, effective November 4, 2005

68 Ill. Adm. Code 1246.20 Examination

a) The examination for licensed electrologists shall be the IBEC (International Board of Electrology Certification) examination.

b) The passing score on the examination shall be the passing score of the testing entity.

c) Applicants who fail the examination 3 times in Illinois or any other jurisdiction shall be required to submit proof of successful completion of 100 hours in an electrology education program in a course of study on the subjects of the portion failed in the third examination.

68 Ill. Adm. Code 1246.30 Application for Licensure by Acceptance of Examination

Applicants for licensure based on examination shall submit to the Division a properly completed application on forms provided by the Division, along with the following:

a) Proof of successful completion of the examination approved by the Division specified in Section 1246.20 of this Part; and

b) The required fee set forth in Section 1246.40.

History

• Source: Amended at 29 Ill. Reg. 18815, effective November 4, 2005

68 Ill. Adm. Code 1246.40 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees.

The fee for application for a license as an electrologist is calculated at $125.

b) Renewal Fees.

The fee for the renewal of a license as an electrologist shall be calculated at $62.50 per year.

c) Examination.

Applicants for examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

d) General Fees.

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee for a roster of persons licensed as electrologists in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 48 Ill. Reg. 14154, effective September 10, 2024

68 Ill. Adm. Code 1246.50 Endorsement

a) An applicant for licensure as an electrologist who is licensed under the laws of another state shall file an application with the Division that shall include:

1. Documentation certifying that applicant meets the education requirements set forth in Section 1246.10(b);

2. Documentation from the jurisdiction of original licensure and the state by which the applicant is currently licensed, stating whether the file on the applicant contains any disciplinary actions taken or pending, and the applicant's license number;

3. Proof of successful completion of the examination; and

4. The required fee.

b) The Division shall examine each endorsement application to determine whether the requirements and examination in the jurisdiction at the date of licensing were substantially equivalent to the requirements and examination then in force in this State and whether the applicant has otherwise complied with the Act.

c) The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 34 Ill. Reg. 16964, effective October 25, 2010

68 Ill. Adm. Code 1246.60 Standards of Sterilization and Sanitation

The Division hereby incorporates by reference "Standards of Practice for Electrologists" (2023), as approved by the American Electrology Association, and "Infection Control Standards for the Practice of Electrology" (2023), as approved by the American Electrology Association, P.O. Box 687, Bodega Bay CA 94923 (no later amendments or editions included). A licensee shall comply with the Standards of Practice for Electrologists and Infection Control Standards for the Practice of Electrology.

History

• Source: Amended at 48 Ill. Reg. 14154, effective September 10, 2024

68 Ill. Adm. Code 1246.70 Continuing Education

For the April 2010 renewal and every renewal thereafter, in order to renew a license, the licensee shall be required to complete 30 hours of continuing education (CE). One Continuing Education Unit (CEU) is defined as 10 contact hours of participation in a qualifying CE activity.

a) Qualifying CE activities are the following:

1. Courses offered or approved by the American Electrology Association or its affiliates;

2. Courses offered or approved by the Society for Clinical & Medical Hair Removal, Inc.;

3. Credit-bearing college courses and other post-graduate classes for continuing education credit offered at a regionally accredited academic institution, provided the coursework is in a subject area relevant to electrolysis;

4. Hospital or medical school sponsored educational offerings, provided the subject area is relevant to electrolysis;

5. Courses from another state that are approved by that state's licensing agency or professional electrology organization, provided the coursework is in a subject area relevant to electrolysis; and

6. Continuing education courses offered by electrolysis schools approved by the Illinois Board of Higher Education in a subject area relevant to electrolysis.

b) CE activities shall meet the following requirements:

1. The activity involves face-to-face instruction, online instruction, or a home study program;

2. The provider implements a mechanism to monitor and document physical attendance at the instruction or to verify licensee completion in the case of a home study program;

3. The provider retains written records for a period of 3 years from the participant's actual successful completion of the activity, including but not limited to: content description; instructor; date of activity; location of activity; list of participants; participant's evaluation of instruction presented; and number of contact hours; and

4. The provider issues a certificate of completion after the participant's successful completion of the activity. The certificate shall include the participant's name, provider's name, title or subject area of the activity, date and location of attendance, and number of contact hours completed.

c) Certification of CE Requirements

1. Each renewal applicant shall certify on the renewal application full compliance with CE requirements (see subsections (a) and (b)).

2. A renewal applicant is not required to complete CE for the first renewal following the issuance of the original license.

3. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance (e.g., certificate of attendance or completion). Evidence shall be required in the context of the Division's random audit in accordance with Section 60 of the Act.

d) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application along with the required fee, an affidavit containing a statement setting forth the facts concerning non-compliance and a request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division finds, from the affidavit or any other evidence submitted, that extreme good cause has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician; and

D) Any other similar extenuating circumstance.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 48 Ill. Reg. 14154, effective September 10, 2024

68 Ill. Adm. Code 1246.80 Renewals

a) The first renewal date for licensure under the Electrologist Licensing Act [225 ILCS 412] (Act) shall be April 30, 2008. Thereafter, every license issued under the Act shall expire on April 30 of even numbered years. The holder of the license may renew the license during the month preceding the expiration date by paying the required fee and proof of 30 hours of continuing education in accordance with Section 1245.70.

b) It is the responsibility of each license holder to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired license shall be considered the unlicensed practice of electrology and subject to discipline or other penalties set forth in Section 75 of the Act.

d) A renewal applicant is not required to complete continuing education for the first renewal following the issuance of the original license.

History

• Source: Amended at 34 Ill. Reg. 16964, effective October 25, 2010

68 Ill. Adm. Code 1246.90 Restoration

a) A person seeking restoration of a license that has expired for 5 years or less shall have the license restored upon payment of all lapsed renewal fees and proof of 30 hours of continuing education.

b) A person seeking restoration of a license that has been placed on inactive status for 5 years or less shall have the license restored upon payment of the current renewal fee and proof of 30 hours of continuing education.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, including the applicant's work history since the license expired, the required fee and proof of 30 hours of continuing education completed within the 24 months preceding the date of application. The person shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 60 of the Act.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be requested to provide information as may be necessary.

e) Upon the recommendation of the Director of the Division of Professional Regulation (Director), an applicant shall have the license restored or will be notified in writing of the reason for the denial of the application.

68 Ill. Adm. Code 1246.100 Inactive Status

a) An electrologist who notifies the Division, on forms provided by the Division, may place his or her license on inactive status and shall be excused from paying renewal fees until he/she notifies the Division in writing of the intention to resume active practice.

b) Any electrologist seeking restoration from inactive status shall do so in accordance with Section 1246.80.

c) Any person violating this Section shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

68 Ill. Adm. Code 1246.105 Granting Variances

The Director may grant variances from this Part in individual cases where he or she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1246.110 Dishonorable, Unethical or Unprofessional Conduct

a) The Division may suspend or revoke a license, refuse to issue or renew a license or take disciplinary action, based upon its finding of dishonorable, unethical or unprofessional conduct within the meaning of Section 75 of the Act.

b) The Division hereby incorporates by reference "Standards of Practice for Electrologists" (2023), as approved by the American Electrology Association, P.O. Box 687, Bodega Bay CA 94923 (no later amendments or editions included). A violation of this incorporated document is considered dishonorable, unethical, or unprofessional conduct.

History

• Source: Amended at 48 Ill. Reg. 14154, effective September 10, 2024

Part 1247 Environmental Health Practitioner Licensing Act

68 Ill. Adm. Code 1247.10 Application for Licensure as an Environmental Health Practitioner Under Section 21(a) or (b) of the Act (grandfather) (repealed)

History

• Source: Repealed at 24 Ill. Reg. 537, effective December 31, 1999

68 Ill. Adm. Code 1247.20 Application for Examination/Licensure as an Environmental Health Practitioner

a) An applicant for licensure as an environmental health practitioner on the basis of examination or acceptance of examination shall file an application, on forms provided by the Department of Financial and Professional Regulation-Division of Professional Regulation (Division). The application shall include:

1. Verification, on forms provided by the Division, that the applicant meets one of the following qualifications:

A) Holds a bachelor's degree from an accredited college or university approved by the National Environmental Health Science and Protection Accreditation Council for environmental health curricula or its equivalent as approved by the Division in accordance with Section 1247.40 of this Part;

B) Holds a bachelor's degree from an accredited college or university which included a minimum of 30 semester hours, or the equivalent, of basic sciences approved by the Division in accordance with Section 1247.40 and 12 months of full-time experience as set forth in Section 1247.50; or

C) Holds a master's degree in public health or environmental health science from an accredited college or university if the applicant has completed a minimum of 30 semester or equivalent hours of basic science as approved by the Division in accordance with Section 1247.40;

2. The required fee set forth in Section 1247.75; and

3. Certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and the jurisdiction in which the applicant predominantly practices and is currently registered/licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) All applicants shall be required to pass the examination required in Section 1247.30. Those individuals who have already passed the required examination prior to application shall submit proof of passage directly to the Division.

History

• Source: Amended at 32 Ill. Reg. 14951, effective September 3, 2008

68 Ill. Adm. Code 1247.25 Application for Licensure as an Environmental Health Practitioner in Training

An applicant for licensure as an environmental health practitioner in training shall file an application, on forms provided by the Division.

a) Pursuant to Section 21 of the Act, a person who, on August 22, 2002, was certified by his or her employer as serving as a sanitarian or unlicensed environmental health practitioner in environmental health practice in this State may be issued a license as an environmental health practitioner in training upon filing an application by July 1, 2003. The application shall be filed with the Division on forms supplied by the Division and shall include:

1. Verification of employment signed by the supervisor; and

2. The required fee set forth in Section 1247.75.

b) Individuals applying for an environmental health practitioner in training license, except for those qualified pursuant to subsection (a), shall file an application with the Division, on forms provided by the Division, that the applicant meets one of the following qualifications:

1. Verification

A) Holds a bachelor's degree from an accredited college or university approved by the National Environmental Health Science and Protection Accreditation Council for environmental health curricula or its equivalent as approved by the Division in accordance with Section 1247.40 of this Part;

B) Holds a bachelor's degree from an accredited college or university that included a minimum of 30 semester hours, or the equivalent, of basic sciences approved by the Division in accordance with Section 1247.40; or

C) Holds a master's degree in public health or environmental health science from an accredited college or university if the applicant has completed a minimum of 30 semester or equivalent hours of basic science as approved by the Division in accordance with Section 1247.40;

2. The required fee set forth in Section 1247.75; and

3. Certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and the jurisdiction in which the applicant predominantly practices and is currently registered/licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

c) An environmental health practitioner in training license will be issued for 3 years.If a person has not passed an examination within the 3 years, an applicant may request an extension.

1. The applicant shall request an extension in writing stating the reasons for the extension and shall pay the required fee.

2. Upon the recommendation of the Environmental Health Practitioners Board (Board) and approval by the Division, an environmental health practitioner in training license shall be extended, not to exceed 3 years, for the following reasons:

A) Service in the military;

B) Incapacitating illness and/or hospitalization verified by a physician; or

C) Other extenuating circumstances.

3. In no instance can an environmental health practitioner in training license be extended that would allow an environmental health practitioner in training to practice more than 6 years.

History

• Source: Amended at 32 Ill. Reg. 14951, effective September 3, 2008

68 Ill. Adm. Code 1247.30 Examination

a) The examination for licensure as an environmental health practitioner shall be the National Environmental Health Association (NEHA) Registered Environmental Health Specialist/Registered Sanitarian (REHS/RS) examination administered by the Division, or its designated testing service, or other testing services approved by the Division.

b) The passing score on the examination shall be the passing score established by the national testing entity.

History

• Source: Amended at 38 Ill. Reg. 20772, effective October 31, 2014

68 Ill. Adm. Code 1247.40 Approved Programs of Environmental Health Practitioners

a) The Division shall approve a bachelor's or master's program if it meets the following minimum criteria:

1. The school or program is accredited by an agency recognized by the Council on Post-secondary Accreditation and the United States Department of Education or the jurisdiction in which it is located.

2. The program has a sufficient number of full-time instructors to assure that educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their area of teaching from professional colleges or institutions.

3. Has a designated program director.

4. Maintains permanent student records which summarize the credentials for admission, attendance, grades and other records of performance.

5. Has a curriculum with a minimum of 30 semester hours, or the equivalent, of basic sciences with at least 3 hours in each of the following areas:

A) Physical Sciences;

B) Chemical Sciences;

C) Biological Sciences; and

D) Math.

b) The Division shall accept a program in environmental health science from a college or university approved by the National Environmental Health Science and Protection Accreditation Council.

History

• Source: Amended at 32 Ill. Reg. 14951, effective September 3, 2008

68 Ill. Adm. Code 1247.50 Experience

a) A minimum of 12 months of full-time experience in environmental health as defined in Section 10 of the Act is required for licensure under Section 20(1)(B) of the Act. The technical guidance shall have been received from an individual(s) who, during the time the experience took place, was one of the following:

1. A Licensed/Registered Environmental Health Practitioner.

2. A Licensed Professional Engineer practicing in Environmental Health.

b) Direct on-site supervision is not required.

c) Full-time experience is defined as a minimum of 1,800 hours during a 12 month period.

68 Ill. Adm. Code 1247.55 Supervision

a) A licensed environmental health practitioner in training or an environmental health inspector may perform the duties and functions of environmental health practice under the supervision of a licensed environmental health practitioner or licensed professional engineer.

b) A licensed environmental health practitioner or a licensed professional engineer may serve as a supervisor to any licensed environmental health practitioner in training or environmental health inspector. The supervisor shall fulfill the minimum supervisor requirements, including but not limited to:

1. being available for consultation on a daily basis;

2. reviewing and advising on law enforcement proceedings; and

3. evaluating the practice of environmental health performed by the licensed environmental health practitioner in training or the environmental health inspector.

c) A licensed environmental health practitioner or licensed professional engineer is responsible for assuring that a licensed environmental health practitioner in training or environmental health inspector that he or she is supervising properly engages in the practice of environmental health. (Section 23 of the Act)

History

• Source: Amended at 27 Ill. Reg. 10248, effective June 26, 2003

68 Ill. Adm. Code 1247.60 Endorsement

a) An applicant who is licensed/registered under the laws of another jurisdiction and who wishes to be licensed in Illinois as an environmental health practitioner shall file an application with the Division, on forms provided by the Division, that includes:

1. Proof of Education and Experience

A) Certification of a bachelor's degree from an accredited college or university approved by the National Environmental Health Science and Protection Accreditation Council for environmental health curricula or its equivalent as approved by the Division in accordance with Section 1247.40; or

B) Certification of a bachelor's degree from an accredited college or university which included a minimum of 30 semester hours or the equivalent of basic sciences approved by the Division in accordance with Section 1247.40 and 12 months of full time experience as set forth in Section 1247.50; or

C) Certification of a master's degree in public health or environmental health science from an accredited college or university if the applicant has completed a minimum of 30 semester or equivalent hours of basic science as approved by the Division in accordance with Section 1247.40;

2. Proof of successful completion of the examination required in Section 1247.30 or its equivalent;

3. The required fee set forth in Section 1247.75; and

4. Certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and the state in which the applicant predominantly practices and is currently registered/licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) The Department shall issue an environmental health practitioner license to any applicant who holds a Registered Environmental Health Specialist/Registered Sanitarian credential in good standing with the National Environmental Health Association. The applicant must pay the fee set forth in Section 1247.75.

c) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure by endorsement shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 38 Ill. Reg. 20772, effective October 31, 2014

68 Ill. Adm. Code 1247.70 Renewal

a) Every license issued under the Act shall expire on April 30 of even-numbered years. The holder of a license may renew such license during the month preceding the expiration date by paying the fee required by Section 1247.75 and meeting the continuing education requirements set forth in Section 1247.100.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

History

• Source: Amended at 32 Ill. Reg. 14951, effective September 3, 2008

68 Ill. Adm. Code 1247.75 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as an environmental health practitioner is $100. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application as a continuing education sponsor is $500. State colleges, universities, and State agencies are exempt from payment of this fee.

3. The fee for an application for an environmental health practitioner in training license shall be $50.

b) Renewal Fees

1. The fee for the renewal of a license shall be calculated at the rate of $75 per year.

2. The fee for renewal of continuing education sponsor approval is $250 for the renewal period (see Section 1247.100(c)(7)).

3. The fee for an extension of an environmental health practitioner in training license shall be $35.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, not to exceed $500.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license which has been lost or destroyed or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination administered by the Division reviewed and verified is $20, plus any fee charged by the testing service.

History

• Source: Amended at 47 Ill. Reg. 1311, effective January 10, 2023

68 Ill. Adm. Code 1247.80 Inactive Status

a) A licensed environmental health practitioner who notifies the Division, on forms provided by the Division, may place the license on inactive status and shall be excused from paying renewal fees until he/she notifies the Division in writing of the intention to resume active practice.

b) Any licensed environmental health practitioner seeking restoration from inactive status shall do so in accordance with Section 1247.90.

c) Any environmental health practitioner whose license is on inactive status shall not practice as an environmental health practitioner and shall not use the title "registered" or "licensed" environmental health practitioner in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 32 Ill. Reg. 14951, effective September 3, 2008

68 Ill. Adm. Code 1247.85 Dishonorable, Unethical, or Unprofessional Conduct

The Department may suspend or refuse to renew or revoke or take any other disciplinary actions authorized by the Act based upon its finding of dishonorable, unethical, or unprofessional conduct within the meaning of Section 35(a)(8) of the Act which is interpreted to include, but is not limited to, the following acts or practices conducted by the licensee:

a) Making a gross or material misstatement in any document or statement related to practice, making misleading claims about professional qualifications or furnishing inaccurate information to the Division;

b) Engaging in conduct likely to deceive or defraud or harm the public, actual injury need not be established;

c) Negligence in practice or committing gross or multiple acts of negligence in practice;

d) Practicing beyond ones’ competency providing services and techniques for which one is not qualified by education, training, or experience − performing or pretending to be able to perform professional services beyond one’s scope of practice and one’s competency;

e) The disclosure to unauthorized persons of confidential or non-public information obtained during the course of providing professional services or failing to take appropriate steps to protect such information from unauthorized or unintended disclosure;

f) Failing to disclose conflicts of interest to an employer or client;

g) Allowing a license to be used by another person or using another’s license;

h) Engaging in the solicitation or acceptance of gratuities, directly or indirectly, from any person or entity in connection with professional services or work for which the licensee is responsible;

i) Failing to be completely objective and truthful in all professional reports, statements, or testimony;

j) Violating the ethical standards of the profession in accordance with Section 35 of the Act;

k) Failing to properly supervise any subordinate or trainee under the licensee’s supervision;

l) Engaging in activities that cause actual harm to any member of the public,

m) Submitting fraudulent billing or reports to an employer or any third party or claiming a fee for a service that is not performed or earned; or

n) Discriminating in any manner against a person or group based upon that person or group in violation of the Illinois Human Rights Act [775 ILCS 5].

History

• Source: Added at 47 Ill. Reg. 1311, effective January 10, 2023

68 Ill. Adm. Code 1247.90 Restoration

a) Any environmental health practitioner whose license expired or has been placed on inactive status for 5 years or less may have the license restored by paying the fees required by Section 1247.75 and providing proof of meeting continuing education requirements set forth in Section 1247.100 during the 2 years prior to restoration.

b) Any person seeking restoration of a license that has been expired or placed on inactive status for more than 5 years shall file an application, on forms provided by the Division, for review by the Board, together with the fee required by Section 1247.75 and providing proof of meeting continuing education requirements set forth in Section 1247.100 during the 2 years prior to restoration. The applicant shall also submit:

1. Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee/registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 27(c) of the Act; or

3. Proof of successful completion of the examination required in Section 1247.30 during the period the license was lapsed or on inactive status; or

4. Sworn evidence of lawful practice under the supervision of an Illinois-licensed environmental healthcare practitioner in the State of Illinois that is satisfactory to the Department; or

5. Proof of current certification, including continuing education, from the National Environmental Health Association Accreditation Council for environmental health curricula.

c) Any person seeking restoration of a license within 2 years after general discharge from military service pursuant to Section 27(c) of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the continuing education requirements.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the registrant seeking restoration shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

e) Upon the recommendation of the Board and approval of the Director of the Division of Professional Regulation, with the authority delegated by the Secretary (Director), an applicant shall have the registration restored or be notified in writing of the reason for denying the application.

History

• Source: Amended at 38 Ill. Reg. 20772, effective October 31, 2014

68 Ill. Adm. Code 1247.100 Continuing Education

a) Continuing Education Hours Requirements

1. In order to renew a license as an environmental health practitioner, a licensee shall be required to complete 20 hours of continuing education (CE) relevant to the practice of environmental health.

2. A prerenewal period is the 24 months preceding April 30 of each even-numbered year.

3. One CE hour shall equal 60 minutes of attendance. After completion of the initial CE hour, credit may be given in one-half hour increments.

4. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

5. Environmental health practitioners licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

6. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

b) Approved Continuing Education (CE)

1. CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program or course (program) that is offered or sponsored by an approved continuing education sponsor meeting the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3), (4) and (5).

2. A maximum of 10 CE credits per prerenewal period may be earned for completion of a correspondence course that is offered by an approved sponsor meeting the requirements set forth in subsection (c). Each correspondence course shall include an examination.

3. CE credit may be earned through postgraduate training programs (e.g., extern, residency or fellowship programs) or completion of environmental health related courses that are a part of the curriculum of a college, university or graduate school. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

4. CE credit may be earned for verified teaching in the field of environmental health in an accredited college, university or graduate school and/or as an instructor of continuing education programs given by approved sponsors. Credit will be applied at the rate of 2 hours for every hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations of the same program). A maximum of 10 hours of CE credit may be obtained in this category per prerenewal period.

5. CE credit may be earned for authoring papers, publications, dissertations or books and for preparing presentations and exhibits in the field of environmental health. The preparation of each published paper, book chapter or professional presentation dealing with environmental health may be claimed as 5 hours of credit. A presentation must be before an audience of professionals. Five credit hours may be claimed for only the first time the information is published or presented.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) American Public Health Association

B) American Society of Safety Engineers

C) Associated Illinois Milk, Food and Environmental Sanitarians

D) Association of Food and Drug Officials

E) Conference for Food Protection

F) Illinois Association of Local Environmental Health Administrators

G) Illinois Association of Ground Water Professionals

H) Illinois Association of Public Health Administrators

I) Illinois Environmental Health Association and Affiliates

J) Illinois Public Health Association

K) International Association of Food Protection-IAFP

L) Interstate Shellfish Shippers Conference

M) National Conference of Interstate Milk Shippers

N) National Environmental Health Association and Affiliates

O) National Restaurant Association and Educational Foundation

P) NSF International

Q) North Central Association of Food and Drug Officials

R) State and federal agencies

S) Any other accredited school, college or university, or any other person, firm, or association applying pursuant to subsection (c)(2)that has been approved and authorized by the Division to coordinate and present continuing education courses and programs in conjunction with this Section.

2. An entity seeking approval as a CE sponsor shall submit an application, on forms supplied by the Division, along with the application fee specified in Section 1247.75. The application shall include:

A) Certification:

i) That all programs offered by the sponsor for CE credit shall comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor shall be responsible for verifying full-time continuous attendance at each program and provide a certificate of attendance as set forth in subsection (c)(8);

iii) That, upon request by the Division, the sponsor shall submit evidence (e.g., certificate of attendance or course material) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance;

B) A copy of a sample program, including course materials, syllabi and a list of faculty.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in practice of environmental health;

B) Foster the enhancement of general or specialized practice and values of environmental health;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor to be completed by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and the instructor shall review together the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presentor of the program may also be identified, but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. All programs given by approved sponsors shall be open to all licensed environmental health practitioners and not be limited to members of a single organization or group.

7. To maintain approval as a sponsor, each sponsor shall submit to the Division by April 30 of each even-numbered year a renewal application, and the fee specified in Section 1247.75.

8. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

9. The sponsor shall maintain attendance records for not less than 5 years.

10. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

11. Upon the failure of a sponsor to comply with any of the requirements of this Section, the Division, after notice to the sponsor and hearing before the Board and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until such time as the Division receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned or is seeking CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3) of this Section.

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval and disapproval of the program using the criteria set forth in subsection (c)(3) of this Section.

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with CE requirements, the Division shall restore the license upon payment of the required fee as provided in Section 1247.75.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application along with the required fee set forth in Section 1247.75, a statement setting forth the facts concerning non-compliance and a request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from such affidavit or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician; or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 32 Ill. Reg. 14951, effective September 3, 2008

68 Ill. Adm. Code 1247.105 Confidentiality

All information collected by the Department in the course of an examination or investigation of a licensee or applicant, including, but not limited to, any complaint against a licensee, applicant or any person who holds himself or herself out as a licensee or applicant that is filed with the Department, and information collected to investigate any such complaint, shall be maintained for the confidential use of the Department and shall not be disclosed. The Department may not disclose the information to anyone other than law enforcement officials, regulatory agencies that have an appropriate regulatory interest as determined by the Secretary, or a party presenting a lawful subpoena to the Department. Information and documents disclosed to a federal, State, county or local law enforcement agency shall not be disclosed by the agency for any purpose to any other agency or person. A formal complaint filed against a licensee by the Department or any order issued by the Department against a licensee or applicant shall be a public record, except as otherwise prohibited by law.

History

• Source: Added at 38 Ill. Reg. 20772, effective October 31, 2014

68 Ill. Adm. Code 1247.110 Granting Variances

The Director of the Division may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 47 Ill. Reg. 1311, effective January 10, 2023

Chapter VII DEPARTMENT OF PROFESSIONAL REGULATION SUBCHAPTER b: PROFESSIONS AND OCCUPATIONS

Part 1248 Humane Euthanasia in Animal Shelters Act

68 Ill. Adm. Code 1248.10 Definitions

"Act" means the Humane Euthanasia in Animal Shelters Act [510 ILCS 72].

"DEA" means the United States Department of Justice Drug Enforcement Administration.

"Department" means the Department of Professional Regulation.

"Director" means the Director of the Department of Professional Regulation.

"Euthanasia agency" means an entity certified by the Department for the purpose of animal euthanasia that holds an animal control facility or animal shelter license under the Animal Welfare Act [225 ILCS 605].

"Euthanasia drugs" means Schedule II or Schedule III substances (nonnarcotic controlled substances) as set forth in the Illinois Controlled Substances Act [720 ILCS 570] that are used by a euthanasia agency for the purpose of animal euthanasia.

"Euthanasia technician" or "technician" means a person employed by a euthanasia agency or working under the direct supervision of a veterinarian and who is certified by the Department to administer euthanasia drugs to euthanize animals.

"Veterinarian" means a person holding the degree of Doctor of Veterinary Medicine who is licensed under the Veterinary Medicine and Surgery Practice Act of 1994 [225 ILCS 115].

68 Ill. Adm. Code 1248.20 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees.

1. The fee for application for certification as a euthanasia agency is $200.

2. The fee for application for a certification as a euthanasia technician is $150.

b) Renewal Fees.

1. The fee for the renewal of certification as a euthanasia agency shall be calculated at the rate of $50 per year.

2. The fee for the renewal of certification as a euthanasia technician shall be calculated at the rate of $50 per year.

c) General Fees.

1. The fee for the restoration of a certification other than from inactive status is $20 plus payment of all lapsed renewal fees not to exceed $300.

2. The fee for the issuance of a duplicate certificate, for the issuance of a replacement certificate for a certification that has been lost or destroyed, or for the issuance of a certification with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Department records when no duplicate certificate is issued.

3. The fee for an inspection of a euthanasia agency in order to obtain a controlled substance license is $50.

4. The fee for verification of an individual’s or agency’s record for any purpose is $20.

5. The fee for a wall certificate showing certification shall be the actual cost of producing the certificate.

6. The fee for a roster of persons or agencies certified under the Act in this State shall be the actual cost of producing the roster.

7. The fee for relocating or changing ownership of a euthanasia agency is $200.

68 Ill. Adm. Code 1248.30 Application for Certification as a Euthanasia Agency

a) Pursuant to Section 25 of the Act, applications for certification as a euthanasia agency shall be made to the Department, in writing, on forms provided by the Department. The applications shall include:

1. Proof of holding an active and unencumbered license under the Animal Welfare Act as an animal control facility or an animal shelter;

2. The fee set forth in Section 1248.20.

b) In order to purchase, store, and possess Schedule II and Schedule III drugs for the euthanization of animals, the agency shall be required to obtain an Illinois controlled substance license in accordance with 77 Ill. Adm. Code 3100 and a federal controlled substance licensed issued by the Drug Enforcement Administration pursuant to the Federal Controlled Substances Act (21 USC 301 et seq.).

c) A euthanasia agency shall be inspected by the Department prior to the issuance of the controlled substance license.

68 Ill. Adm. Code 1248.40 Requirements of a Euthanasia Agency

a) Euthanasia may only be performed in a certified agency by a certified euthanasia technician, a licensed veterinarian or an instructor during an approved course in humane euthanasia.

b) The agency shall designate a person who is responsible for ordering the euthanasia drugs and who is responsible for the security of the agency's euthanasia drugs. A certified technician may only perform euthanasia in a certified euthanasia agency or under the supervision of a licensed veterinarian. The technician may not personally possess, order or administer a controlled substance except as an agent of the euthanasia agency.

c) The euthanasia agency shall notify the Department in writing within 30 days after a termination of a euthanasia technician from the agency.

d) The euthanasia agency shall notify the Department when the location of a facility is changing.

e) The agency shall comply with the requirements of the Illinois Food, Drug and Cosmetic Act [410 ILCS 620], Federal Food, Drug and Cosmetic Act (21 USC 301 et seq.), federal Controlled Substances Act (21 USC 801 et seq.) and the Illinois Controlled Substances Act [720 ILCS 570].

f) The agency shall comply with the following requirements for the handling and storage of drugs:

1. Euthanasia drugs shall be kept in a securely locked cabinet or safe.

A) Each agency shall maintain a written current list of designated certified euthanasia technicians.

B) Access to the drug storage cabinet or safe shall be limited to licensed veterinarians and certified euthanasia technicians. These persons shall be responsible for the security of the euthanasia drugs and shall allow withdrawal of the euthanasia drugs only to a person certified by the Department.

C) Needles shall be of medical quality and shall not be reused.

D) Syringes shall be of medical quality. They may be reused if they are properly cleaned.

E) Used needles and syringes shall be disposed of in a manner that makes their reuse impossible.

2. Proper Storage. When no certified euthanasia technician is on duty, proper storage for euthanasia drugs is in a secure locked storage cabinet or metal safe.

A) The cabinet shall be of such material and construction that it will withstand strong attempts to break into it.

B) The cabinet shall be securely attached to the building in which it is housed.

C) The temperature and environment in the storage cabinet or metal safe shall be adequate to assure the proper keeping of the drug.

3. Proper Labeling and Reporting

A) Shipment records showing receipt of the euthanasia drugs shall be maintained and include information required by federal law. Upon removal from the shipment carton, each individual container of a euthanasia drug shall be labeled with the drug name and strength, the date the drug was prepared, a drug hazard warning label and the name and address of the agency owning the drug.

B) Administration records showing the date a euthanasia drug was administered, weight, species of animal and dosage administered for euthanasia, identification of the person who administers the euthanasia drug and identification of the veterinarian or certified euthanasia technician who supervised the dosage administered shall be maintained.

C) The certified euthanasia agency will submit to the Department the number of dogs, cats, puppies and kittens and other species euthanized each calendar year by January 31 of the next year. For the purposes of this Section, puppies are dogs younger than 4 months of age, kittens are cats younger than 4 months of age, dogs are canines 4 months of age or older and cats are felines 4 months of age or older. The report shall also include the total amount of drugs used for the year and the amount of drugs wasted. This record shall be kept by the Department.

D) Records of wastage shall be maintained and signed by the person administering the euthanasia drug and the person responsible for security.

E) A monthly record of verification of the stock on hand, minus the amounts withdrawn for administration, signed by the person responsible for security.

F) Disposal records of any expired or unwanted euthanasia drugs shall be maintained.

4. Temporary Storage. When a certified euthanasia technician is on duty and when animals are being euthanized throughout the workday, euthanasia drugs may be kept in a temporary storage cabinet. The cabinet shall be constructed of any strong material and shall be securely locked. The key to this cabinet shall be available only to a veterinarian or certified euthanasia technician.

5. Proper Sanitation. The area shall be clean and regularly disinfected.

6. Other site conditions relevant to the proper euthanasia environment.

A) Each agency shall have a specific area designated for euthanasia. The area shall be:

i) A separate room; or

ii) An area that is physically separated from the rest of the agency by a wall, barrier, or other divider; or

iii) An area that is not used for any other purpose while animals are being euthanized.

B) The euthanasia area shall meet the following minimum standards:

i) Lighting shall be bright and even;

ii) The air temperature shall be within a reasonable comfort range for both the personnel and the animals;

iii) The area shall have adequate ventilation that prevents the accumulation of odors.

C) The euthanasia area shall have the following equipment:

i) A table or other work area where animals can be handled while being euthanized;

ii) A cabinet, table or workbench where the drugs, needles, syringes and clippers can be placed.

D) The following materials shall be kept in the euthanasia area or shall be brought to the area each time an animal is euthanized:

i) A first aid kit that meets minimum first aid supply standards;

ii) One or more tourniquets;

iii) Standard electric clippers;

iv) Animal control stick for dogs and animal net for cats. The use of control sticks, squeeze gates, nets and squeeze cages or other restraint devices shall be limited to fractious, feral, vicious or dangerous animals. Control sticks shall never be used on cats, except in such extreme cases where no other sedation methods can be used;

v) Stethoscope;

vi) Towels, sponges, disinfectant;

vii) Eyewash station.

g) All equipment shall be in good working order. Failure to comply with the requirements set forth in this Section may be grounds for discipline in accordance with Sections 65, 90, and 165 of the Humane Euthanasia in Animal Shelters Act.

68 Ill. Adm. Code 1248.50 Application for a Euthanasia Technician Certification

Pursuant to Section 35 of the Act, an applicant may apply for certification as a euthanasia technician by filing an application on forms provided by the Department and shall:

a) Be at least 18 years of age.

b) Be of good moral character. In determining moral character under this Section, the Department may take into consideration whether the applicant has engaged in conduct or activities that would constitute grounds for discipline under this Act.

c) Fingerprinting

1. Verification of fingerprint processing from the Illinois Department of State Police, or its approved vendor. Applicants shall contact the approved vendor for fingerprint processing.

2. Out-of-state residents unable to utilize the State Police fingerprint process may submit to the approved vendor one fingerprint card issued by the Federal Bureau of Investigation, accompanied by the fee specified by the vendor. Fingerprints shall be taken within the 60 days prior to application.

d) Hold a license or certification, issued within 3 years preceding the date of application, from one of the following:

1. American Humane Association;

2. National Animal Control Association;

3. Illinois Federation of Humane Societies; or

4. Humane Society of the United States.

Until March 1, 2005, the Department may issue a certificate to an applicant who holds a license or certification from one of these 4 organizations issued after January 1, 1997.

e) Pay the required fee set forth in Section 1248.20.

68 Ill. Adm. Code 1248.55 Endorsement

a) An applicant who is currently licensed under the laws of another state or territory of the United States shall file an application with the Department, together with:

1. A certification by the state or territory of original licensure, stating that the applicant has been engaged in the practice of euthanasia for a period of not less than one year;

2. Whether the file on the applicant contains any record of any disciplinary actions taken or pending;

3. Verification of fingerprint processing in accordance with Section 1248.50(c); and

4. The fee as required by Section 1248.20.

b) The Department shall examine each application to determine whether the requirements at the time of licensure in the state where the applicant was licensed were substantially equivalent to the requirements then in force in this State.

68 Ill. Adm. Code 1248.60 Duties of a Euthanasia Technician

The duties of a certified euthanasia technician shall include, but are not limited to:

a) Correctly identifying and preparing animals for euthanasia;

b) Scanning for microchips or other identification prior to euthanasia;

c) Understanding the needs of individual animals;

d) Using restraint measures only on fractious, feral, vicious or dangerous animals;

e) Accurately recording dosages administered and drugs wasted;

f) Ordering supplies;

g) Maintaining the security of all controlled substances and drugs;

h) Reporting to the Department violations or suspicion of violations of this Part or any abuse of drugs;

i) Humanely euthanizing animals;

j) Verification of death by using a cardiac puncture, stethoscope or by recognizing the signs of rigor mortis;

k) Proper and lawful disposal of euthanized animals.

68 Ill. Adm. Code 1248.70 Renewals

a) The first renewal date for certification under the Act shall be April 30, 2006. Thereafter, every certification issued under the Act shall expire on April 30 of even numbered years. The holder of a certification may renew the certification during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each certificate holder to notify the Department of any change of address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired certification shall be considered unlicensed practice and shall be grounds for discipline pursuant to Section 10 of the Act.

68 Ill. Adm. Code 1248.80 Restoration of a Euthanasia Technician Certification

a) A person seeking restoration of a euthanasia technician certification that has expired for 5 years or less shall have the certification restored upon payment of all lapsed renewal fees.

b) A person seeking restoration of a certificate that has been placed on inactive status for 5 years or less shall have the certificate restored upon payment of the current renewal fee.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Department, including the applicant's work history since the certification expired and the fee. The person shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 45 of the Act.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be requested to provide information as may be necessary.

e) Upon the recommendation of the Director, an applicant shall have the certification restored or will be notified in writing of the reason for the denial of the application.

68 Ill. Adm. Code 1248.90 Establishing, Relocating or Changing Ownership

a) Any person who desires to establish, relocate or change the ownership of a euthanasia agency shall file an application on forms supplied by the Department, together with the fee required in Section 1248.20.

b) Upon determination that the application is in good order, an inspection of the premises will be conducted to determine compliance with Section 25 of the Act.

68 Ill. Adm. Code 1248.100 Inactive Status

a) A euthanasia technician who notifies the Department, on forms provided by the Department, may place his or her certification on inactive status and shall be excused from paying renewal fees until he or she notifies the Department in writing of the intention to resume active practice.

b) Any euthanasia technician seeking restoration from inactive status shall do so in accordance with Section 1248.80.

c) Any person violating this Section shall be considered to be practicing without a certificate and shall be subject to the disciplinary provisions of the Act.

68 Ill. Adm. Code 1248.110 Granting Variances

The Director may grant variances from this Part in individual cases where he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1249.10 Definitions

Terms not defined in this Section shall have the same meaning as in the Cemetery Oversight Act. The following definitions are applicable for purposes of this Part:

"Acre" means a United States survey acre of 43,560 square feet.

"Act" means the Cemetery Oversight Act [225 ILCS 411].

"Burial index" means a set of burial records, kept alphabetically or chronologically, of sufficient detail to allow an informed person to uniquely locate the place of an interment on a cemetery's map or plat.

"Database" means the Cemetery Oversight Database under Section 20-6 of the Act.

"Confidential information" means information including a person's social security number, driver's license number, personal finance information, home or personal telephone number, home address, personal email addresses, and other information protected by law.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Examination" means a review of the books, records, operations and affairs of the cemetery authority, including any subsidiary of or entity affiliated with the authority, conducted by a Division investigator.

"Renewal cycle" means the time period between either application or the last renewal, whichever is more recent, and the next renewal date under Section 1249.30, typically 2 years for licensees and 4 years for cemetery authorities maintaining a full or partial exemption.

"Renewal period" means the time during which the Division accepts renewal applications.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation, or a person authorized by the Secretary to act in the Secretary's stead.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.20 Fees

a) Section 10-55 of the Act sets out initial licensure and licensure renewal fees.

b) General Fees

1. The fee for restoration from inactive status is the current renewal fee. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees.

2. The fee for a certification, whether online or paper, of a licensee's record for any purpose is $20.

3. The fee for approval of a continuing education sponsor is $200.

4. The fee for renewal of approval as a continuing education sponsor is $175.

c) A cemetery authority, cemetery manager or customer service employee tendering a bad faith or frivolous application for a fee reduction or waiver may be subject to disciplinary action for making a material misstatement in furnishing information to the Division under Section 25-10(a)(1) of the Act.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.25 Address of Record/Email Address of Record

All applicants and licensees shall:

a) Provide a valid address and email address to the Department, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) Inform the Department of any change of address of record or email address of record within 14 days after such change either through the Department's website or by contacting the Department's licensure maintenance unit.

History

• Source: Added at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.30 Renewal

a) Beginning with the August 2014 renewal, every cemetery authority, cemetery manager and customer service employee license issued under the Act shall expire on August 31 every 2 years. Beginning with the August 2016 renewal, every registration as a full exempt or partial exempt cemetery authority issued under the Act shall expire on August 31 every 4 years. The holder of a license or a registration with full exempt or partial exempt status may renew his or her license or registration during the month preceding the expiration date by paying the required fee set forth in the Act. Any cemetery authority seeking renewal of its full exempt or partial exempt status must also certify to the Division that it continues to qualify for its full exempt or partial exempt status in accordance with Section 5-20 of the Act.

b) It is the responsibility of each fully exempt cemetery authority, partially exempt cemetery authority, and licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew one's license or registration or to pay the renewal fee. Practicing on an expired license is unlicensed practice and subject to discipline under Section 25-10 of the Act.

c) No cemetery authority shall, after the expiration of a cemetery manager or customer service employee license, permit the holder of the expired license to do any work requiring licensure.

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1249 Cemetery Oversight Act

68 Ill. Adm. Code 1249.40 Inactive Status

a) Cemetery manager or customer service employee licensees who notify the Division, on forms provided by the Division, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Licensees seeking restoration from inactive status shall do so in accordance with Sections 1249.20 and 1249.50.

68 Ill. Adm. Code 1249.50 Restoration

a) Cemetery manager and customer service employee licensees seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the following:

1. The restoration fees specified in Section 1249.20. When restoring a license from inactive status, a licensee is required to pay the current renewal fee set forth in the Act;

2. Proof of completion of the required number of continuing education (CE) hours for one renewal cycle as specified in Section 1249.220, which CE hours shall be considered provisional continuing education for purposes of license renewal only. Acceptable proof of completion shall be in the form of certificates of attendance provided by approved sponsors of CE programs; and

3. One of the following:

A) Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice or, if the profession is not licensed in the other jurisdiction, a statement from the licensee's employer;

B) Sworn statement that the license expired or was placed on inactive status while the licensee was engaged in federal service on active duty with the Army of the United States, the United States Navy, the Marine Corps, the Air Force, the Coast Guard, or the State Militia called into the service or training of the United States of America and that the sworn statement is received by the Division within 2 years after the licensee's termination of service other than by dishonorable discharge;

C) Sworn statement that the license expired or was placed on inactive status while the licensee was training or being educated under the supervision of the United States prior to induction into the military service and that the sworn statement is received by the Division within 2 years after the licensee's completion of the training or education or termination of training or education other than by dishonorable discharge; or

D) Evidence of successful completion of a certification course as specified in the Act and Section 1249.210 or of other education or experience acceptable to the Division of the licensee's fitness to have the license restored.

b) A licensee seeking restoration of a license that has expired or been on inactive status for less than 5 years, or has been placed in nonrenewed status for failure to comply with CE requirements, shall file an application on forms provided by the Division, together with the following:

1. The restoration fees specified in Section 1249.20. When restoring a license from inactive status, a person is required to pay the current renewal fee set forth in the Act; and

2. Proof of completion of the required number of CE hours for one renewal cycle as specified in Section 10-30 of the Act and Section 1249.220. Acceptable proof of completion shall be in the form of certificates of attendance provided by approved sponsors of CE programs.

c) In the event that a cemetery manager or customer service employee commences work for a cemetery granted an exemption under Sections 1249.100 or 1249.110, it shall be a duty of both the cemetery authority and the individual licensee to immediately notify the Department so that the license may be placed on inactive status. During the period that a license is in inactive status, the involved person may not hold themself out as licensed. Upon returning to employment by a cemetery licensed under this Act, a cemetery manager or customer service employee may reinstate the license to active status by notifying the Department and paying the applicable restoration fee established under Section 10-55 of the Act.

d) A cemetery authority that seeks to restore a license or partial exemption shall file an application on forms provided by the Department and shall pay all specified fees in Section 1249.20 or any unpaid renewal fees as set forth in Section 10-55 of the Act, a statement of assets and liabilities, and any additional information as deemed necessary by the Department.

e) Any person seeking restoration of a license within 2 years after discharge from military service other than by dishonorable discharge will be required to pay only the current renewal fee and will not be required to submit proof of meeting the CE requirements.

f) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division because of lack of information, discrepancies, or conflicts in information given, or a need for clarification, the licensee seeking restoration of a license will be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Division to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information, including, but not limited to, an examination of the licensee prior to restoring the license, where circumstances of the suspension or revocation so indicate.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.60 Cemetery Records and the Cemetery Oversight Database

a) Each cemetery authority not fully exempt under the Act shall answer all questions when prompted by the Database, including information regarding:

1. The section, mausoleum or columbarium;

2. The block, wall or room;

3. The lot or row;

4. The plot, grave, crypt or niche;

5. The term of burial in years, if any;

6. The level or depth in the grave, crypt or niche, if applicable; and

7. The date of interment, inurnment or entombment, as the case may be.

b) A cemetery authority may only renumber or rename sections, blocks, lots, mausoleums, columbariums or any other sub-category of these areas in its internal recordkeeping system as long as the renumbering:

1. Preserves any existing rights to interment, inurnment or entombment; and

2. Does not affect the ability of the cemetery authority, Division or member of the public to locate remains or to find the location of interment, inurnment or entombment rights.

c) When real-time access to the Database through an Internet connection becomes unavailable due to technical problems with the Database incurred by the database provider, the cemetery manager shall cause a record of the interment, entombment or inurnment to be entered into the Database via telephone by contacting the Database provider. Inability to access the database does not relieve the cemetery authority of the duty to report through other means as provided for by the Database provider or the Division.

d) When a cemetery manager claims obtaining use of an Internet connection would be an undue hardship, the cemetery manager shall provide a written statement to the Secretary describing the reason for the hardship and requesting the use of an alternative mechanism to report interments, entombments or inurnments. The cemetery manager's written request shall be reviewed by the Secretary and the Secretary may approve or deny the request for an alternative mechanism. If any entries by the cemetery manager are required by the Act before the cemetery manager receives notice of the Secretary's decision regarding the request, the cemetery manager may cause the required record of the interment, entombment or inurnment to be entered into the Database via telephone by contacting the Database provider.

e) All required entries into the Database made on or after July 1, 2012 shall be at no cost to the cemetery authority, and all fees due the Database provider thereafter shall be paid by the Division.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1249 Cemetery Oversight Act

68 Ill. Adm. Code 1249.70 Granting Variances

The Secretary may grant variances from this Part in individual cases when he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1249.100 Application for Full Exempt Status

Applicants for full exemption from licensure as a cemetery authority shall submit a completed application, on forms provided by the Division and signed by the applicant, on which all questions have been answered, including:

a) The cemetery's name, street and city address, and telephone number. If a cemetery does not have a telephone on the property, the cemetery authority shall provide the number of the telephone, located at another office of the cemetery authority or the cemetery must designate a phone number, for contact purposes, of someone who has authority over cemetery operations. If the cemetery authority does not receive mail at the street and city address of the cemetery, the cemetery authority shall provide an additional address where mail is or can be received;

b) The cemetery owner's name, address of record, email address of record, and home telephone number or, if the applicant is a corporation, limited liability company, partnership, or other entity permitted by law, then the name and contact information for each principal, owner, member, officer, and shareholder holding 25% or more of corporate stock or other ownership interest;

c) Whether the cemetery qualifies under the exemption defined in Section 5-20(a) of the Act as a family burying ground or religious burying ground, as a cemetery authority that has not engaged in an interment, inurnment or entombment of human remains within the last 10 years, or as a cemetery authority that is less than 3 acres;

d) The size of the cemetery land in acres; and

e) Any other information that the Division requests.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.110 Application for Partial Exempt Status

Applicants for partial exemption from licensure as a cemetery authority shall submit:

a) The applicable fee in Section 10-55 of the Act.

b) A completed application, on forms provided by the Division and signed by the applicant, on which all questions have been answered, including:

1. The cemetery's name, street and city address, and telephone number. If a cemetery does not have a telephone on the property, the cemetery authority shall provide the number of the telephone located at another office of the cemetery authority or the cemetery must designate a phone number, for contact purposes, of someone who has authority over cemetery operations. If the cemetery authority does not receive mail at the street and city address of the cemetery, the cemetery authority shall provide an additional address where mail is or can be received;

2. The cemetery owner's name, address of record, email address of record, and home telephone number or, if the applicant is a corporation, limited liability company, partnership, or other entity permitted by law, then the name and contact information for each principal, owner, member, officer, and shareholder holding 25% or more of corporate stock or other ownership interest;

3. Whether the cemetery qualifies under a partial exemption, as defined in Section 5-20(b) of the Act, as a public or religious cemetery or a cemetery authority that has engaged in 25 or fewer interments, inurnments or entombments of human remains for each of the preceding 2 calendar years. A religious society or association includes a not-for-profit entity formed for a religious purpose;

4. The number of interments, inurnments and entombments at the cemetery for each of the two preceding calendar years; and

5. Any other information that the Division requests.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.120 Application for Licensure as a Cemetery Authority Not Maintaining a Full or Partial Exemption

a) Applicants for licensure as a cemetery authority not maintaining a full or partial exemption shall submit:

1. A completed application, on forms provided by the Division and signed by the applicant, on which all questions have been answered, including:

A) The cemetery's name, street and city address, and telephone number. If a cemetery does not have a telephone on the property, the cemetery authority shall provide the number of the telephone located at another office of the cemetery authority or the cemetery must designate a phone number, for contact purposes, of someone who has authority over cemetery operations. If the cemetery authority does not receive mail at the street and city address of the cemetery, the cemetery authority shall provide an additional address where mail is or can be received; and

B) The cemetery owner's name, address of record, email address of record, and home telephone number or, if the applicant is a corporation, limited liability company, partnership, or other entity permitted by law, then the name and contact information for each principal, owner, member, officer and shareholder holding 25% or more of corporate stock or other ownership interest;

2. The applicable fee in Section 10-55 of the Act;

3. A statement of assets and liabilities of the cemetery authority and any associated trust funds on forms provided by the Division;

4. Proof that the applicant and, if a corporation or limited liability company, each principal, owner, member, officer and shareholder holding 25% or more of corporate stock or other ownership interest, meet the qualifications provided for in Section 10-21(a) of the Act as a condition of licensure;

5. Authorization to conduct a criminal background check;

6. If a partnership, a copy of the partnership agreement or, if no agreement exists, a list of partners and each partner's ownership interests; if a corporation, a copy of the Articles of Incorporation and a Certificate of Good Standing issued by the Secretary of State within the previous 60 days; if a foreign corporation, a copy of the authorization to conduct business in Illinois; if a limited liability company, a copy of the Articles of Organization and a Certificate of Good Standing issued by the Secretary of State within the previous 60 days; or, if another entity permitted by law, a copy of the relevant document creating the entity; and

7. Any other information required by the Division.

b) Licensure Requirements for Multiple Locations. When a cemetery authority is applying for licensure at more than one location, the cemetery authority shall submit an application and provide an application fee in accordance with Section 10-55 of the Act and subsection (a) of this Section for each location. If all requirements are met, each location shall be issued a separate license.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1249 Cemetery Oversight Act

68 Ill. Adm. Code 1249.130 Change of Status

A cemetery authority that has been issued a license or has been approved for full exempt status or partial exempt status by the Division shall report to the Division, on forms provided by the Division, any change in status that causes the cemetery authority to no longer require licensure or to be disqualified from maintaining full exempt status or partial exempt status. The report shall be made by the cemetery authority within 90 days after the change in status. Upon request by the Division, the cemetery authority shall provide further information or documentation relating to legal status, ownership, operations, finances or other matters required to assist the Division in determining the appropriate status of the cemetery authority or the eligibility of the cemetery authority for any fee waiver or variance authorized under this Part. Pursuant to the determination made by the Division, the cemetery authority shall make the appropriate application to the Division in accordance with this Section and/or Section 1249.30, 1249.100, 1249.110 or 1249.120 within one year following the date of the change in status.

68 Ill. Adm. Code 1249.140 Change of Ownership

a) At least 30 days prior to the effective date of a change in ownership of a cemetery authority subject to the Act, a new application shall be filed with the Division in accordance with Section 1249.100, 1249.110 or 1249.120.

b) Change of ownership is defined as, but not limited to:

1. Whenever a person, partnership, corporation, limited liability company, government entity, or other legal entity comes to obtain 51% ownership of the cemetery authority after initial licensure or after application for full exempt or partial exempt status; or

2. Change in the legal form under which the controlling entity is organized.

68 Ill. Adm. Code 1249.150 Signage and Consumer Brochure

a) Every licensed cemetery authority and cemetery authority maintaining a partial exemption must conspicuously post the sign required by Section 20-30 of the Act and provided by the Division (contains the Division's consumer hotline number, information on how to file a complaint, and any other information the Division deems appropriate). The sign shall be posted in color in each office where the cemetery authority conducts business with consumers and in each office where the cemetery authority makes contact with the public. If transactions with consumers or contact with the public occurs in a residence or office that is used primarily for business unrelated to the death care industry, the sign must be in clear view of the cemetery consumer or member of the public when that individual is present. The sign will be available to download on the Division's website. If the cemetery authority does not maintain an office, then it is not required to post the sign.

b) Every licensed cemetery authority and cemetery authority maintaining a partial exemption must make available for potential consumers and visitors of the cemetery the consumer brochure provided by the Division that contains the Division's consumer hotline number, information on how to file a complaint, and any other information the Division deems appropriate. The brochure will be available to download on the Division's website. If the cemetery authority does not maintain an office, then it is not required to have the brochure available.

68 Ill. Adm. Code 1249.200 Application

An applicant for licensure as a cemetery manager or customer service employee under the Act shall file a completed application, on forms provided by the Division, with the applicable fee from Section 10-55 of the Act. The application shall include the following:

a) Date of birth;

b) Address of record and email address of record;

c) Verification of successful completion of high school, the General Education Development (GED) tests, or possession of a High School Equivalency Diploma (HSED), or a certificate of completion by a Department-approved provider of a certification program for cemetery manager or customer service employee;

d) Attestation that the applicant will, within one year after filing application, successfully complete a certification program approved by the Division, and that the applicant will have received training by a licensed cemetery authority in good standing for the position that the applicant completes certification;

e) Authorization to conduct a criminal background check;

f) Proof that the applicant meets the qualifications provided for in Section 10-21(b) of the Act as a condition of licensure;

g) Name and license number of the cemetery authority employing the applicant, if any; and

h) Any other information required by the Division.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.210 Certification Programs

a) A death care trade association meeting the qualifications established in Section 10-25 of the Act and intending to offer certification programs for cemetery manager and customer service employee applicants shall first obtain the approval of the Division by making application on forms provided by the Division. The application shall include:

1. verification that the death care trade association has been in existence for more than 5 years, and meets all of the following criteria:

A) provides an office in Illinois for the maintenance of all records, office equipment, and office space necessary for certification and recordkeeping;

B) provides an email or phone number for customer service assistance;

C) provides a copy of its liability insurance covering accidents, loss of records, and Errors and Omissions; and

D) provides an attestation that the death care association has either never had its authority to offer certification programs withdrawn by the Department or that it has such a history, and in the latter event the date or dates that such Department withdrawal occurred and the reasons for such withdrawal to the extent known.

2. an outline of the program, materials to be used in instruction or as study guides, a bank of test questions to be used to formulate the examination, and the fee for the program;

3. the locations where the program will be offered and a description of each facility. The description shall include documentation that the premises, equipment, and facilities of the location used by the program provider complies with all applicable local fire codes, building codes, and health and safety standards. A program provider shall not conduct any sessions at a private residence, and shall only conduct the program in locations that are conducive to learning and that establish a controlled environment to promote the integrity of the examination;

4. Whenever a program provider intends to operate at an alternate location other than the location of record, the program provider shall post the location and date on its website; and

5. The Division may conduct an inspection of the location where a program will be offered during regular business hours.

b) An approved program provider shall provide notice to the Division of any change in the information reported to the Division at time of application within 30 days after the change. The Division may withdraw its approval of the program in the event that any change results in non-compliance with the requirements of the Act or this Part.

c) An approved program provider shall provide each applicant with a hard copy or digital copy of the materials to be used in instruction or as study guides, as submitted to the Division.

d) The program provider shall provide to each applicant successfully passing the examination a certificate evidencing his or her successful completion of the program.

e) The program provider shall submit a monthly report to the Division listing the names of persons certified that month and whether the certification is for cemetery manager or customer service employee.

f) The program provider shall maintain for each applicant a record of the program undertaken, dates of attendance, and whether certification was issued to the applicant and, if so, the date of issuance. All records shall be maintained by the program provider for a period of 5 years and shall be made available to the applicant or to the Division upon request during regular business hours.

g) No approved program provider shall advertise that it is endorsed, recommended or accredited by the Division. The program provider may indicate that it is approved by the Division to provide the certification program.

h) The Department may, without a hearing, summarily withdraw its approval of a certification program that, in the judgment of the Department, fails to meet the requirements of the Act or this Part. A certification program that has had its approval withdrawn by the Department may reapply for approval but shall provide such additional information as may be required by the Department, including, but not limited to, evidence to the Department's satisfaction that the program is in compliance with the Act or this Part. [225 ILCS 411/10-25(f)]

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.220 Continuing Education

a) Pursuant to Section 10-30 of the Act, every cemetery manager shall complete 6 hours of continuing education (CE) during each renewal cycle, and every customer service employee shall complete 3 hours of CE during each renewal cycle.

b) CE credit may be earned as follows:

1. Verified attendance at or participation in a program given by a sponsor as set forth in this Section, including programs offered through online live webinars.

2. For a maximum of half of the required CE hours per renewal cycle:

A) Personal preparation of an educational presentation pertaining to cemetery management and/or the practice of providing customer service at a cemetery that is orally delivered before a recognized professional cemetery organization;

B) Writing of educational articles pertaining to cemetery management and/or the practice of providing customer service at a cemetery and having them published in recognized cemetery industry journals, trade publications, newsletters, or other publications upon approval by the Division; and/or

C) A licensee who serves as an instructor, speaker or discussion leader of an approved course will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for repetitious presentations of the same course and will only be allowed for additional study or research.

3. The CE hours used to satisfy the CE requirements for renewal of an applicable license held in another jurisdiction shall be applied to fulfillment of the CE requirements for renewal of the applicant's Illinois license, upon approval by the Division.

4. A CE hour means a minimum of 50 minutes of actual continuing education spent by a licensee in actual attendance at and completion of an approved CE activity. A CE program shall not be presented during a dinner or social function. The dinner or social function must be concluded before the CE program commences or be held after the CE program is completed. If the program involves one or more hours of education, credit may be issued in one-half hour increments.

5. Credit will not be given for activities that are not included in this subsection (b).

c) CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean any death care trade association, school, college or university, State agency or any other person, firm or association that has been approved and authorized by the Division to coordinate and present CE courses and programs in conjunction with this Section.

2. A sponsor intending to offer CE courses and programs shall first obtain the approval of the Division by making application on forms provided by the Division and including the required fee under Section 1249.20. The application shall certify the following:

A) The sponsor maintains an office in Illinois for the safekeeping of all records, and maintains office equipment, personnel and office space necessary for certification and recordkeeping;

B) The full address and phone numbers of all facilities the sponsor owns, leases, or operates from, a copy of the sponsor's business insurance policy including proof of liability insurance covering accidents, loss of records, and Errors and Omissions, and a copy of the sponsor business license that includes the sponsor's federal EIN number;

C) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in this Section;

D) If the sponsor wishes to provide online classes, the application shall certify that the following requirements shall be met:

i) Signing in and out by participants is verified by instant messaging or a picture that is time stamped; or

ii) Audio verification of attendance that is coupled with a time-stamped picture of the participant during each program; and

iii) A sponsor shall be responsible for determining a method to verify a participant's continuous attendance, subject to approval by the Department, for each program it offers for online classes.

E) That the sponsor will be responsible for providing an email or phone number for customer service and verifying attendance at each course or program and will provide a certificate of completion as set forth in this Section;

F) That, upon request by the Division, the sponsor will submit evidence necessary to establish compliance with this Section. The evidence shall be required when the Division has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance;

G) The sponsor shall report the locations where the courses or programs will be offered and a description of each facility. The description shall include documentation that the premises, equipment, and facilities of the location used by the program provider complies with all applicable local fire codes, building codes, and health and safety standards. A program provider shall not conduct any sessions at a private residence, and shall only conduct courses and programs in locations that are conducive to learning;

H) Whenever a sponsor intends to operate at an alternate location other than the location of record, the program provider shall post the location and date on its website; and

I) The Division may conduct an inspection of the location where a program will be offered during regular business hours.

3. Sponsor approvals shall expire every 4 years.

4. All courses and programs shall:

A) Contain materials that contribute to the advancement, extension and enhancement of professional skills and knowledge in the practice of cemetery management and/or providing customer service at a cemetery. The course content shall be designed to focus on such advancement and enhancement of professional skills and knowledge;

B) Specify the course objectives, course content and teaching methods;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program, which may include online video lectures with the sponsor's proctor oversight;

D) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal; and

E) Include some mechanism through which participants evaluate the overall quality and content of the program.

5. All programs given by sponsors should be open to all licensees and not be limited to the members of a single organization or group.

6. Certificate of Attendance or Participation. It shall be the responsibility of the sponsor to provide each participant in an approved program or course with a certificate of attendance or participation that shall contain the following information:

A) The name and address of the sponsor;

B) The name and license number of the participant;

C) A brief statement of the subject matter;

D) The number of CE hours awarded in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

7. The certificate of attendance shall be distributed following the educational program or otherwise be provided to the attendee by the sponsor, by such means as mailing or emailing the certificate or summary of attendance.

8. The sponsor shall maintain course materials and attendance records containing all information in subsection (c)(5) for not less than 5 years, except for the signature of the sponsor.

9. The sponsor shall be responsible for assuring that no participant shall receive CE credit for time not actually spent attending the program by maintaining physical or electronic sign-in and sign-out registries.

10. If it is determined after a hearing before the Division that a sponsor has failed to comply with the foregoing requirements, the Division shall thereafter refuse to accept for CE credit attendance at any of the sponsor's CE activities until such time as the Division receives assurances of compliance with this Section.

11. Notwithstanding any other provision of this Section, the Division may evaluate any sponsor of any CE program at any time.

12. The Division shall maintain a list of all approved CE sponsors.

13. No approved CE sponsor shall advertise that it is endorsed, recommended or accredited by the Division. The sponsor may indicate that it is approved by the Division to provide CE courses and programs.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. The Division may conduct random audits to verify compliance with this Section.

e) Waiver of CE Requirements

1. In cases of extreme hardship, a renewal applicant seeking renewal of a license without having fully complied with these CE requirements may file with the Division a request for waiver of the CE requirements with his or her renewal application, the required renewal fee, and a statement setting forth the facts concerning the non-compliance. If the Division finds from the evidence submitted that extreme hardship has been shown, the Division may waive enforcement of CE requirements for that renewal cycle.

2. Extreme hardship shall be determined on an individual basis by the Division and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable renewal cycle because of:

A) Full-time service in the Armed Forces of the United States during a substantial part of the renewal cycle;

B) An incapacitating illness, documented by a currently licensed physician;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician; or

D) Other similar extenuating circumstances (i.e., family illness, prolonged hospitalization or advanced age).

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver pursuant to the provisions of this subsection (e) shall be deemed to be in good standing until the Division's final decision on the application has been made.

4. Any applicant who submits a request for waiver that is denied may then request his or her license be placed on inactive status. The applicant shall comply with the CE requirements prior to restoration of the license from inactive status in accordance with Section 1249.50 of this Part.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.300 Mediation of Complaints against Cemetery Authorities Maintaining a Partial Exemption (Repealed)

History

• Source: Repealed at 49 Ill. Reg. 16233, effective December 10, 2025

68 Ill. Adm. Code 1249.310 Violation Citations

a) In lieu of the disciplinary procedures contained in Section 25-10 of the Act, the Division may dispose of any violation designated in this Section by issuing a citation to the subject within six months after the Division receives notice of the violation.

b) The following are violations that may result in a fine through the citation process:

1. Failure to notify the Division within 14 days after any change of address in accordance with Section 5-16 of the Act;

2. Failure to maintain the cemetery in accordance with Section 20-5 of the Act. A cemetery authority maintaining a partial exemption may elect mediation under Section 1249.300 in place of accepting a citation for this violation;

3. Failure to comply with the vehicle traffic control procedures under Section 20-8 of the Act;

4. Failure to display a license in violation of Section 20-20 of the Act; or

5. Failure of a licensee to respond to a written request within 10 days in violation of Section 25-10(a)(8) of the Act.

c) Fines imposed under this Section shall not exceed $500 per violation.

History

• Source: Amended at 49 Ill. Reg. 16233, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1249 Cemetery Oversight Act

68 Ill. Adm. Code 1249.320 Opportunity to Cure Violation

a) A cemetery authority accused of violating Section 20-5 of the Act shall have a reasonable opportunity to cure the violation. The cemetery authority shall have 10 business days from receipt of notice to cure the violation. The opportunity of a cemetery authority maintaining a partial exemption to file a written response to a complaint pursuant to Section 25-3(b)(2) of the Act shall include the opportunity to cure the violation as provided in this Section.

b) If a cemetery authority cannot cure the violation in the time allotted by subsection (a), the cemetery authority may request a time extension in order to cure the violation. The request for an extension shall be made in writing to the Division and must be postmarked within the time allotted to cure in subsection (a). The request shall outline all reasons for the extension and an estimated date by which the cure will be accomplished. Acceptable reasons include, but are not limited to, delays caused by weather conditions, season or climate; equipment failures or acquisitions of materials or supplies being addressed by the authority in a timely manner; unexpected temporary absences of personnel; etc. The Division may approve or deny the extension. If the extension is denied, the cemetery authority must cure the violation within 10 days after the date of receipt of the Division's extension denial.

68 Ill. Adm. Code 1249.330 Professional Standards

a) "Dishonorable, unethical or unprofessional conduct", as used in Section 25-10(a)(9) of the Act, is defined as follows:

1. In determining what constitutes dishonorable, unethical or unprofessional conduct of a character likely to deceive, defraud or harm the public, the Division shall consider whether the questioned activities:

A) Violate ethical standards of the profession, including the standards set by Section 10-23 of the Act and Section 1249.330;

B) Caused actual harm to any consumer or member of the public; or

C) Are reasonably likely to cause harm to any consumer or member of the public in the future.

2. Dishonorable, unethical or unprofessional conduct includes, but is not limited to:

A) Disclosing financial or other confidential information regarding the deceased or the person providing for the burial;

B) Discrimination based on race, color, sex, sexual orientation, age, religion, national origin or other characteristics protected by applicable laws. A religious cemetery may restrict its services to those of the same religious faith;

C) Intentionally or recklessly not providing adequate protection in upholding the sanctity of handling and disposition of human remains;

D) Intentionally or recklessly misrepresenting any laws concerning burial or funeral regulations; and

E) Defrauding or deceiving the consumer by misrepresenting goods or services sold.

b) "Professional incompetence", as used in Section 25-10(a)(5) of the Act, is defined as follows:

1. In determining what constitutes professional incompetence, the Division shall consider whether the questioned activities:

A) Violate standards of the profession or rules, regulations or laws governing the cemetery or profession;

B) Caused actual harm to any consumer or member of the public; or

C) Are reasonably likely to cause harm to any consumer or member of the public in the future.

2. Professional incompetence includes, but is not limited to:

A) Negligent failure to keep accurate and complete records, including failure to include all prices of goods/services in the contract or failure to give a receipt for full or partial payment;

B) Negligently misrepresenting rules, regulations or laws governing the cemetery or profession; or

C) Negligently misrepresenting goods or services sold.

68 Ill. Adm. Code 1249.340 Receivership

a) When a cemetery authority is suspended or revoked, an unlicensed person has conducted activities requiring cemetery authority licensure under the Act, or the cemetery authority is winding up the business for dissolution, the Division, through the Attorney General, may petition the circuit courts of this State for appointment of a receiver to operate the cemetery. The Director shall nominate a receiver who shall, upon approval by the Circuit Court and under the Director's direction, for the purpose of receivership, take possession of and title to the books, records and assets of the cemetery authority. The Director shall require of the receiver such security as he or she deems proper. The receiver may operate the cemetery until the Director determines that the business is dissolved or possession should be restored to a licensee and the Circuit Court terminates the receivership.

b) In the case of dissolution, upon the order of a circuit court, the receiver may sell or compound any bad or doubtful debt and may sell the personal property of the cemetery on terms approved by the court. The receiver shall succeed to whatever rights or remedies the unsecured creditors of the cemetery may have against the owners, operators, stockholders, directors, members, managers or officers arising out of their claims against the cemetery. Nothing shall prevent creditors from filing their claims in the liquidation proceeding.

c) All expenses of the receivership, including reasonable receiver's and attorney's fees approved by the Director and the Circuit Court, and all expenses of any preliminary or other examinations into the condition of the cemetery or receivership incurred by the Division, and all expenses incident to the possession and control of any property or records of the cemetery incurred by the Division shall be paid out of the assets of the cemetery. The foregoing expenses shall be paid prior to and ahead of all claims.

68 Ill. Adm. Code 1249.350 Grants Under Cemetery Relief Fund

Units of local government and not-for-profit organizations, including, but not limited to, not-for-profit cemetery authorities, may apply to the Division on forms provided by the Division for grants to clean up cemeteries that have been abandoned or neglected or that are otherwise in need of additional care.

68 Ill. Adm. Code 1250.110 Approved Programs of Mortuary Science

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) may approve a program of mortuary science if it meets the following:

1. Is legally recognized and authorized, by the jurisdiction in which it is located, to provide courses in mortuary science;

2. Has a faculty with sufficient instructors to ensure that the educational obligations to students are fulfilled. The faculty must demonstrate competence in their areas of teaching as evidenced by appropriate degrees from recognized professional colleges or institutions;

3. Maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance; and

4. Has one of the following courses of study:

A) A minimum of 12 months with at least the following curriculum:

i) Anatomy;

ii) Restorative Art;

iii) Microbiology;

iv) Embalming;

v) Sociology;

vi) Psychology;

vii) Chemistry;

viii) Funeral Directing;

ix) Mortuary Law;

x) Clinical Embalming;

xi) Funeral Merchandising; and

xii) Pathology.

B) That results in an associate degree in mortuary science or an equivalent associate degree (i.e., applied science), consisting of courses in liberal arts and sciences and the curriculum set forth in subsection (a)(4)(A); or

C) That results in a baccalaureate degree in mortuary science.

b) In determining whether a program of mortuary science should be approved, the Division may consider accreditation by the American Board of Funeral Service Education, Inc.

c) All programs of mortuary science accredited by the American Board of Funeral Service Education, Inc. as of January 1, 2003 are approved.

d) An applicant from an unapproved program of mortuary science shall provide documentation concerning the criteria in this Section and thereafter the Division shall evaluate the program of mortuary science for approval.

e) Withdrawal of Approval

1. The Secretary of the Department of Financial and Professional Regulation may withdraw, suspend or place on probation the approval of a program of mortuary science when the program's quality is materially affected by any of the following:

A) Gross or repeated violations of any provision of the Funeral Directors and Embalmers Licensing Code (the Code) [225 ILCS 41];

B) Fraud or dishonesty in providing information for the program of mortuary science's evaluation; or

C) Failure to meet the requirements for an approved program of mortuary science as set out in this Section.

2. A program of mortuary science shall be given written notice prior to any action by the Division and those officials may either submit written comments or request a hearing before the Division as set forth in 68 Ill. Adm. Code 1110.

History

• Source: Amended at 49 Ill. Reg. 16260, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1250 Funeral Directors and Embalmers Licensing Code

68 Ill. Adm. Code 1250.120 Application for Internship

a) An applicant for a funeral director and embalmer intern license shall submit the following:

1. A signed and completed application on forms provided by the Division;

2. The required fee, as set forth in Section 1250.165;

3. A Certificate of Health attesting that the applicant has been immunized against diphtheria, hepatitis B and tetanus;

4. A completed and signed certification of acceptance for an internship in Illinois, by a licensed and active funeral director and embalmer in good standing, stating that the applicant will study and train under the funeral director and embalmer's supervision; and

5. One of the following:

A) An official transcript showing proof of successful completion of at least 30 semester hours or 45 quarter hours of college credit, not including remedial courses, from an accredited college or university that include at least 20 semester hours or 30 quarter hours of liberal arts, physical, biological, or applied sciences; and certification of graduation from a course of study of at least 12 months in an approved program of mortuary science;

B) Certification of an associate degree in mortuary science or an equivalent associate degree (i.e., applied science) from an approved program of mortuary science; or

C) Certification of a baccalaureate degree in mortuary science from an approved program of mortuary science;

b) The Division shall issue a funeral director and embalmer intern license or notify the applicant, in writing, of the basis for denial.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.130 Internship Requirements

a) A licensed funeral director and embalmer who agrees to sponsor an intern shall be responsible for teaching the intern the practical aspects of the profession, for demonstrating actual procedures and for directing and supervising the procedures performed by the intern.

b) The intern shall be given primary responsibility for:

1. Assisting or participating in the arrangement of at least 24 funerals, including completing the necessary documentation;

2. Assisting in the arrangement of a selection room, including buying, pricing, providing a description of each casket and other pertinent information;

3. Assisting in the preparation and embalming of at least 24 deceased human bodies, including cosmetic application, dressing and casketing. If possible, at least one of the bodies should have been autopsied; and

4. Removals of deceased human bodies.

c) The intern shall submit a case report, on forms provided by the Division, for each of the required 24 funerals and 24 body preparations set forth in subsection (b).

1. 12 case reports shall be submitted every 3 months during the 12-month internship.

2. If the intern has not completed a total of 12 cases in the 3-month period or submitted case reports more than a quarter late, the intern shall submit the case reports for the cases completed and state the reason why the intern was unable to complete all 12 cases or why case reports were late (e.g., lack of available cases, illness, change of ownership).

3. All case reports shall be signed by the intern and the licensed funeral director and embalmer sponsor.

d) The Division has the authority to investigate and question the sponsor and the intern to determine compliance with this Section.

e) An intern may complete the internship under more than one licensed funeral director and embalmer and must complete a change of sponsor application, on forms provided by the Division, within one month after the change.

f) Upon completion of the 12 months of internship, the sponsor shall complete an affidavit, on forms provided by the Division, stating that the intern has satisfactorily completed the appropriate procedures under the sponsor's direction and supervision.

g) If a funeral director and embalmer intern licensee has not yet completed the 12-month internship or passed the examination within two sequential renewals, the intern shall reapply to the Division under the Code and this Part. No credit will be allowed for any examinations the intern previously passed or for any internship the intern previously earned. An intern who has renewed twice shall not reapply for an intern license until passing the examination set forth in Section 1250.140.

h) If, at the time of application for a funeral director and embalmer license, more than 5 years have lapsed since the completion of the intern's 12-month internship, the applicant shall be required to complete additional education or case reports as determined by the Division.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.135 Application for Funeral Director and Embalmer Licensure

a) An applicant for a funeral director and embalmer license shall submit the following:

1. A signed and completed application on forms provided by the Division;

2. The required fee set forth in Section 1250.165;

3. Certification of completion of a 12-month internship within the past 5 years, signed by the licensed funeral director and embalmer sponsor. For the purpose of determining completion, the internship shall commence on the date of the issuance of the intern license;

4. A Certificate of Health, attesting that the applicant has been immunized against diphtheria, hepatitis B and tetanus;

5. Verification of successful completion of the International Conference of Funeral Service Examining Boards, Inc. (the Conference) National Board examination as set forth in Section 1250.140, to be forwarded by the Conference directly to the Division; and

6. A statement of the place of practice, ownership, names and license numbers of all funeral directors and embalmers and funeral directors associated with the applicant as set forth in Section 15-80 of the Code, as applicable.

b) The Division shall issue a funeral director and embalmer license or notify the applicant, in writing, of the basis for denial.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.140 Examination

a) The examination for a funeral director and embalmer license shall be the examination administered by the Conference and shall cover:

1. Part I (Funeral Service Science):

A) Embalming;

B) Restorative Art;

C) Microbiology;

D) Pathology;

E) Chemistry; and

F) Anatomy.

2. Part II (Funeral Service Arts):

A) Sociology of Funeral Service;

B) Psychology and Counseling;

C) Funeral Directing and Professional Relationships;

D) Business Law;

E) Funeral Service Law;

F) Funeral Merchandising; and

G) Accounting.

3. The passing score shall be the passing score established by the Conference. Verification shall be received directly from the Conference.

b) An examination fee shall be paid to the Conference for each examination. Failure to appear for the examination on the scheduled date, at the time and place specified, shall result in forfeiture of the examination fee.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.150 Endorsement

a) An applicant currently licensed as a funeral director and embalmer under the laws of another jurisdiction shall submit the following:

1. A signed and completed application, on forms provided by the Division;

2. The required fee set forth in Section 1250.165;

3. One of the following:

A) An official transcript showing proof of successful completion of at least 30 semester hours or 45 quarter hours of college credit, not including remedial courses, from an accredited college or university which shall include at least 20 semester hours or 30 quarter hours of liberal arts, physical, biological and/or applied sciences; and certification of graduation from a course of study of at least 12 months in an approved program of mortuary science;

B) Certification of an associate degree in mortuary science or an equivalent associate degree (i.e., applied science) from an approved program of mortuary science; or

C) Certification of a baccalaureate degree in mortuary science from an approved program of mortuary science;

4. Affidavits stating that the applicant has been actively engaged in the practice of funeral directing and embalming for at least 12 months of the last 5 years prior to application in Illinois, completed by two actively licensed funeral directors and embalmers with personal knowledge of that experience; and

5. A certification by the jurisdiction of original licensure, stating:

A) The time during which the applicant was licensed in that jurisdiction;

B) Whether the applicant has been the subject of any disciplinary actions or any disciplinary actions are pending; and

C) A brief description of the examination and grades received.

b) The Division may issue a license by endorsement or notify the applicant, in writing, of the basis for the denial.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.155 Inactive Status

a) A licensed funeral director and embalmer or licensed funeral director may elect to place a license on inactive status and shall be excused from paying renewal fees if the licensee notifies the Division in writing, on forms provided by the Division. The license shall remain on inactive status until the licensee notifies the Division in writing of the desire to resume active status.

b) Practice on a license that has lapsed or been placed in inactive status shall constitute unlicensed practice in violation of the Code.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.160 Restoration

a) A funeral director and embalmer seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall submit the following:

1. A signed and completed application, on forms provided by the Division;

2. The required fee set forth in Section 1250.165;

3. Proof of completion of the continuing education (CE) for the immediately preceding prerenewal period as set forth in Section 1250.220; however, the CE must include 3 hours of hands on embalming and 3 hours of Occupational Safety and Health Administration compliance. Acceptable proof of completion shall be in the form of certificates of attendance provided by licensed CE sponsors; and

4. One of the following:

A) Sworn evidence of active practice in another jurisdiction, including:

i) a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice; or

ii) if the profession is not licensed in the other jurisdiction, a statement from the licensee's employer;

B) An affidavit attesting to military service as provided in Sections 5-15 and 10-35 of the Code. If application is made within 2 years after honorable discharge, and if all other provisions of Sections 5-15 and 10-35 of the Code are satisfied, the applicant will not be required to pay a restoration fee or any lapsed renewal fees; or

C) Evidence of education or experience acceptable to the Division, within the 5 years preceding restoration, of the licensee's fitness and competence in funeral directing and embalming, including, but not be limited to:

i) Verification of successful completion of the Conference examination, as set forth in Section 1250.140, to be forwarded by the Conference directly to the Division; or

ii) Proof of completion of 6 credit hours at an approved program of mortuary science, in addition to any CE hours. Funeral director and embalmers seeking restoration shall complete 3 hours related to funeral directing and 3 hours related to embalming.

b) A licensee seeking restoration of a license that has expired or been on inactive status for less than 5 years, or has been placed in nonrenewed status for failure to comply with CE requirements, shall submit the following:

1. A signed and completed application on forms provided by the Division;

2. The required fees set forth in Section 1250.165;

3. Proof of completion of the required CE set forth in Section 1250.220. Acceptable proof of completion shall be in the form of certificates of attendance provided by licensed CE sponsors.

c) A person seeking restoration of a license within 2 years after honorable discharge from military service pursuant to Section 5-15 of the Code will be required to pay only the current renewal fee and will not be required to submit proof of completing the CE requirements.

d) Except for persons seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation, when the accuracy or sufficiency of any submitted documentation is questioned by the Division because of a lack of information, discrepancies, or conflicts in information given or a need for clarification, the person seeking restoration of a license may be requested to:

1. Provide information as may be needed related to the practice of funeral directing and embalming; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflict in information.

e) Persons holding a funeral director license and an embalmer license issued prior to June 1, 1991 shall restore both the funeral director license and the embalmer license. Persons holding a funeral director license issued prior to June 1, 1991 may restore that funeral director license.

f) A person seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation for three years or less shall:

1. Comply with the same requirements provided for in subsection (b);

2. Provide sufficient evidence to establish that the person has been rehabilitated as described in Section 1250.175; and

3. Pay the restoration fee required by Section 1250.165.

g) A person seeking restoration of a license that has been revoked, suspended, or in refuse to renew status for more than three years shall:

1. Comply with the same requirements provided in subsection (f); and

2. Comply with the same requirements provided in subsection (a)(4)(C) regarding fitness to practice funeral directing and embalming.

History

• Source: Amended at 49 Ill. Reg. 16260, effective December 10, 2025

68 Ill. Adm. Code 1250.165 Fees

a) All fees paid pursuant to the Code and this Section shall be made out to the Department of Financial and Professional Regulation and are nonrefundable.

b) Application Fees

1. The application fee for a funeral director and embalmer license is $100.

2. The application fee for a funeral director and embalmer license by endorsement is $200.

3. The application fee for a funeral director and embalmer intern license is $50.

4. The application fee for a CE sponsor license is $500.

c) Renewal Fees

1. The renewal fee for a funeral director and embalmer license or a funeral director and embalmer intern license is $50 per year.

2. The renewal fee for a funeral director license is $25 per year.

3. The renewal fee for a CE sponsor license is $125 per year. If a CE sponsor allows the license to lapse, the CE sponsor shall be required to submit $500 to restore the license.

d) General Fees

1. The restoration fee for an expired funeral director and embalmer license is $50 plus all lapsed renewal fees, not to exceed $300.

2. The restoration fee for an expired funeral director license is $50 plus all lapsed renewal fees, not to exceed $175.

3. No fee is required for name and address changes on Division records when no duplicate license is issued.

4. The fee for a certification, whether paper or electronic, of a licensee's record for any purpose is $20.

5. The fee to have the scoring of an examination administered by the Division reviewed and verified is $20 plus any fee charge by the Conference.

History

• Source: Amended at 49 Ill. Reg. 16260, effective December 10, 2025

68 Ill. Adm. Code 1250.170 Preparation Room Requirements

a) In accordance with Section 15-55 of the Code, each fixed place of practice or establishment devoted to the care and preparation of deceased human bodies shall maintain a preparation room properly equipped with necessary drainage, running water, electricity and ventilation facilities and containing instruments and supplies necessary for the preparation and embalming of deceased human bodies. Each branch operation of an Illinois funeral business need not have its own preparation room as long as the business has at least one preparation room at one of its Illinois locations, so long as each business is owned by the same entity.

b) The care and preparation of all deceased bodies, regardless of cause of demise, shall be entirely private and no one shall be allowed in the preparation room until the body is fully prepared, except licensed funeral directors, licensed funeral directors and embalmers, licensed interns, their assistants, bona fide students of mortuary science, the medical examiner, the coroner, their representatives and representatives of the Division or, except when it is determined to be necessary by the funeral director, medical examiner or coroner.

c) A notice of privacy shall be affixed to or adjacent to the preparation room.

d) Preparation rooms shall be maintained in a sanitary condition with necessary drainage and proper ventilation as set forth in the Code.

e) Preparation rooms shall be available to the Division for inspection to determine compliance with the Code and this Part.

History

• Source: Amended at 49 Ill. Reg. 16260, effective December 10, 2025

68 Ill. Adm. Code 1250.175 Rehabilitation

a) Upon written petition for restoration of a license from discipline pursuant to Section 1250.160, the Board shall consider, but is not limited to, the following in determining if the person is deemed sufficiently rehabilitated to warrant the public trust:

1. The seriousness of the offense that resulted in the disciplinary action being considered or being taken;

2. The length of time that elapsed since the disciplinary action was taken;

3. The profession, occupation and outside activities in which the petitioner has been involved;

4. Any counseling, medical treatment, or other rehabilitative treatment received by the petitioner;

5. Compliance with Section 1250.160, except for payment of renewal fees, which is a condition for petitioning for restoration;

6. Continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered or having been taken;

7. Written reports and oral testimony by other persons relating to the skill, knowledge, honesty, integrity, and contriteness of the petitioner;

8. Restitution to injured parties;

9. Future plans of the petitioner;

10. Involvement of the petitioner's family and friends in the petitioner's rehabilitation process;

11. A written report of a physical or mental examination given by a licensed health care provider selected by the Board and paid for by the petitioner;

12. Any other information evidencing rehabilitation that would bear upon the petitioner's request for restoration of a license;

13. Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

14. The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

15. Whether there has been compliance with any probationary terms imposed.

b) In addition to the factors contained in subsection (a), the Board may find that there is sufficient evidence in the record to recommend to the Director that the petitioner must also successfully complete a competency examination in compliance with Section 1250.140 and paid for by the petitioner, prior to restoration of a license.

History

• Source: Added at 49 Ill. Reg. 16260, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1250 Funeral Directors and Embalmers Licensing Code

68 Ill. Adm. Code 1250.180 Representative of Licensee at Final Disposition at Cemetery

a) As set forth in Section 15-75(b)(36)(D) of the Code, "representative" means a person:

1. employed or contracted by the licensed funeral director and embalmer or licensed funeral director who has been engaged to provide funeral or embalming services; or

2. employed by the same funeral establishment that employs the licensed funeral director and embalmer or licensed funeral director who has been engaged to provide funeral or embalming services.

b) "Representative" includes another licensed funeral director and embalmer, a licensed funeral director, a licensed funeral director and embalmer intern, or an unlicensed employee or contractor.

c) "Representative" does not include a person employed or contracted by the cemetery at which final disposition is made, except when the funeral establishment and the cemetery have the same owners.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.190 Violations (repealed)

History

• Source: Repealed at 15 Ill. Reg. 8238, effective May 16, 1991

68 Ill. Adm. Code 1250.200 Renewals

a) Every license issued under the Code shall expire on May 31 of each odd-numbered year.

b) Each licensee must notify the Division of any change of address. Failure to be notified of renewal shall not constitute an excuse for failure to renew one's license.

c) No license of a funeral director and embalmer intern shall be renewed more than twice (Section 10-35 of the Code).

d) Practicing or attempting to practice while a license is expired shall constitute unlicensed practice and shall be grounds for discipline as set forth in Section 15-75 of the Code.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.205 Advertising

a) Funeral director and funeral director and embalmer licensees may advertise in any medium. All advertising shall be truthful and not be fraudulent, deceptive, inherently misleading or misleading in practice. Advertising shall contain all information necessary to communicate the information contained in that advertising to the public in an accurate, direct, dignified and readily comprehensive manner.

b) A person may not, in any advertisement by newspaper, periodical, internet web page, telephone book listing, direct mail, or electronic mail advertisement, represent that the person conducts the business of a funeral director and embalmer or provides any funeral or embalmer service, unless the advertisement includes a name of at least one licensed individual and the address of one funeral establishment or place of business at which the advertising person or entity conducts business or provides services.

c) Advertising may include, but is not limited to, the following information:

1. Licensee's business hours;

2. Schools attended;

3. Announcement of the opening of, change of, or return to practice;

4. Announcement of additions to or deletions from professional staff;

5. Availability of pre-need arrangements;

6. Professional society memberships;

7. Credit arrangements;

8. Foreign language ability;

9. Fees for professional services and merchandise that must include a statement that fees may be adjusted due to unforeseen circumstances;

10. Description of the establishment in which the licensee practices, e.g., accessibility to the handicapped, chapel facilities on the premises, convenience of parking; or

11. Other information about the licensee, the licensee's practice, or the types of practice relevant to seeking the licensee's services.

d) Television or radio advertisements shall be prerecorded and approved for broadcast by the licensee, and a recording and/or videotape of the advertisement shall be retained by the licensee for at least 5 years.

e) Untruthful, fraudulent, deceptive, inherently misleading, or misleading in practice advertising includes, but is not limited to, advertising:

1. Containing a misrepresentation of fact or omitting a material fact required to prevent deception;

2. Taking advantage of a prospective client's fears, anxieties, vanities or other emotions;

3. Containing testimonials and/or exaggerations pertaining to the quality of funeral services;

4. Describing products or services that are not permitted by State or federal laws; and

5. Describing professional services that the licensee is not licensed to provide.

History

• Source: Amended at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.207 Solicitation

a) The solicitation of funeral services at the residence of a client or prospective client, or at any health care institution in which the client or prospective client is confined, that is uninvited and has not been previously agreed to by the client or prospective client is prohibited. A licensee, or a licensee's representative, may initiate contact with a client or prospective client, in the following manner:

1. General advertising;

2. Direct mail;

3. Telephone; or

4. As an invitee of a charitable, social, civic, religious, fraternal, employee or trade organization.

b) A licensee, or a licensee's representative, shall not initiate contact with a client or prospective client if:

1. The licensee, or licensee's representative, reasonably should know that the physical, emotional or mental state of the person solicited is such that the person could not exercise reasonable judgment;

2. The person solicited has made known a desire not to receive the communication; or

3. The solicitation involves coercion, duress or harassment.

History

• Source: Added at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.210 Granting Variances

The Secretary may grant variances from this Part in individual cases in which the Secretary finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance;

c) The rules from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 49 Ill. Reg. 16260, effective December 10, 2025

68 Ill. Adm. Code 1250.220 Continuing Education

a) Continuing Education Hour Requirements

1. Every funeral director and embalmer renewal applicant shall complete 24 CE hours relevant to the practice of funeral directing and embalming during each prerenewal period. The 24 CE hours shall include a minimum of 6 interactive CE hours related to the practice of funeral directing and a minimum of 6 interactive CE hours related to the practice of embalming. No more than 6 CE hours may consist of insurance courses.

2. Every funeral director renewal applicant shall complete 12 CE hours relevant to the practice of funeral directing during each prerenewal period. No more than 3 CE hours may consist of insurance courses.

3. The Division shall conduct random audits to verify CE compliance.

4. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

5. Funeral directors and embalmers licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

b) Activities for which CE credit may be earned are as follows:

1. Verified attendance at a CE course or participation in a program given by a licensed CE sponsor.

2. A maximum of 6 CE hours for funeral directors or 12 CE hours for funeral directors and embalmers per prerenewal period for:

A) Personal preparation of an educational presentation pertaining to funeral directing and/or embalming that is orally delivered before recognized funeral directing and embalming organizations;

B) Writing and publishing articles regarding funeral directing or embalming in nationally recognized funeral directing and embalming journals; or

C) Writing a chapter in a book pertaining to funeral directing or embalming.

3. A licensee who serves as an instructor, speaker or discussion leader of an approved CE course will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for repetitious presentations of the same course and will only be allowed for additional study or research. In no case shall credit for actual time of presentation and preparation be given for more than 6 CE hours for funeral directors or 12 CE hours for funeral directors and embalmers during any prerenewal period.

4. A maximum of 24 CE hours shall be accepted for CE courses completed at an accredited college or university. One semester hour shall equal 8 CE hours. One quarter hour shall equal 6 CE hours.

5. A CE hour means a minimum of 50 minutes of actual attendance at, and completion of, an approved CE course. One-half CE credits (equal to 25 minutes) are permitted after the first credit has been earned.

6. A CE course shall not be presented during a dinner or social function. The dinner or social function must be concluded before the CE course commences or be held after the CE course is completed. If the CE course is held after the dinner or social function commences, no alcohol may be served.

7. All CE hours may be earned by online methods through an approved sponsor (see Section 1250.230) through a CE format (see Section 1250.220(c)).

c) CE Format

1. Interactive CE

A) Interactive CE means classroom courses or CE that uses interactive learning methodologies that simulate the classroom learning process by employing computer software, other technology or administrative systems that provide significant, ongoing, interactive feedback to the learner regarding his or her learning process.

B) A minimum of 12 CE hours per renewal period shall be interactive.

2. Non-Interactive CE

Non-interactive CE does not employ interactive features. Examples include videos, books and audiotapes.

d) Certification of Compliance with Continuing Education Requirements

1. Each licensee shall certify, on the renewal application, full compliance with the CE requirements set forth in this Section.

2. The Division may require additional evidence of compliance in the context of the Division's random audit.

e) Continuing Education Earned in Other Jurisdictions

If a licensee has earned CE hours in another jurisdiction not given by an approved CE sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the licensee shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the CE course or within 90 days prior to expiration of the license. The Division shall review and recommend approval or disapproval of the program using the criteria set forth in Section 1250.230(c).

f) Exemptions

1. Licensees who have engaged in the practice of funeral directing for at least 40 years are exempt from CE requirements.

2. A licensee may request an exemption from the CE requirements if:

A) The licensee is on full-time active duty in the military service of the United States, or is a licensee who is called to temporary active duty in the military service or state militia for a period of time exceeding 120 consecutive days during the prerenewal period, when that activity restricts participation in CE; or

B) The licensee demonstrates to the satisfaction of the Division that meeting these requirements would constitute undue hardship by reason of disability, illness or other clearly mitigating circumstances. The supporting documentation shall include a sworn statement by the licensee, a statement from a physician, or medical records that show the disability, illness or circumstance prevented the licensee's participation in CE during a substantial part of the prerenewal period. If good cause has been shown, the Division shall waive disciplinary action and extend the time within which the licensee shall comply. In cases of noncompliance by reason of advanced age or serious health conditions lasting a substantial part of the prerenewal period, disciplinary action shall not be waived for more than one prerenewal period.

3. Any licensee who, prior to the expiration date of the license, submits a request for exemption under this Section shall be deemed to be in good standing until the Division's decision on the request has been made.

4. Any licensee who submits a request for exemption that is denied may then request the license be placed on inactive status. The licensee shall comply with CE requirements prior to restoration of the license from inactive status, in accordance with Section 1250.160.

History

• Source: Amended at 49 Ill. Reg. 16260, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1250 Funeral Directors and Embalmers Licensing Code

68 Ill. Adm. Code 1250.230 Continuing Education Sponsors and Courses

a) CE sponsor, as set forth in Sections 5-15 and 10-35 of the Code, shall mean the following:

1. An accredited college or university or a State agency;

2. Illinois Funeral Directors Association;

3. Funeral Directors Services Association of Greater Chicago;

4. Cook County Association of Funeral Home Owners, Inc.;

5. Illinois Selected Morticians Association;

6. National Funeral Directors Association;

7. Illinois Cemetery and Funeral Home Association;

8. Selected Independent Funeral Homes;

9. An Illinois school of mortuary science;

10. International Order of the Golden Rule;

11. National Funeral Directors and Morticians Association; or

12. Any other person or entity licensed as a CE sponsor under subsection (b).

b) A person or entity seeking to provide CE shall submit:

1. A signed and completed application on forms provided by the Division;

2. The required fee set forth in Section 1250.165; and

3. A copy of the certificate of attendance the CE sponsor will issue, which shall contain the information set forth in subsection (d).

c) All CE courses shall:

1. Contain materials that contribute to the advancement, extension and enhancement of professional skills and knowledge in the practice of funeral directing or embalming. The course content shall be designed to focus on advancement and enhancement of professional skills and knowledge;

2. Be developed and presented by persons with education and/or practical experience in the presented subject matter;

3. Include a student evaluation of both instructor and the course;

4. Specify the course objectives and content, teaching method to be used, and number of Illinois CE hours earned in all relevant materials;

5. Verify attendance; and

6. Be open to all licensed funeral directors and funeral directors and embalmers and not be limited to the members of a single organization or group.

d) Certificate of Attendance

1. Each licensed CE sponsor shall provide each participant with a certificate of attendance containing the following:

A) The CE sponsor's license number, name, address and signature;

B) The participant's name and license number;

C) A brief statement of the subject matter;

D) The number of CE hours awarded and the CE topic (i.e., funeral directing, embalming, insurance, OSHA compliance, etc.);

E) The date and place of the course; and

F) The method of delivery of the course (i.e., classroom, webinar, video, book, audiotape, etc.).

2. CE sponsors shall provide all participants with a certificate of attendance upon the successful completion of a CE course.

e) The CE sponsor shall maintain course materials and attendance records containing all information in subsection (d)(1) for not less than 7 years, except for the signature of the sponsor.

f) The CE sponsor shall ensure that participants only receive CE credit for time actually spent attending the CE course.

g) The Division may evaluate a CE sponsor at any time. If the Division determines that a CE sponsor failed to comply with this Part, the Division shall thereafter refuse to accept that CE sponsor's CE for credit until the Division receives proof of compliance.

History

• Source: Added at 41 Ill. Reg. 11361, effective September 8, 2017

68 Ill. Adm. Code 1250.240 Chain of Custody Records

A licensee shall establish a chain of custody record to ensure the proper tracking and transfer of human remains, which shall include, but is not limited to, the following:

a) A unique identifier, specific to each funeral establishment or funeral business, that shall be attached to the remains, shall accompany the remains on each step of the respective disposition process. A copy of the unique identifier shall be affixed to the casket or alternative container prior to delivery to the crematorium.

b) The licensee, as part of the recordkeeping requirement, verifying the identification of the remains upon:

1. Assuming custody of the remains;

2. Prior to and following storage of said remains;

3. Transfers to and from the crematorium, recording the unique identifier assigned by the crematorium on the chain of custody record;

4. Transfers to and from the funeral establishment or funeral business;

5. Transfers to and from a separately owned funeral establishment or funeral business, recording the unique identifier of both the transferring and receiving funeral establishment or funeral business; and

6. Transportation of remains to their place of final disposition.

c) If the remains in subsection (a) are separated, additional tracking tags containing the unique identifier shall be similarly placed with all containers holding remains.

d) Maintenance of the chain of custody records for a minimum of 5 years.

e) Utilization of electronic or paper based tracking systems to comply with this Section, so long as the Department has the ability to audit the files.

History

• Source: Added at 49 Ill. Reg. 16260, effective December 10, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1251 Genetic Counselor Licensing Act

68 Ill. Adm. Code 1251.10 Definitions

"Act" means the Genetic Counselor Licensing Act [225 ILCS 135].

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Qualified Supervisor" means a physician licensed to practice medicine in all its branches or a licensed genetic counselor.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

68 Ill. Adm. Code 1251.20 Qualifications for Licensure

An applicant for licensure as a genetic counselor shall file an application on forms provided by the Division that shall include:

a) One of the following:

1. Verification that the applicant has successfully completed a Master's degree in genetic counseling from an American Board of Genetic Counseling (ABGC) or an American Board of Medical Genetics and Genomics (ABMGG) accredited training program or an equivalent program approved by the ABGC or the ABMG;

2. Verification that the applicant is a physician licensed to practice medicine in all of its branches; or

3. Verification that the applicant has successfully completed a doctoral degree and an ABMGG accredited medical genetics training program or an equivalent program approved by the ABMGG;

b) Proof of passage of an examination provided by the American Board of Genetic Counseling or the American Board of Medical Genetics and Genomics;

c) Current certification from the American Board of Genetic Counseling or the American Board of Medical Genetics and Genomics;

d) The required fee set forth in Section 1251.70; and

e) In lieu of providing an actual diploma as required under subsection (a)(1), the applicant may submit an official transcript and a letter of completion from the approved graduate program signed by the graduate program director.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.25 Visiting Genetic Counselors

Pursuant to Section 15(j) of the Act, visiting ABGC or ABMGG certified genetic counselors from outside the state may practice genetic counseling as a consultant in Illinois for a total of 30 days each year. If this practice of genetic counseling will extend beyond 30 days per year, the individual must obtain licensure in Illinois under the Act and this Part. Visiting genetic counselors must be licensed in the state where the individual resides or primarily practices, if licensure is available in that state, and be currently certified by ABGC or ABMGG as a genetic counselor.

History

• Source: Added at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.30 Examination

a) The examination for licensed genetic counselors shall be the certification examination given by the American Board of Genetic Counseling (ABGC) or the American Board of Medical Genetics and Genomics (ABMGG).

b) The passing score on the examination shall be the passing score of the testing entity.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.40 Temporary License

a) An applicant for a temporary license shall file an application on forms supplied by the Division, together with:

1. One of the following:

A) Verification that the applicant has successfully completed a Master's degree in genetic counseling from an American Board of Genetic Counseling (ABGC) or an American Board of Medical Genetics and Genomics (ABMGG) accredited training program or an equivalent program approved by the ABGC or the ABMGG;

B) Verification that the applicant is a physician licensed to practice medicine in all of its branches; or

C) Verification that the applicant has successfully completed a doctoral degree and an ABMGG accredited medical genetics training program or an equivalent program approved by the ABMGG;

2. Verification of admission to the certifying examination administered by the ABGC or ABMGG; and

3. The required fee set forth in Section 1251.70.

b) The holder of a temporary license shall practice only under the supervision of a qualified supervisor. (Section 60 of the Act)

c) A temporary license shall expire 24 months from the date of issuance. A temporary license may only be renewed if the certifying examination administered by ABGC or ABMGG is not given during that 24 month period. A temporary license shall automatically expire upon issuance of the Illinois license or upon notification that the applicant failed the exam two times. After the first exam failure, the holder of a temporary license shall be required to be supervised by a licensed genetic counselor with at least five years of experience or a physician licensed to practice medicine in all its branches with at least five years of experience in practicing genetic counseling, and to take the next available examination.

d) In the event the individual fails to take the next available examination or fails to successfully complete the next available examination for licensure set forth in Section 1251.30 of this Part after the first exam failure, the temporary license shall be void and the individual must cease practicing; failure to do so shall be considered unlicensed practice and will subject the individual to discipline in accordance with Section 25 of the Act.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.50 Endorsement

a) An applicant for licensure as a genetic counselor who is licensed under the laws of another state shall file an application with the Division that shall include:

1. Documentation certifying that the applicant meets the education requirements set forth in Section 1251.20;

2. Certification from the state or territory of original licensure and the state in which the applicant is currently licensed and practicing, if other than the original, stating the time the applicant was licensed in that state, whether the file on the applicant contains a record of any disciplinary actions taken or pending, and the applicant's license number;

3. Current certification from the ABGC or the ABMGG; and

4. The required fee set forth in Section 1251.70.

b) The Division shall examine each endorsement application to determine whether the requirements and examination in the jurisdiction at the date of licensing were substantially equivalent to the requirements and examination then in force in this State and whether the applicant has otherwise complied with the Act and this Part.

c) The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.60 Renewals

a) The first renewal date for licensure under the Act shall be January 31, 2011. Thereafter, every license issued under the Act shall expire on January 31 of odd numbered years. The holder of the license may renew the license during the month preceding the expiration date by paying the required fee and submitting an attestation of completion of 30 hours of continuing education in accordance with Section 1251.100 and proof of current certification from the ABGC or the ABMGG.

b) It is the responsibility of each license holder to notify the Division of any change of address or email address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired license shall be considered the unlicensed practice of genetic counseling and will subject the individual to discipline or other penalties set forth in Section 95 of the Act.

d) Upon request of the Division, a license holder seeking renewal shall provide proof of the required continuing education hours as required in this Section. The Division may require a random sample of genetic counselors to submit documentation that the number of hours of continuing education required has been completed.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.70 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for a license as a genetic counselor is $150.

2. The fee for a temporary license is $50.

b) Renewal Fees

The fee for the renewal of a license shall be calculated at the rate of $75 per year.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, not to exceed $470.

2. No fee is required for name and address changes on Division records.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.80 Restoration

a) A person seeking restoration of a license that has expired for five years or less shall have the license restored upon payment of all lapsed renewal fees and providing proof of fitness which shall consist of an attestation of 30 hours of continuing education and proof of current certification from ABGC or ABMGG as a genetic counselor.

b) A person seeking restoration of a license that has been placed on inactive status for five years or less shall have the license restored upon payment of the current renewal fee and proof of fitness, which shall consist of an attestation of 30 hours of continuing education and proof of current certification from ABGC or ABMGG as a genetic counselor.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than five years shall file an application, on forms supplied by the Division, the required fee, proof of current certification from ABGC or ABMGG as a genetic counselor, and an attestation of 30 hours of continuing education completed within the 24 months preceding the date of application. The person shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 65 of the Act; or

3. Proof of passage of the certification examination within the 24 months prior to applying for restoration.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant may be required to complete a specific period of evaluated genetic counseling work experience under the supervision of a qualified supervisor and may be required to demonstrate completion of continuing education requirements.

e) A person seeking restoration of a license that is in disciplinary status shall;

1. file a petition for restoration from a disciplinary status on forms provided by the Department;

2. prove that they have been rehabilitated and that their license should be restored through the Department's administrative process;

3. make payment of the restoration fee;

4. provide an attestation of 30 hours of continuing education; and

5. provide proof of current certification from ABGC or ABMGG as a genetic counselor.

f) Upon the recommendation of the Director, an applicant shall have the license restored or will be notified in writing of the reason for the denial of the application.

g) Upon request of the Division, an applicant seeking restoration shall provide proof of the continuing education hours required in this Section.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.90 Inactive Status

a) Licensed genetic counselors who notify the Division, on forms provided by the Division, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Any licensed genetic counselor seeking restoration from inactive status shall do so in accordance with Section 1251.80 of this Part.

c) Any licensed genetic counselor whose license is on inactive status shall not use the title "licensed genetic counselor" in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions set forth in Section 95 of the Act.

68 Ill. Adm. Code 1251.100 Continuing Education

a) Continuing Education Hour Requirements

1. Every renewal applicant shall complete 30 contact hours of continuing education (CE) relevant to the practice of genetic counseling during the pre-renewal period. A pre-renewal period is the 24 months preceding January 31 of each odd-numbered year.

2. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

3. Genetic counselors licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

b) Approved Continuing Education

1. All continuing education hours must be earned by verified attendance at, or participation in, a program that is offered by an approved continuing education sponsor who meets the requirements set forth in subsection (c) of this Section. Verified attendance can include participation in programs offered online by approved CE sponsors.

2. Continuing education credit hours used to satisfy the CE requirements of another state may be submitted for approval for fulfillment of CE requirements of the State of Illinois.

3. Credit shall not be given for courses taken in Illinois from unapproved sponsors.

c) Approved continuing education sponsors and programs, as used in this Section, shall mean:

1. The American Counseling Association;

2. The American Board of Genetic Counselors;

3. The American Board of Medical Genetics and Genomics;

4. The National Society of Genetic Counselors (NSGC); or

5. Any other entity approved by the Division.

d) Continuing education requirements for Sexual Harassment Prevention and Implicit Bias Awareness Trainings: for all license renewals after the first renewal and restorations occurring on or after January 1, 2025; a genetic counselor shall be required to complete mandatory trainings of at least one-hour regarding Sexual harassment Prevention, as provided in the Illinois Human Rights Act [775 ILCS 5/2-109] and 68 Ill. Adm. Code 1130.400; and of at least one-hour regarding Implicit Bias Awareness, as provided in the Department of Professional Regulation Law [20 ILCS 2105/2105-15.7] and 68 Ill. Adm. Code 1130.500. These trainings must be repeated for each renewal period after the first renewal and count towards the total CE required for renewals and restorations.

History

• Source: Amended at 49 Ill. Reg. 8307, effective June 5, 2025

68 Ill. Adm. Code 1251.110 Granting Variances

The Director may grant variances from this Part in individual cases when he or she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1251.120 Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action, based upon its finding of unethical, dishonorable, or unprofessional conduct within the meaning of Section 95, of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

a) Practicing, condoning, facilitating, collaborating with or engaging in discrimination against prospective or current clients, students, employees, supervisees, or research participants based on age, culture, disability, ethnicity, race, religion, sex, gender identity, sexual orientation, marital status/partnership, language preference, socioeconomic status, immigration status, or any basis proscribed by law;

b) Being convicted of any crime an essential element of which is larceny, embezzlement, obtaining money, property or credit by false pretenses or by means of a confidence game, dishonesty, fraud, misstatement or moral turpitude (e.g., unauthorized disclosure of patient information; improper alteration of a patient record; inappropriate or unlawful use of drugs or alcohol; assault, battery, or abuse of a patient; sexual contact with a patient; gross or repeated malpractice or negligence; improper professional financial dealings);

c) Performing, or pretending to be able to perform, professional services beyond one's scope of practice and one's competency as defined by education, training, supervised experience, State and national professional credentials, and appropriate professional experience;

d) Procuring, attempting to procure or renewing a license by bribery or by fraudulent misrepresentation;

e) Aiding or assisting another person in violating any provision of the Genetic Counselor Licensing Act or this Part;

f) Misrepresenting educational background, training, credentials, competence, or staff memberships;

g) Exploiting a client for personal advantage, profit, or interest, including engaging in the sexual exploitation of clients;

h) Refer clients to an alternate genetic counselor or other qualified professional when situations arise in which a genetic counselor's personal values, attitudes and beliefs may impede his or her ability to counsel a client;

i) Failing to maintain the confidentiality of any information received from a client, unless otherwise authorized or required by law;

j) Advertising in a matter that is deceptive, misleading, or false. Genetic counselors may only claim or imply professional credentials possessed and are responsible for correcting any misrepresentations of their credentials by others. Professional credentials include highest relevant degrees, accreditation of graduate programs, national voluntary certifications, government-issued certifications or licenses, professional membership, or any other credential that might indicate to the public specialized knowledge or expertise in genetic counseling;

k) Submitting fraudulent claims for services to any person or entity including, but not limited to, health insurance companies or health service plans or third party payors;

l) Habitual or excessive use or addiction to alcohol, narcotics, stimulants, or any other chemical agent or drug which results in inability to practice with reasonable skill, judgment, or safety;

m) Receiving discipline by another governmental agency or unit of government, by any jurisdiction of the United States, or by a foreign nation, if at least one of the grounds for the discipline is the same or substantially equivalent to those set forth in the Act or this Section; and

n) Committing any other conduct that is violative of the "National Society of Genetic Counselors Code of Ethics" (2017) published by the National Society of Genetic Counselors, Inc., 330 North Wabash Avenue, Suite 2000, Chicago IL 60611 (no later amendments or editions).

History

• Source: Added at 49 Ill. Reg. 8307, effective June 5, 2025

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1252 Professional Geologist Licensing Act

68 Ill. Adm. Code 1252.10 Application for Licensure Without Examination (grandfather)

a) Until July 1, 1998, an applicant meeting all the requirements for licensure under Section 50(a) of the Act and this Part may be issued a license under the grandfather provisions of Section 52 of the Act without taking and passing the examination. An applicant shall file an application, by April 1, 1998, on forms provided by the Department of Professional Regulation (the Department). The application shall include the following:

1. Education/Experience

A) Official transcripts of a baccalaureate degree in geology, or graduate degree in the field of geology, indicating that the applicant has completed the coursework in accordance with Section 1252.40 of this Part or official transcripts of a 4 year academic degree or higher degree other than in geology, indicating that the applicant has completed the coursework in accordance with Section 1252.40 of this Part; and verification of a minimum of 4 years of professional experience as defined in Section 1252.50 of this Part. The experience must be obtained after completion of the education requirements specified in Section 50(a)(3) of the Act and Section 1252.40 of this Part. The Department, upon recommendation of the Board, will accept the cumulative total of professional geological work or geological research of persons who teach as full-time faculty of a college or university, provided such work or research can be demonstrated to be equivalent to the professional requirements set forth in Section 1252.50 of this Part. Research done toward a thesis or dissertation does not apply.

B) The Department may, upon recommendation of the Board of Licensing for Professional Geologists (Board), allow substitution of professional experience as a geologist for prescribed educational requirements. Appropriate experience shall include, but not be limited to a minimum of ten years professional experience (six years additional to that stated in subsection (a)(1)(B) above) may be substituted for 10 semester or 15 quarter hours of geology coursework. At least two of the ten years shall have been under the supervision of a licensed professional geologist, or, before July 1, 2000, a licensed professional geologist or engineer;

2. A complete work history since receipt of a bachelor's degree or the most recent 15 years of geology experience since receipt of the bachelor's degree, whichever is less;

3. The required fee set forth in Section 1252.80 of this Part; and

4. Certification, on forms provided by the Department, from the state or territory of the United States in which the applicant was originally licensed and the state in which he/she predominantly practices and is currently licensed, if applicable, stating:

A) The time during which the applicant was registered in that jurisdiction, including the date of the original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

c) To continue practicing geology after the adoption of rules (October 1, 1997), individuals shall apply for licensure within 180 days after the effective date of the rules (April 1, 1998). If an application is received during the 180 day period, the individual may continue to practice until the Department acts to grant or deny licensure. If an application is not filed by April 1, 1998, the individual must cease the practice of geology on April 1, 1998 and until the Department acts to grant a license to the individual. [225 ILCS 745/25]

History

• Source: Amended at 22 Ill. Reg. 10592, effective June 1, 1998

68 Ill. Adm. Code 1252.20 Application for Examination/Licensure

a) An applicant for examination to obtain licensure as a professional geologist shall file an application, on forms provided by the Department, at least 90 days prior to the examination date. The application shall include the following:

1. Education/Experience

A) Official transcripts of a baccalaureate degree in geology, or graduate degree in the field of geology, indicating that the applicant has completed the coursework in accordance with Section 1252.40 of this Part and verification of a minimum of 4 years of professional experience as defined in Section 1252.50 of this Part. The experience must be obtained after completion of the education requirements specified in Section 50(a)(3) of the Act and Section 1252.40 of this Part.

B) The Department may, upon recommendation of the Board of Licensing for Professional Geologists (Board), alow substitution of professional experience as a geologist for prescribed educational requirements. Appropriate experience shall include, but not be limited to a minimum of ten years professionalexperience (six years additional to that stated in subsection (a)(1)(B) above) may be substituted for 10 semester or 15 quarter hours of geology coursework. At least two of the ten years shall have been under the supervision of a licensed professional geologist, or, before July 1, 2000, a licensed professional geologist or engineer;

2. A complete work history since receipt of a bachelor's degree or the most recent 15 years of geology experience since receipt of the bachelor's degree, whichever is less;

3. The required fee set forth in Section 1252.80 of this Part; and

4. Certification, on forms provided by the Department, from the state or territory of the United States in which the applicant was originally licensed and the state in which he/she predominantly practices and is currently licensed, if applicable, stating:

A) The time during which the applicant was registered in that jurisdiction, including the date of the original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) All experience shall be completed prior to applying for licensure.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

68 Ill. Adm. Code 1252.30 Examination

The examination for licensure as a professional geologist shall be an examination authorized by the Department which tests an applicant's qualifications to practice professional geology in Illinois.

68 Ill. Adm. Code 1252.40 Approved Programs of Geology

a) The Department shall, upon the recommendation of the Board, approve a geology program if it meets the criteria set forth in this Section and the institution:

1. Is legally recognized and authorized by the jurisdiction in which it is located to confer the appropriate degree;

2. Has a faculty that consists of a sufficient number of full-time instructors to ensure educational obligations to the student are fulfilled.

A) The faculty must have demonstrated competence as evidenced by appropriate degrees in their area(s) of teaching from professional colleges or institutions.

B) A program at the basic level shall have no fewer than three full-time faculty members whose primary commitment is to the geology program. If an institution relies on part-time faculty members, it shall demonstrate that, in addition to the commitment of at least three full-time equivalent faculty members, effective mechanisms are in place to provide adequate levels of student advising and faculty interaction, and faculty control over the curriculum;

3. Has a geology program director;

4. Has a curriculum with a minimum of 30 semester hours or 45 quarter hours, or the equivalent, of course credits in geology, of which 24 semester or 36 quarter hours are in upper level courses.

A) The geology curriculum shall be designed to teach fundamentals and principles and practices of geology, and shall be designed to train the student to engage in the practice of geology.

B) Geological courses. For the purposes of fulfilling the requirements of Section 50(a)(3) of the Act, the 24 semester or 36 quarter hours in the upper level courses shall be from the following subject areas:

Structural Geology

Geophysics

Mineralogy

Hydrogeology

Petrology

Engineering Geology

Geomorphology

Economic Geology

Paleontology

Environmental Geology

Terrain Analysis/Remote Sensing

Glacial Geology

Stratigraphy

Field Geology

Sedimentology

Geochemistry

b) In determining whether a school is legally recognized and authorized by the jurisdiction in which it is located to confer the appropriate degree, the Department shall take into consideration, but not be bound by, accreditation or approval by the Middle States Association of Colleges and Schools; the New England Association of Schools and Colleges; the North Central Association of Colleges and Schools; the Northwest Association of Schools and Colleges; Southern Association of Colleges and Schools; the Western Association of Schools and Colleges; and the Department of Education in each of the Canadian Provinces.

68 Ill. Adm. Code 1252.50 Experience

a) A minimum of 4 years of professional experience in the practice of geology or directly related work as defined in Section 15 of the Act is required for licensure under Section 50 of the Act.

b) Beginning with persons making application for licensure on or after July 1, 2000, 2 years of professional experience must have been gained under the supervision of an Illinois licensed professional geologist or a geologist licensed in another jurisdiction having substantially equivalent licensure requirements as Illinois.

c) All experience shall have been acquired after completion of education requirements set forth in Section 50(3) of the Act and Section 1252.40 of this Part. An applicant will receive one year of credit for 1500 hours of experience.

d) A maximum of one year experience may be credited to applicants possessing a graduate degree in geology.

e) A maximum of one year experience may be credited to full-time faculty members who teach upper level courses in a geology program that meets the criteria in Section 1252.40.

History

• Source: Amended at 22 Ill. Reg. 10592, effective June 1, 1998

68 Ill. Adm. Code 1252.60 Endorsement

a) An applicant who is licensed/registered under the laws of another jurisdiction and who wishes to be licensed in Illinois as a professional geologist shall file an application with the Department, on forms provided by the Department, which includes:

1. Proof of Education and Experience

A) Official transcripts verifying conferral of a bachelor's degree from an accredited college or university approved by the Department in accordance with Section 1252.40 of this Part; and

B) Certification of a minimum of 4 years of professional experience or its equivalent as approved by the Department in accordance with Section 1252.50;

2. Certification of successful completion of the examination authorized by the Department in accordance with Section 1252.30 or its equivalent;

3. A complete work history since receipt of a bachelor's degree or the most recent 15 years of geology experience since receipt of the bachelor's degree, whichever is less;

4. The required fee set forth in Section 1252.80 of this Part; and

5. Certification, on forms provided by the Department, from the jurisdiction in which the applicant was originally licensed and the state in which the applicant predominantly practices and is currently registered/licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) A copy of the current Act and administrative rules from the jurisdiction where the applicant holds active licensure/registration may be requested by the Department or the Board to determine substantial equivalency.

c) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure by endorsement shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

68 Ill. Adm. Code 1252.70 Renewal

a) The first renewal period for licenses issued under the Act shall end March 31, 1999. Thereafter, every license issued under the Act shall expire on March 31 of odd-numbered years. The holder of a license may renew such license during the month preceding the expiration date by paying the fee required by Section 1252.80 of this Part.

b) It is the responsibility of each licensee to notify the Department of any change of address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 80 of the Act.

68 Ill. Adm. Code 1252.80 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license is $250.

2. In addition applicants for examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service, shall result in the forfeiture of the examination fee.

b) Renewal Fees

The fee for renewal of a license shall be calculated at the biennial rate of $150.

c) General Fees

1. The fee for restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees, but not to exceed $300.

2. The fee for the issuance of a duplicate or replacement license, for a license which has been lost or destroyed or for the issuance of a license with a change of name or address, other than during the renewal period is $20. No fee is required for name and address changes on Department records when no corrected license is issued.

3. The fee for certification of a licensee's record for any purpose is $20.

4. The fee for a wall certificate showing licensure is the actual cost of producing such a certificate.

5. The fee for a roster of persons licensed as professional geologists is the actual cost of producing such a roster.

6. The fee to have the scoring of an examination administered by the Department reviewed and verified is $20.

68 Ill. Adm. Code 1252.90 Inactive Status

a) Licensed geologists who notify the Department, on forms provided by the Department, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Department in writing of the intention to resume active practice.

b) Any licensed geologist seeking restoration from inactive status shall do so in accordance with Section 1252.100 of this Part.

c) Any geologist whose license is on inactive status shall not practice in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

68 Ill. Adm. Code 1252.100 Restoration

a) Any professional geologist whose license has expired or been placed on inactive status for 5 years or less may have the license restored by paying the fees required by Section 1252.80 of this Part.

b) Any person seeking restoration of a license that has been expired or placed on inactive status for more than 5 years shall file an application, on forms provided by the Department, for review by the Board, together with the fee required by Section 1252.80. The applicant shall also submit either:

1. Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee/registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 65 of the Act; or

3. Proof of passage of the Professional Geologist Examination during the period the license was lapsed; or

4. Other evidence of continued competence in geology. Other evidence shall include, but not be limited to:

A) Employment in a responsible capacity by a licensed professional geologist as determined by the Board;

B) Lawfully practicing geology as an employee of a governmental agency;

C) Teaching geology in a college or university; or

D) Attendance at educational programs in geology.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the registrant seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

d) Upon the recommendation of the Board and approval of the Director, an applicant shall have the registration restored or be notified in writing of the reason for denying the application.

68 Ill. Adm. Code 1252.110 Code of Professional Conduct and Ethics

a) Geology is a profession the practice of which requires scientific knowledge, professional experience and judgement and personal responsibility. Each licensed professional geologist shall be guided by the highest standards of business ethics, honesty, integrity, personal honor and professional conduct in order to safeguard life, health and property, and to promote the public welfare. The Code of Professional Conduct and Ethics shall be binding upon every person holding licensure as a professional geologist in the State of Illinois. Each licensed professional geologist shall:

1. Protect to the fullest extent the public welfare and safety;

2. Not act in any manner that will tend to bring discredit to the honor and dignity of his/her profession;

3. Not undertake any type of work with which he/she is not competent unless he/she makes full disclosure of his/her lack of training and/or experience to the appropriate parties prior to undertaking the work;

4. Not act for his/her client or employer other than as a faithful agent or trustee and shall protect to the fullest the interest of his/her employer and/or client so far as is consistent with the law and his/her professional obligations and ethics;

5. Not use undue influence or offer commissions or otherwise solicit professional work improperly;

6. Not voluntarily disclose information concerning the lawful business affairs or technical processes of a client or employer without his/her consent, provided that this subsection (a)(6) does not operate to the detriment of public safety;

7. Not express an opinion that is not founded upon knowledge and honest conviction nor yield to undue and improper pressure;

8. Avoid misrepresentations of his/her professional credentials and avoid false or misleading claims of his/her capabilities;

9. Freely give credit for work done by others to whom credit is due and will refrain from plagiarism in oral and written communications, and not knowingly accept credit rightfully due another geologist; and

10. Not review the public geologic work of another geologist for the same client, except with the knowledge of the other geologist, or unless the connection of the other geologist with the work has been terminated.

b) It shall be the duty and professional responsibility of every licensed geologist to uphold these standards or ethics and to encourage other geologists by example and counsel to adhere to this Code. A licensed geologist found by the Board to be in violation of this Code of Professional Conduct may be subject to discipline.

68 Ill. Adm. Code 1252.120 Granting Variances

a) The Director of the Department may grant variances from these rules in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of such variance, and the reasons therefor, at the next meeting of the Board.

68 Ill. Adm. Code 1252.APPENDIX A Geologist Seal Requirements

a) In accordance with Section 60 of the Act, each licensee shall obtain, at his/her own expense, a seal or rubber stamp, 1¾ inches in diameter. The seal or stamp shall consist of concentric circles between which shall appear in capital letters "ILLINOIS" in the lower portion of the seal and "LICENSED PROFESSIONAL GEOLOGIST" in the upper portion of the seal. Within the inner circle of the seal shall appear the name of the licensee and the individual's license number.

b) The following is a suggested facsimile of the design and lettering of the seal:

History

• Source: Added at 22 Ill. Reg. 15349, effective August 10, 1998

Part 1253 Home Medical Equipment and Services Provider Act

68 Ill. Adm. Code 1253.10 Definitions

"Act" means the Home Medical Equipment and Services Provider Act [225 ILCS 51].

"Board" means the Home Medical Equipment and Services Board.

"Department" means the Department of Professional Regulation.

"Director" means the Director of the Department of Professional Regulation.

"Provider" means a licensed home medical equipment and services provider as defined in Section 5 of the Act.

"Recognized accrediting body" as referenced in the Act and this Part shall mean Joint Commission on Accreditation of Health Care Organizations (JCAHO), Accreditation Commission for Home Care Inc. (ACHC) and any other organization recommended by the Board and approved by the Department.

68 Ill. Adm. Code 1253.20 Application for Licensure

a) Entities applying for licensure as a home medical equipment and services provider shall file an application with the Department, on forms provided by the Department. The application shall include the following:

1. The name, location (including street, city, state (no post office box)) and telephone number of the applicant;

2. Certification of insurance from the insurer showing $1,000,000 of commercial general liability insurance, including but not limited to coverage for products liability and professional liability;

3. All trade or business names used by the applicant;

4. A list of categories of services provided;

5. Medicare Identification Number (if applicable);

6. Name of the person in charge of the day to day operation of the business;

7. The type of ownership or operation (i.e., partnership, limited liability company, corporation or sole proprietorship). If a corporation, a copy of the articles of incorporation;

8. The name of the owner and/or operator of the entity, including:

A) The name of the person, if a person;

B) The name of each partner and the name of the partnership, if a partnership;

C) The name and title of each corporate officer and director, the corporate names, the name of the state where incorporated and the name of the parent company, if any, if a corporation;

D) The full name of the sole proprietor and the name of the business entity, if a sole proprietorship; or

E) The full name and title of each member with 5% or more ownership and each manager of a limited liability company and the name of the state where organized and a copy of the articles of organization and the name of any parent company, if any;

9. The fee set forth in Section 1253.70 of this Part;

10. Certification, signed by an authorized representative of the entity, indicating that the business:

A) maintains a physical facility and a medical equipment inventory;

B) maintains records of education, training and experience and annual continuing education for personnel engaged in the delivery, maintenance, repair, cleaning, inventory control and financial management of home medical equipment and services;

C) maintains records on all patients to whom it provides home medical equipment and services that include any training, education and other information pertinent to the use and maintenance of equipment or the services provided. Patients' records shall include, but not be limited to, name of patient and address, type of service provided, payer requirements and other pertinent information for the service level or specific product provided. The provider shall have adequate security measures to maintain confidential records;

D) establishes and maintains equipment management and personnel policies such as, but not limited to, security operation, tracking and maintenance of equipment, customer service complaints;

E) complies with State and federal laws applicable to the type of services provided; and

F) provides access to emergency services 24 hours a day, 7 days a week for life sustaining home medical equipment and services.

b) A separate license is required for each facility and only one license will be issued per address where business is conducted.

c) When the address or name of a facility is changed, the licensee shall be required to notify the Department, obtain a corrected license and pay the required fee set forth in Section 1253.70.

d) Changes in person in charge of day to day operation shall be submitted to the Department, on forms provided by the Department, within 30 days after such change.

e) An applicant may be required to appear before the Board to further evaluate the entity's qualifications for licensure.

68 Ill. Adm. Code 1253.30 Personnel

The provider shall employ personnel with the education, training and experience necessary to safely and lawfully provide home medical equipment and services. The training shall be appropriate to the equipment and scope of services provided by the individual. As a condition for receiving and retaining a provider license, the licensee shall require each person employed in the home medical equipment and services business to have education, training and experience, or any combination thereof, sufficient for that person to perform the assigned functions. The licensee is responsible for ensuring that employees complete continuing education on an annual basis. Documentation of this education, training, experience and continuing education shall be maintained by the provider in the employee file.

68 Ill. Adm. Code 1253.40 Laws Applicable to Home Medical Equipment and Service Providers

No registrant shall violate any of the following laws or regulations or other State and federal laws that apply to the type of home medical equipment and services provided:

a) Illinois Food, Drug and Cosmetic Act [410 ILCS 620].

b) Federal Food, Drug and Cosmetic Act [21 USC 301 et seq. (1976)].

c) Occupational Safety and Health (OSHA) Standards (29 CFR 1910).

d) Department of Transportation federal regulations (49 CFR 238).

68 Ill. Adm. Code 1253.50 Change of Ownership

a) When the business changes ownership, a new application shall be filed with the Department in accordance with Section 1253.20.

b) Change of ownership is defined as, but not limited to:

1. whenever the controlling entity of the licensee changes; or

2. change in the legal form under which the controlling entity is organized.

68 Ill. Adm. Code 1253.60 Change of Operations

a) The license shall not be valid:

1. When the business ceases operation;

2. When the entity ceases to operate under the name on the license;

3. When the insurance is nonrenewed or cancelled; or

4. When the license is revoked.

b) The licensee shall notify the Department in writing within 30 days when the business ceases to operate or ceases to operate under the name on the certificate.

c) In the event of a change of the business name, the licensee shall apply for a corrected license in advance of the effective date of such change by notifying the Department, on forms provided by the Department, and paying the appropriate fee as set forth in Section 1253.70.

d) All notices required by this Section shall be sent to the Department at 320 West Washington, 3rd Floor, Springfield, Illinois 62786.

68 Ill. Adm. Code 1253.70 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees. The fee for application for a license as a home medical equipment and services provider is $300.

b) Renewal Fees. The fee for the renewal of a license shall be calculated at the rate of $100 per year.

c) General Fees.

1. The fee for a certification of a licensee's record for any purpose is $20.

2. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

3. The fee for a roster of entities licensed as home medical equipment and services providers in this State shall be the actual cost of producing the roster.

4. The fee for issuance of a duplicate license or a replacement license for a license that has been lost or destroyed, other than during the renewal period, is $20.

5. The fee for the issuance of a license with a change of name or a change of address is $150.

68 Ill. Adm. Code 1253.80 Renewals

a) The first renewal period for registration issued under the Act shall be March 2003 and every three years thereafter. The holder of a registration may renew the registration 60 days prior to the expiration date by filing an application with the Department including:

1. proof of $1,000,000 commercial general liability insurance, including but not limited to coverage for product liability and professional liability; and

2. the required fee set forth in Section 1253.70.

b) If a licensee is currently certified by a recognized national accrediting body such as JCAHO and ACHA, proof of such accreditation shall be submitted with the renewal. If a licensee does not submit the certification or is not certified by a recognized accrediting body, the Department shall inspect the facility pursuant to Section 90 of the Act.

c) It is the responsibility of each registrant to notify the Department of any change of mailing address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

68 Ill. Adm. Code 1253.90 Dishonorable, Unethical or Unprofessional Conduct

a) The Department may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action, based upon its finding of dishonorable, unethical, or unprofessional conduct within the meaning of Section 75 of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

1. Practicing, condoning, facilitating or collaborating with any form of discrimination against any person or group on the basis of race, color, sex, sexual orientation, age, religion, national origin, marital status, political belief, mental or physical handicap, or any other preference or personal characteristic, condition or status.

2. Failing to offer all facts regarding services or equipment to the client prior to administration of services (such as proper use and maintenance of equipment, warranty information, etc.). Patients and caregivers shall be informed of their rights and obligations regarding the sale, rental, and service of home medical equipment.

3. Failing to protect the privacy of patient information and disclosing such information without proper authorization, except as required by law.

4. Performing or allowing employees to perform professional services beyond their scope of practice and competency.

5. Failing to establish and maintain client records.

6. Submission of fraudulent claims for services to any person or entity, including, but not limited to, health insurance companies or health service plans or third party payors.

b) The Department hereby incorporates by reference "Code of Ethics", November 1998, approved by the National Association for Medical Equipment Services (NAMES), 625 Slaters Lane, Suite 200, Alexandria, VA 22314-1171, and by the Illinois Association of Medical Equipment Services, c/o IHCC, 222 West Ontario, Suite 420, Chicago IL 60610, with no later amendments or editions.

68 Ill. Adm. Code 1253.100 Granting Variances

a) The Director of the Department may grant variances from this Part in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons therefor, at the next meeting of the Board.

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1255 Interior Design Profession Title Act

68 Ill. Adm. Code 1255.10 Application for Registration Under Section 8(c) of the Act (grandfather) (repealed)

History

• Source: Repealed at 19 Ill. Reg. 7614, effective May 26, 1995

68 Ill. Adm. Code 1255.15 Application for Registration as a Residential Interior Designer Under Section 8(c-5) of the Act (grandfather) (repealed)

History

• Source: Repealed at 24 Ill. Reg. 1928, effective January 19, 2000

68 Ill. Adm. Code 1255.20 Application for Registration

a) An applicant for registration as an interior designer shall file an application, on forms provided by the Department of Financial and Professional Regulation – Division of Professional Regulation (Division), that includes the following:

1. Certification indicating the successful completion of the National Council for Interior Design Qualifications (NCIDQ) examination for an interior design registration meeting the requirements as defined in Section 1255.35.

2. Official transcripts verifying the conferral date of a degree in interior design or architecture from an accredited institution meeting the requirements as defined in Section 1255.30 or an official evaluation used in satisfying the requirements under Section 1255.31.

3. Certification, on forms provided by the Division, of completion of the required full-time diversified interior design experience, based on applicant's education as defined in Section 1255.40(g).

4. The fee required by Section 1255.65.

5. In lieu of items listed in subsections (a)(1), (a)(2) and (a)(3), the Division shall accept certification from the Council for Interior Design Qualifications (CIDQ), if the Division determines the applicant meets all other application requirements of this Section.

b) An individual who holds an active license as an architect in Illinois pursuant to the Illinois Architecture Practice Act of 1989 [225 ILCS 305] shall be issued a certificate of registration as an interior designer without examination, as provided in Section 8(d) of the Act, upon submitting to the Division an application, a copy of the active Illinois architect license, and fee as required in Section 1255.65 of this Part.

c) If an applicant fails to submit all required items for registration under the Act within 3 years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for registration accompanied by the required fee, and furnish proof of meeting the qualifications for registration in effect at the time of new application. (See Section 8(c) of the Act.)

d) Upon receipt of an application and all applicable supporting documentation in complete order, the applicant's file will be reviewed by the Division or the Board for acceptance. Upon meeting the necessary education, examination and experience requirements, the applicant shall be granted a certificate of registration as a registered interior design professional in this State.

History

• Source: Amended at 49 Ill. Reg. 10113, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1255 Registered Interior Designers Act

68 Ill. Adm. Code 1255.30 Approved Programs

a) The Division shall, upon recommendation of the Board, approve an interior design or architecture program if it meets the following minimum criteria:

1. The educational institution is legally recognized and authorized, through appropriate agencies such as a ministry of education or higher education governing board, by the jurisdiction in which it is located at the time the degree/certificate was obtained to confer any of the degrees/certificates required for registration in accordance with Section 8 of the Act;

2. Permanent student records are maintained by the institution which summarize the credentials for admission, attendance, grades and other records of performance;

3. The program has a designated director and a sufficient number of instructors to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by degrees in their areas of teaching from professional colleges or institutions;

4. The curriculum provides educational experience with practical application encompassing:

A) Drafting

B) Two-Dimensional Design

C) Three-Dimensional Design

D) Design and Composition Fundamentals

E) Color Theory

F) Fundamentals of Design

G) Building Systems

H) Materials

I) Codes and Ordinances

J) Presentation Skills

K) Business Practices and Management

L) History of Art, Architecture and Design

M) Computer Aided Drafting and Design

N) Lighting;

5. A 2-year program shall include 8 or more of the courses listed in subsection (a)(4) and include a minimum of 40 semester/60 quarter credits of interior design coursework;

6. A 3-year program shall include 8 or more of the courses listed in subsection (a)(4) and include a minimum of 60 semester/90 quarter credits of interior design coursework;

7. A 4-or 5-year program shall include 8 or more of the courses listed in subsection (a)(4) and include a minimum of 60 semester/90 quarter credits of interior design coursework.

b) In determining whether a program should be approved, the Division shall take into consideration, but not be bound by, accreditation or approval by the National Association of Schools of Art and Design (NASAD) or the Council for Interior Design Accreditation (CIDA) formerly known as the Foundation for Interior Design Education Research or FIDER.

c) The Division has determined that all interior design programs accredited or approved by CIDA or FIDER as of July 1, 1995 meet the minimum criteria set forth in this Section and are, therefore, approved.

History

• Source: Amended at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.31 Non-Approved Programs

The Division, upon recommendation of the Board, will issue a registration to an applicant with a degree that satisfies the NCIDQ eligibility requirements under the Foreign Education Evaluation pathway or the Alternative Review Program (ARP), so long as the applicant is approved by CIDQ to sit for and successfully passes the examination specified in Section 1255.35.

History

• Source: Added at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.35 Examination

a) The examination for registration as a registered interior designer is the computer-based NCIDQ examination prepared by CIDQ.

b) Applicants must take and pass all three sections of the NCIDQ examination, the Fundamentals Exam (IDFX), the Professional Exam (IDPX), and the Practicum Exam (PRAC), within their specific eligibility timeline as determined by NCIDQ.

c) The passing score on the examination shall be the passing score established by CIDQ.

History

• Source: Added at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.40 Full-Time Diversified Professional Experience

a) Required diversified professional experience in interior design shall meet the minimum requirements outlined in Section 8(a) of the Act and shall be in any one or combination of the following interior design related fields:

1. Commercial Design

2. Institutional/Educational

3. Governmental

4. Hospitality/Restaurant

5. Facilities Management

6. Residential Design

7. Kitchen/Bath

8. Store Planning/Retail

9. Industrial/Manufacturing

10. Health Care

b) All experience shall have been acquired after completion of a minimum of 2 years of a design or interior design related education program.

c) "Full-time" experience is defined as a minimum of 1,800 hours during a 12-month period. No more than one year credit will be given in a 12-month period.

d) "Part-time" experience is defined as a minimum of 900 hours during a 12-month period. No more than one half year credit will be given in a 12-month period.

e) Approved experience consists of successful performance of work relating to the profession of interior design, as described in Section 3 of the Act, verified by a supervising or sponsor interior designer, architect or owner/manager in an interior design setting.

f) One year of experience will be granted for 2 academic years of full-time teaching experience as defined by the institution in an approved interior design program under Section 1255.30. A maximum of one year of experience for teaching will be awarded. Teaching experience claimed by an applicant must be validated by an official of the school offering the design program.

g) Required diversified professional experience for registration:

1. A graduate of a 4 or 5-year accredited interior design or architecture program requires a minimum of 2 years of interior design experience.

2. A graduate of a 3-year accredited interior design or architecture program requires a minimum of 3 years of interior design experience.

3. A graduate of a 2-year accredited interior design or architecture program requires a minimum of 4 years interior design experience.

History

• Source: Amended at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.45 Seal and Signature Requirements

Every registered interior designer shall have a reproducible seal, or facsimile, the print of which shall contain the name of the registered interior designer, the registration number, and words "Registered Interior Designer, State of Illinois". The registered interior designer shall affix the signature, current date, date of registration expiration and seal to the first sheet of any bound set or loose sheets of technical submissions utilized as contract documents between the parties to the contract or contracts or prepared for the review and approval of any governmental or public authority having jurisdiction to issue a permit by that registered interior designer or under that registered interior designer's responsible control.

a) The individual registrant's written signature and date of signing, along with the date of registration expiration, shall be placed adjacent to the seal.

b) The registrant may provide, at the registrant's sole discretion, an original signature in the registrant's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer.

c) The following is a suggested facsimile of the design and lettering of the seal:

Sample

[Signature]

[Date Signed]

Registration Expires: [Date]

History

• Source: Amended at 48 Ill. Reg. 12276, effective August 2, 2024

68 Ill. Adm. Code 1255.50 Endorsement

a) In accordance with 225 ILCS 310/10 of the Act, an applicant who is licensed/registered under the laws of another state or territory of the United States or of a foreign country and who wishes to register as an interior designer shall file an application, on forms provided by the Division, together with:

1. Official transcripts verifying the conferral date of a degree in Interior Design or Architecture from an accredited institution meeting the requirements as set forth in Section 1255.30 or an official evaluation used in satisfying the requirements under Section 1255.31;

2. Certification, on forms provided by the Division, for all the required full-time diversified interior design experience, based on applicant's education as defined in Section 1255.40(g);

3. Certification from the state or territory of the United States or the foreign country in which the applicant was originally licensed/registered and any location in which the applicant predominantly practices and is currently licensed/registered, stating:

A) The time during which the applicant was licensed/registered;

B) Whether the file of the applicant contains any record of disciplinary actions taken or pending; and

C) Examinations taken and examination scores received;

4. The required fee specified in Section 1255.65.

b) In lieu of subsections (a)(1) and (2), the Division will accept certification from CIDQ if the applicant otherwise meets the requirements for registration under this Part, subject to review by the Division or Board.

c) The Division, upon recommendation of the Board, may require an applicant applying from a foreign jurisdiction to take and pass the required registration examination specified in Section 1255.35, to verify the applicant has satisfactory knowledge and competence using U.S. building, energy conservation, fire, plumbing, and accessibility codes and applicable design standards to safeguard the health, safety, and welfare of the public.

d) The Division may require additional information to determine:

1. if the requirements in the state, territory of the United States or foreign country at the time the applicant was licensed/registered were substantially equivalent to the requirements then in effect in Illinois; or

2. if the requirements of another state, territory of the United States or foreign country, together with education and professional experience qualifications of the applicant, are substantially equivalent to the requirements in Illinois at the time of application.

e) The Division, upon recommendation of the Board, shall determine substantial equivalency based on, but not limited to, certification from the National Council of Interior Design Qualifications; education, training and experience, including, but not limited to, whether the applicant has special honors or awards, has articles published in professional journals, or has written textbooks relating to interior design; and any other attribute that the Director of the Division accepts as evidence that the applicant has outstanding and proven ability in interior design.

f) If an applicant fails to submit all required items for registration under the Act within 3 years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for registration accompanied by the required fee, and furnish proof of meeting the qualifications for registration in effect at the time of new application. (See Section 8(c) of the Act.)

g) The Division shall either issue registration by endorsement or notify the applicant in writing of the reasons for denying the application.

History

• Source: Amended at 49 Ill. Reg. 10113, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1255 Registered Interior Designers Act

68 Ill. Adm. Code 1255.60 Renewal

a) Every registration issued under the Act shall expire on August 31 of odd-numbered years. The holder of a registration may renew such registration during the month preceding the expiration date by paying the required fee and meeting the continuing education requirements set forth in Section 1255.61 of this Part.

b) It is the responsibility of each registrant to notify the Division of any change of mailing or email address. Failure to receive a renewal notice from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's registration.

c) It is the responsibility of each registrant to notify the Division of any discipline as specified in Section 13 of the Registered Interior Designers Act [225 ILCS 310] or conviction of or entry of a plea of guilty or nolo contendere to any crime that is a felony under the laws of the United States or any state or territory thereof, or that is a misdemeanor, an essential element of which is dishonesty, or any crime that is directly related to the profession of interior design during the last renewal.

History

• Source: Amended at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.61 Continuing Education Requirements

The continuing education required as a condition for registration renewal under the Registered Interior Designers Act [225 ILCS 310] is set forth in this Section. All registrations shall meet these requirements.

a) Continuing Education Requirements

1. Beginning with the August 31, 2025, renewal, and every renewal thereafter, in order to renew a registration, a registrant shall be required to complete 10 hours of continuing education (CE) relevant to the profession of interior design, or be exempt from the CE requirements, as provided in subsection (i). Failure to comply with these requirements will result in non-renewal of the registrant’s registration, other disciplinary action, or both.

A) One hour of the total CE hours required shall be in Sexual Harassment Prevention Training, which shall meet the requirements of 68 Ill. Adm. Code 1130.400. A registrant completing a course on sexual harassment prevention developed or offered by the Illinois Department of Human Rights, offered by the registrant’s employer or an acceptable provider listed within this Section, that complies with the minimum training requirements specified in Section 2-109 of the Illinois Human Rights Act [775 ILCS 5] may count that course toward the one-hour requirement under this Section.

B) One hour of the total CE hours required shall pertain to the subjects of professional conduct and/or interior design professional ethics.

2. A pre-renewal period is the 24 months preceding September 1 of each odd-numbered year. All CE hours must be completed during the pre-renewal period.

3. All required CE hours may be completed online; however, each self-administered course shall include an examination that will be graded by the sponsor.

4. A CE hour means a minimum of 50 minutes of technical instruction or participation. No credit will be allowed for introductory remarks, meals, breaks or administrative matters related to courses of study. If the program involves one or more hours of education, credit may be issued in one-half hour increments.

5. Registered interior designers registered in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

6. The CE hours used to satisfy the CE requirements in another jurisdiction may also be used to satisfy the CE requirements of this Section so long as the CE activities meet the requirements of this Section.

b) All CE programs, activities or courses shall emphasize health, safety and welfare subjects and:

1. Contribute to the advancement, extension or enhancement of the professional skills and/or scientific knowledge of the profession of interior design;

2. Foster the enhancement of general or specialized practice and values of interior design, related professions and interior design ethics;

3. Be developed and presented by persons with education and/or experience in the subject matter of the program; and

4. Specify the course objectives and course content.

c) CE Activities shall include, but are not limited to:

1. Successful completion of courses, programs, presentations, meetings, seminars, etc., relevant to the profession of interior design or architecture. Credit will be given for self-study courses only if an examination has been completed by the registrant and graded by the sponsor.

2. Successful completion of higher education courses in interior design or architecture taken at college or university programs accredited by NASAD or CIDA. One CE hour per credit hour earned (not the actual hours spent in class) may be awarded.

3. Presenting a course, program, etc., as listed in subsection (c)(1) will receive twice the listed CE credit given for said course, program, etc., but shall only be accepted for the first offering or presentation. Full-time faculty may not claim teaching credit associated with their regular duties.

4. Authoring published papers, articles, books, or accepted registration examination items. Two CE hours may be awarded per paper, article, etc., and a maximum of four CE hours will be awarded per pre-renewal period.

5. Active participation in educational outreach activities that involve K-12 or higher education students which pertain to professional registration or the interior design profession. One hour of CE will be given per each one hour of outreach activities participation and a maximum of three CE hours may be awarded per pre-renewal period.

6. Active participation on a board or committee in professional or technical societies or in accrediting organizations relating to interior design. Two CE hours will be awarded per committee membership or office held and a maximum of four CE hours will be awarded per pre-renewal period.

d) The Division shall not pre-approve individual courses or programs.

e) Acceptable providers for continuing education activities shall include, but not be limited to:

1. American Society of Interior Designers (ASID);

2. International Interior Designer Association (IIDA);

3. Council of Interior Design Qualification (CIDQ);

4. International Design Continuing Education Council (IDCEC);

5. American Institute of Architects (AIA);

6. Green Building Certification Institute (GBCI);

7. International Facility Management Association (IFMA);

8. National Kitchen and Bath Association (NKBA);

9. Colleges, universities, or other educational institutions;

10. Technical or professional societies or organizations including manufacturers relating to interior design.

f) The Division may conduct random audits of registrants to verify compliance with this Section.

g) For auditing or restoration purposes, it shall be the responsibility of a registrant to maintain a record of CE hours for six years that includes:

1. Documentation consisting of:

A) the name and address of the sponsor or provider;

B) the number of CE hours attended in each program;

C) the date and place of the program, including a certificate of attendance; and

D) a brief statement of the subject matter, printed program schedules, registration receipts or other proof of participation; or

2. Transcripts or records of CE hours maintained by an acceptable provider as set forth in subsection (e).

h) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in this Section.

2. The Division may require additional evidence demonstrating compliance with the CE requirements as set forth in subsection (f). This additional evidence shall be required in the context of the Division’s random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, a registrant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings in accordance with Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

i) Waiver of CE Requirements

A registrant may be exempt from CE requirements if one of the following situations occurs. If an exemption is claimed, it is required that the renewal fee an any documentation needed to support the exemption be submitted for renewal of a registration. Waiver requests must be made before the end of the renewal period. Waiver requests sent after the end of the renewal period shall not be considered.

1. A registrant shall not be required to report CE hours during the first biennial renewal period in which the registrant obtained initial registration in Illinois but shall be subject to the CE requirements for all subsequent biennial renewal periods.

2. Waiver Requests. Registrants may submit a waiver request in the following circumstances:

A) A registrant who is on full-time active duty in the military service or Armed Forces of the United States or is a registrant who is called to temporary active duty in the military service or Armed Forces of the United States for a period of time exceeding 120 consecutive days during the renewal period, when that activity or location restricts participation in a CE program or activity.

B) A registrant who demonstrates to the satisfaction of the Division that meeting these requirements would be an undue hardship by reason of disability, illness, or other clearly mitigating circumstances shall submit supporting documentation.

i) The documentation shall be in the form of a sworn statement by the registrant, statement from a licensed healthcare provider, or medical record showing the disability, illness, or circumstance preventing the registrant’s participation in the CE program or activity during a substantial part of the renewal period.

ii) If the Division finds undue hardship is demonstrated, the Division will waive enforcement, extend the time within which the applicant shall comply, or establish a particular program or schedule of CE for the renewal period in which the undue hardship existed.

iii) Consecutive waiver requests made for reasons of disability, illness, or other circumstances may be prima facie evidence for non-renewal of applicant’s registration based on an inability to actively engage in the registered profession.

3. Any renewal applicant who, prior to the expiration date of the registration, submits a request for a waiver, in whole or in part, pursuant to the provisions of this subsection (i) shall be deemed to be in good standing until a final decision on the application is made by the Division.

History

• Source: Added at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.65 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees. The fee for application for a certificate of registration as a registered interior designer is $175.

b) Renewal Fees. The fee for renewal of a registration shall be calculated at the biennial rate of $125.

c) General Fees

1. The fee for the restoration of a certificate of registration other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $425.

2. Registrants may print out a certificate of registration through the Department website. There is no charge for the issuance of a replacement certificate of registration for a registration that has been lost or destroyed, or for issuance of a certificate of registration with a change of name or address.

3. The fee for a certification of a registrant's record for any purpose is $25.

d) Additional Fees

1. In accordance with Section 12 of the Act, any person who delivers a check or other payment to the Department that is returned to the Department unpaid by the financial institution upon which it is drawn shall pay to the Department, in addition to the amount already owed to the Department, a fee of $50. [225 ILCS 310/12].

2. If the check or other payment was for a renewal or issuance fee and that person practices without paying the renewal fee or issuance fee and the fee for a returned check, an additional fee of $100 shall be imposed.

3. The fees imposed by this Section are in addition to any other discipline provided under the Act for registered practice or practice on a nonrenewed registration. The Division will notify the person that fees shall be paid to the Department by certified check or money order within 30 calendar days after the notification.

4. If, after the expiration of 30 days after the date of the notification, the person has failed to submit the necessary remittance, the Division will automatically terminate the registration or certificate or deny the application without a hearing.

5. If, after termination or denial, the applicant seeks a registration or certificate, the applicant shall apply to the Division for restoration or issuance of the registration or certificate and pay all fees due to the Department.

6. The Director may waive the fees due under this Section in individual cases when the Director finds that the fees would be unreasonable or unnecessarily burdensome. [225 ILCS 310/12]

e) All of the fees collected pursuant to this Section shall be deposited in the General Professions Dedicated Fund. [225 ILCS 310/11]

History

• Source: Amended at 49 Ill. Reg. 10113, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1255 Interior Design Profession Title Act

68 Ill. Adm. Code 1255.70 Inactive Status

a) Registered interior designers who notify the Division in writing on forms provided by the Division may elect to place their registration on inactive status and shall be excused from the payment of renewal fees until they notify the Division in writing of the desire to resume active status.

b) Any registered interior designer seeking restoration from inactive status shall do so in accordance with Section 1255.80.

c) Any person whose registration is on inactive status shall not use the title "registered interior designer" in the State of Illinois.

History

• Source: Amended at 37 Ill. Reg. 16364, effective October 18, 2013

Part 1255 Registered Interior Designers Act

68 Ill. Adm. Code 1255.80 Restoration

a) Any registered interior designer whose registration has expired or has been placed on inactive status for 5 years or less may have the certificate of registration restored by submitting an application on forms provided by the Division, paying the fees required by Section 1255.65, and submitting proof of completing the required CE as defined in Section 1255.65 of this Part and gained within the 2 years prior to the date of submitting the application.

b) Any person seeking restoration of a certificate of registration that has been expired or placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, for review by the Board, together with the fee required by Section 1255.65, and submitting proof of completing the required CE as defined in Section 1255.65 of this Part and gained within the 2 years prior to the date of submitting the application. The applicant shall also submit at least one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of the active practice;

2. An affidavit attesting to military service as provided in Section 9 of the Act;

3. Proof of passage of the NCIDQ examination for an interior designer registration during the period the registration was lapsed or on inactive status; or

4. Other evidence of continued active practice of interior design for at least the last 2 years. Evidence shall be satisfied by one of the below:

A) Employment under the supervision and control of a licensed or registered interior design professional;

B) Lawfully practicing interior design as an employee of a governmental agency; or

C) Teaching interior design in a college or university program accredited by the CIDA or NASAD.

c) When the accuracy of any submitted documentation, or the relevance of sufficiency of the course work or experience is questioned by the Division, or the Board, because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the registrant seeking restoration of a registration shall be required to:

1. Provide information as may be necessary and/or explain the relevance or sufficiency during an oral interview; or

2. Appear for an interview before the Board when the information available to the Board is insufficient to evaluate the individual's current competency to practice under the Act.

d) Upon the recommendation of the Board, and approval by the Director, an applicant shall have the registration restored or be notified in writing of the reason for denying the application.

History

• Source: Amended at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1255.90 Granting Variances

The Director may grant variances from the requirements of this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 47 Ill. Reg. 6274, effective April 20, 2023

68 Ill. Adm. Code 1270.5 Application for Enrollment as a Surveyor Intern by Acceptance of Examination

a) An applicant who is in the senior year of an approved baccalaureate degree program as set forth in Section 1270.14, shall sit for the Fundamentals of Surveying ("FS") exam as specified in Section 1270.20 and then submit the application provided by the Department of Financial and Professional Regulation - Division of Professional Regulation ("Division"), required fee as specified in Section 1270.52, certification of passage of the FS exam, and an official transcript showing conferral of the degree within 12 months after sitting for the exam.

b) An applicant who is a graduate of an approved baccalaureate degree program as set forth in Section 1270.14 or a graduate of a non-approved program as set forth in Section 1270.15 shall sit for FS exam and then submit the application provided by the Division, required fee as specified in Section 1270.52, certification of passage of the FS exam, and an official transcript showing conferral of the degree.

c) Applicants who received their baccalaureate education in a foreign country other than Canada shall have the education evaluated on a course-by-course basis at their expense. Applicants shall obtain the forms from the National Council of Examiners for Engineering and Surveying (NCEES) Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607. The Land Surveyors Licensing Board ("Board") will review all transcripts and the evaluation submitted to the Division to determine if the education meets the requirements set forth in this Section and Section 1270.15.

d) Upon receipt of the application and all supporting documentation in complete order:

1. An applicant with a degree from an approved program will be enrolled as an Illinois Surveyor Intern.

2. An applicant with a degree from a non-approved program whose education is reviewed and approved by the Board, based on the criteria specified in Section 1270.15, shall be enrolled as an Illinois Surveyor Intern.

e) Applicants will be deferred enrollment as an Illinois Surveyor Intern if:

1. An applicant with a degree from an approved program as specified in Section 1270.14, who sat for the FS exam during the individual's senior year and who did not have the baccalaureate degree conferred within 12 months after passage of the FS exam will be required to retake the exam in order to be enrolled as an Illinois Surveyor Intern.

2. An applicant with a degree from a non-approved program whose education is reviewed and not approved by the Board, based on the criteria specified in Section 1270.15, shall be deferred enrollment as an Illinois Surveyor Intern until their education meets the requirements.

3. If an applicant fails to submit all required items for enrollment under the Illinois Professional Land Surveyor Act of 1989 [225 ILCS 330] (the "Act") within 3 years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for enrollment accompanied by the required fee, and furnish proof of meeting the qualifications for enrollment in effect at the time of new application.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

68 Ill. Adm. Code 1270.10 Application for Licensure as a Professional Land Surveyor by Acceptance of Examination

A license applicant shall have satisfied the education requirement as specified in Section 1270.14 or Section 1270.15, acquired the experience required by Section 1270.13 and passed the required examinations in compliance with Section 1270.20 prior to applying to the Division.

a) A license applicant shall satisfy one of the below options when applying:

1. Applicant Enrolled as an Illinois Surveyor Intern

An applicant who is enrolled as an Illinois surveyor intern shall file an application on forms provided by the Division and shall include, in addition to the requirements of Section 10 of the Act, the required fee specified in Section 1270.52 and the following:

A) An official copy of the applicant's Illinois Surveyor Intern certificate indicating prior Board approval of the baccalaureate degree and passage of the FS exam.

B) Official certification for successful passage of the NCEES Principles and Practice of Land Surveying Examination and Illinois jurisdictional examination requirement as specified in Section 1270.20.

C) Experience verification forms completed by the supervisor, indicating at least 4 years of responsible charge experience in land surveying as specified in Section 1270.13.

2. Applicant Not Enrolled as an Illinois Surveyor Intern

An applicant not enrolled as an Illinois surveyor intern shall file an application on forms provided by the Division and shall include, in addition to the requirements of Section 10 of the Act [225 ILCS 330/10], the required fee specified in Section 1270.52 and the following:

A) An official transcript showing conferral date for a degree from an approved program as specified in Section 1270.14 or from a non- approved program as specified in Section 1270.15.

B) Certification of successful passage of the FS, PS and Illinois jurisdictional examinations as specified in Section 1270.20.

C) Experience verification forms completed by the supervisor, indicating at least 4 years of responsible charge experience in land surveying as specified in Section 1270.13.

b) In addition to the above, certification the applicant has read and understands the Act and this Part.

c) Applicants not enrolled as a surveyor intern in Illinois who received their education in a foreign country other than Canada shall have the education evaluated on a course-by-course basis at their expense. Applicants may obtain forms from NCEES Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607 to evaluate educational programs. The Board will review all transcripts and the evaluation submitted to the Division to determine if the education meets the requirements set forth in this Section and Section 1270.15.

d) In lieu of the documentation specified in subsections (a)(1)(A), (B) and (C) and subsections (a)(2)(A), (B) and (C), an applicant may submit a current NCEES Record.

e) Upon receipt of the application and all supporting documentation in complete order:

1. The applicant's file will be presented to the Board for evaluation of the required education and experience as specified in this Section. Once the application has been reviewed, an applicant, if otherwise qualified, shall be granted a license to practice professional land surveying in this State.

2. Applicants who are reviewed by the Board and not approved, based on requirements specified in this Section, shall be deferred licensure as an Illinois professional land surveyor until the applicant meets the requirements.

3. If an applicant fails to submit all required items for licensure under the Act within 3 years after filing the application, the application shall expire and be denied. The applicant may, however, make a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1270 Illinois Professional Land Surveyor Act of 1989

68 Ill. Adm. Code 1270.13 Experience

The experience requirements set forth in Section 1270.10 shall meet the criteria described below.

a) Credit shall be given for actual experience in the practice of land surveying as defined in Section 5 of the Act.

b) Such experience shall be under the direct supervision and control of a professional land surveyor in responsible charge of land surveying operations. Direct supervision and control means the personal review by a licensed professional land surveyor of each survey, including, but not limited to, procurement, research, field work, calculations, preparation of legal descriptions and plats. The personal review shall be of such a nature as to assure the client that the professional land surveyor or the firm for which the professional land surveyor is employed is the provider of the surveying services. (Section 4 of the Act)

c) Experience shall be in areas of land surveying practice designated in this subsection (c) or in other areas which, in the opinion of the Board, provide the applicant with knowledge of practice of land surveying at least equivalent to that which is generally acquired by experience in the areas listed. An applicant need not have experience in all areas listed in this subsection.

1. The applicant shall have not less than 25% or more than 50% of cumulative actual experience in the following areas:

A) Field procedures to perform boundary surveys of existing or proposed tracts of land;

B) Field procedures to locate or re-establish section corners that are part of the public land survey system;

C) Field procedures to perform surveys for subdivisions and condominiums.

2. The applicant shall have the remainder of cumulative actual experience in the following areas:

A) Research of records to obtain data to perform boundary surveys or obtain other required data;

B) Calculations and analyses of data to determine locations, dimensions and area of existing or proposed tracts of land;

C) Calculations and analyses of data to determine position of section corners or locations, dimensions or areas of aliquot parts of sections, all in the public land survey system;

D) Preparation of legal descriptions;

E) Preparation of plats of surveys for existing or proposed tracts of land;

F) Preparation of plats of subdivisions and/or plats of condominiums;

G) Preparation of section corner monument records;

H) Field procedures to perform topographic surveys;

I) Preparation of topographic plats of surveys; and

J) Staking the alignments or elevation of proposed improvements.

History

• Source: Amended at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.14 Definition of Approved Programs

a) The Division, upon the recommendation of the Board, shall approve a land surveying or related science program if it meets the following criteria:

1. The educational institution is legally recognized and authorized by the jurisdiction in which it is located to confer a baccalaureate degree in land surveying or related science.

2. Faculty

A) The faculty shall have a sufficient number of full-time, or full-time equivalent, instructors to make certain that the educational obligations to the student are fulfilled. A program at the basic level shall have no fewer than one full-time faculty member whose primary commitment is to that program. If an institution relies on part-time faculty members, it shall demonstrate that, in addition to the commitment of at least one full-time equivalent faculty member, effective mechanisms are in place to provide adequate levels of student advising and faculty interaction, and faculty control over the curriculum.

B) The faculty shall have demonstrated competence in their area of teaching as evidenced by appropriate degrees from professional colleges or institutions. Other evidence of faculty capability includes non-academic surveying experience, experience in teaching, ability to communicate effectively, participation in professional/scientific/other learned societies, licensure as a professional land surveyor, and an interest in students' curricular activities.

C) Teaching loads shall allow time for research and professional development activities. Stimulation of students' minds requires faculty involvement in scientific and technological development and in instructional innovation.

3. Curriculum

A) The curriculum shall include at least 4 academic years leading to the conferral of the baccalaureate degree while providing integration of the educational experience with the ability to apply the knowledge gained to the identification and solution of practical problems.

B) The overall curriculum shall include a minimum of 120 semester hours or their equivalent (e.g., 180 quarter hours) and shall include at least the following subjects:

i) Mathematics shall be satisfied by one of the below options. Courses in computer usage and/or programming shall not be used to satisfy the mathematics requirement.

· College Algebra and beyond (including but not limited to, Trigonometry, Calculus I, Calculus II, Numerical Analysis and Statistics) – 15 semester hours; or

· Calculus I (or above) and Statistics.

ii) Basic Sciences (Physics and/or Chemistry) – 8 hours.

Provides a foundation of understanding of basic scientific principles.

iii) Additional Sciences – 20 hours.

Additional sciences have their roots in mathematics and basic sciences but carry the knowledge toward creative application. Such subjects include, but are not limited to, geology, geography, dendrology, astronomy, biology, soil mechanics, mechanics, and engineering sciences.

iv) Land Surveying – 24 hours.

Land Surveying courses provide the basis of understanding and implementing the role of land surveyor and include, but are not limited to: fundamentals of land surveying, boundary surveying, route surveying, topographic surveying, descriptions, legal aspects, subdivision design, data computations and adjustments, map projections and geometric geodemy and photogrammetry.

C) The program shall require that the student demonstrate competency in both written and oral communication.

D) An understanding of ethical, social, economic and safety considerations shall be included in the land surveying program.

4. Facilities

A) The laboratory facilities shall reflect the requirements of the offered educational program. The laboratory should provide for individual project work by the students and the faculty. The facilities shall be equipped with instruments and scientific equipment of a kind and quality to ensure the effective functioning of the laboratory.

B) The libraries in support of the land surveying program shall be both technical and nontechnical, to include books, journals and other reference material for collateral reading in connection with the instructional and research programs and professional work. The library collection shall reflect the existence of an active acquisition policy; this policy shall include specific acquisitions on the request and recommendation of the faculty of the engineering program. There shall be computer-accessible information centers and inter-library loan services for both books and journals. The library collections, whether centralized or decentralized, shall be readily available for use with the assistance of trained library staff, or through an open-stack arrangement, or both.

C) There shall be computer facilities accessible to the land surveying students and faculty.

5. The institution shall maintain permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

b) In determining whether a baccalaureate degree program should be approved, the Division shall take into consideration but not be bound by accreditation by the Accreditation Board for Engineering and Technology (ABET).

c) The Division, upon the recommendation of the Board, has determined that the following domestic baccalaureate degree land surveying programs accredited by the Engineering Accreditation Commission (EAC) of ABET and/or of the Engineering Technology Accreditation Commission (ETAC) of ABET meet the minimum criteria set forth in subsection (a) for an approved land surveying program and are, therefore, approved, subject to review. Approved Land Surveying Programs include:

1. Ferris State University − Surveying Engineering;

2. Michigan Technological University − Surveying Engineering;

3. Pennsylvania State University, Wilkes-Barre Campus − Surveying Engineering;

4. Great Basin College − Land Surveying and Geomatics

5. Kennesaw State University – Geospatial Technology Land Surveying Option, BS;

6. Florida Atlantic University – Geomatics Engineering, BSGE;

7. Polytechnic University of Puerto Rico – Land Surveying and Mapping, BS;

8. California State Polytechnic University, Pomona – Geospatial Engineering option in Civil Engineering, BS;

9. Southern Illinois University, Edwardsville – Land Surveying and Geomatics, BS; and

10. University of Maine, Surveying Engineering Technology, BS.

d) The Division, upon the recommendation of the Board, has determined that the following domestic related science baccalaureate degree program meets the minimum criteria set forth in subsection (a) for an approved related science program and is, therefore, approved, subject to review. Approved Related Science Programs include Southern Illinois University, Edwardsville − Construction Management – Land Surveying Specialization.

e) Withdrawal of Program Approval

1. The following are grounds for withdrawal of approval of a land surveying program or a program leading to a degree in basic technology with a land surveying specialty:

A) Non-compliance with any provisions of the Act;

B) Non-compliance with any provision of this Part;

C) Fraud or dishonesty in furnishing documentation for evaluation of the program; or

D) Failure to continue to meet the criteria of an approved program as set out in this Section.

2. If the Board has reason to believe there has been any fraud or dishonesty in the furnishing of any documentation for the evaluation of a program on the part of any licensee, it shall refer such matter to appropriate Division personnel for any disciplinary action which might be appropriate under the Act.

3. A program whose approval is being reconsidered by the Division shall be given 15 days written notice prior to any recommendation by the Board and may either submit written comments or request a hearing before the Board.

f) Evaluation of Newly Submitted Programs

1. An educational institution with a baccalaureate degree program that has not been evaluated will cause to be forwarded to the Division documentation concerning the criteria in this Section.

2. Once the Division has received the documentation or after 6 months have elapsed from the date of application, whichever is later, the Board will evaluate the program based on all documentation received from the school and any additional information the Division has received that will enable the Board to evaluate the program based on the criteria specified in this Section.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

68 Ill. Adm. Code 1270.15 Definition of a Non-Approved Program

A non-approved program shall be defined as a baccalaureate degree from an accredited college or university that includes core courses in at least the following subjects, or their equivalents, for the minimum semester hours shown. The following subjects all may be completed prior to, concurrent with, or subsequent to receiving the baccalaureate degree.

a) Mathematics shall be satisfied by one of the below options. Courses in computer usage and/or programming shall not be used to satisfy the mathematics requirement.

1. College Algebra and beyond (including but not limited to, Trigonometry, Calculus I, Calculus II, Numerical Analysis and Statistics) – 15 semester hours; or

2. Calculus I (or above) and Statistics.

b) Basic Sciences (Physics and/or Chemistry) – 8 hours. Provides a foundation of understanding of basic scientific principles.

c) Additional Sciences – 20 semester hours. Additional Sciences have their roots in mathematics and basic sciences but carry the knowledge toward creative application. Such subjects include, but are not limited to, geology, geography, dendrology, astronomy, biology, soil mechanics, mechanics, and engineering sciences.

d) Land Surveying courses – 24 semester hours. Land Surveying courses provide the basis of understanding and implementing the role of land surveyor and include, but are not limited to: fundamentals of land surveying, boundary surveying, route surveying, topographic surveying, descriptions, legal aspects, subdivision design, data computations and adjustments, map projections, geometric geodemy, and photogrammetry.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

68 Ill. Adm. Code 1270.20 Examinations

a) An applicant for enrollment as a Surveyor Intern shall pass the NCEES Fundamentals of Land Surveying ("FS") Examination.

b) An applicant for licensure as a Professional Land Surveyor shall have passed the required FS examination and the following examinations:

1. NCEES Principles and Practice of Surveying ("PS") Examination; and

2. Illinois Jurisdictional Examination.

c) The scoring of the NCEES Fundamentals of Land Surveying Examination and the NCEES Principles and Practice of Land Surveying Examination and the determination of scores shall be as approved by NCEES. Separate scores shall be given for each examination and the scores shall be reported as pass/fail.

d) The Illinois Jurisdictional Examination shall be reported as pass/fail. The Jurisdictional Examination shall include, but not be limited to, the following areas:

1. History of the public land surveying system in Illinois;

2. Jurisdictional Standards and Ethics (knowledge of prevailing professional standards and ethics specific to Illinois);

3. Jurisdictional Legal Precedent and Principles (knowledge of legal principles and requirements specific to Illinois);

4. Jurisdictional Field Techniques (knowledge of field research techniques specific to Illinois); and

5. Jurisdictional Record Sources (knowledge of sources of records and information specific to Illinois).

e) Retake of Examination.

1. Applicants who do not pass the NCEES Fundamentals of Land Surveying Examination, the NCEES Principles and Practice of Land Surveying Examination or the Illinois Jurisdictional Examination will be required to retake only the examinations failed.

2. Scores from examinations already passed under a previous application shall be carried over and applied to subsequent applications.

3. Fundamentals of Surveying Examination scores do not expire, with exception as noted in Section 1270.5(f)(1).

f) Post-administration access to, or review of, examination materials by an examinee or an examinee's representative shall be in accordance with the NCEES exam policy.

g) Examinations may be given in various formats with different application submittal dates depending on the examination format.

1. The Illinois Jurisdictional examination is administered in paper format on varying dates year-round as prescribed by the examination administrator.

2. Examinations administered in a computer-based format. Applicants may attempt a particular NCEES exam one time per testing window and no more than three times in a 12-month period, which begins with the examinee’s first attempt.

h) If an applicant has failed an examination, the examination may not be waived for licensure.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

68 Ill. Adm. Code 1270.30 Endorsement

a) An applicant who is licensed or registered to practice Land Surveying as a Professional Land Surveyor under the laws of another state or territory of the United States, or of a foreign country, who desires to become licensed by endorsement shall file an application with the Division together with:

1. Proof that the applicant has met the requirements substantially equivalent to those in force in this State for a Licensed Professional Land Surveyor at the time of original or subsequent licensure by examination in the other state, territory, or foreign country, including certification of education, and verification of experience as appropriate;

2. A certification by the state, territory, or foreign country, of original licensure and certification from the state, territory, or foreign country, of predominant active practice, including the following:

A) The time during which the applicant was licensed in that state, territory, or foreign country, including the date of the original issuance of the license;

B) The basis of licensure and a description of all examinations by which the applicant was licensed in that state, territory, or foreign country, and the date of passage of any such examinations; and

C) Whether the records of the licensing authority contain any record of disciplinary action taken;

D) Documentation submitted from a foreign country shall be translated into English, at the applicant's own expense, for review by the Division.

3. The required fee specified in Section 1270.52;

4. Applicants who received their education in a foreign country other than Canada shall have the education evaluated on a course-by-course basis at their expense. Applicants may obtain forms from the NCEES Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607 to evaluate educational programs. The Board will review all transcripts and the evaluation submitted to the Division to determine if the education meets the requirements set forth in this Section and Section 1270.15;

5. Certification attesting the applicant has read and understands the Act and this Part;

6. In lieu of the documentation specified in subsections (a)(1) and (2), an applicant may submit a current NCEES Record.

b) The Division, upon recommendation of the Board, may require an applicant applying from a foreign jurisdiction to take and pass the required FS and/or PS examinations specified Section 1270.20, to verify the applicant has satisfactory knowledge and competence using the U.S. Public Land Survey System, U.S. boundary law principles, and applicable surveying standards to safeguard the health, safety, and welfare of the public.

c) An applicant for licensure under this Section may be required to appear before the Board for an oral interview if the Division has questions about the applicant's application, because of discrepancies or conflicts in information, information needing further clarification and/or missing information.

d) Applicants for licensure on the basis of endorsement shall successfully complete the Illinois Jurisdictional Examination as set forth in Section 1270.20.

e) The Division shall examine each endorsement application to determine whether the requirements in the state or territory of original licensure were substantially equivalent to the requirements then in force in the State of Illinois. The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reason for the deferral or denial of the application.

f) If an applicant fails to submit all required items for licensure under the Act within three years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application. (See Section 10(b) of the Act.)

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

68 Ill. Adm. Code 1270.35 Inactive Status

a) Any Licensed Professional Land Surveyor who notifies the Division, on forms prescribed by the Division, may elect to place the license on inactive status and shall be excused from the payment of renewal fees until the licensee notifies the Division of the desire to resume active status.

b) Any licensee seeking restoration from inactive status shall do so in accordance with Section 1270.40.

c) Any licensed Professional Land Surveyor or professional design firm whose license is on inactive status shall not practice land surveying in the State of Illinois. Practicing or offering to practice on a license which is on inactive status shall be grounds for discipline under Section 27 of the Act [225 ILCS 330/27].

d) Any Professional Design Firm which notifies the Division on forms prescribed by the Division and submits evidence that the firm will no longer be offering services in Illinois, may elect to place the firm license on inactive status, and shall be excused from the payment of renewal fees until the licensee notifies the Division of the desire to resume active status.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

68 Ill. Adm. Code 1270.40 Restoration

a) A licensee seeking restoration of a license that has expired for less than 5 years shall have the license restored upon application, on forms provided by the Division, payment of the fee specified by Section 1270.52 and proof of 20 professional development hours completed in accordance with Section 1270.65 within 2 years prior to the date of submitting the restoration application.

b) A licensee seeking restoration of a license that has been placed on inactive status for less than 5 years shall have his or her license restored upon payment of the current renewal fee specified by Section 1270.52 and proof of 20 professional development hours completed in accordance with Section 1270.65 within 2 years prior to the date of submitting the restoration application.

c) A licensee seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, for review by the Division, together with proof of successful completion of 20 professional development hours completed in accordance with Section 1270.65 within 2 years prior to the date of submitting the restoration application and the fee specified by Section 1270.52. The licensee shall also submit one of the following:

1. Certification of active practice for at least the last 2 years in another jurisdiction. The certification shall include a statement from the appropriate board or licensing authority in the jurisdiction that the licensee was authorized to practice during the term of the active practice;

2. An affidavit attesting to military service as provided in Section 16 of the Act;

3. Proof of passage of the Illinois Jurisdictional Examination and/or the NCEES examination within one year after application; or

4. Other evidence of continued competence in land surveying. Evidence shall be satisfied by one of the following:

A) Employment in a responsible capacity by a licensed land surveyor, for at least the last 2 years, as determined by the Board;

B) Lawfully practicing land surveying as an employee of a governmental agency; or

C) Teaching land surveying courses in a college or university or other educational programs.

d) Any person restoring a license within 2 years after discharge from military service pursuant to Section 16 of the Act will be required to pay only the current renewal fee.

e) A certification attesting the applicant has read and understands the Act and this Part.

f) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Division because of discrepancies or conflicts in information, information needing further clarification, or missing information, the licensee seeking restoration of his or her license shall be required to provide the necessary information and, if requested to do so:

1. Explain the relevance or sufficiency during an oral interview; and/or

2. Appear for an oral interview before the Board when the information available to the Board is insufficient to evaluate the individual's current competency to practice under the Act. Upon the recommendation of the Board, and approval by the Director of the Division with the authority delegated by the Secretary (Director), an applicant shall have his or her license restored or shall be notified in writing of the reason for the denial of the application for restoration.

g) A professional design firm seeking restoration of a license that has expired for any length of time shall have the license restored upon payment of the restoration fee as specified in Section 1270.52 plus any lapsed renewal fee required by Section 1270.50 and submitting proof of the following:

1. Certificate of Good Standing from the Illinois Secretary of State or a copy of the letter or certificate received from the county clerk where an assumed name has been filed.

2. Proof that the managing agent-in-charge is still a full-time employee or a resolution appointing a new managing agent.

3. Listing of all offices in Illinois and the name and license number of the resident Land Surveyor for each location.

History

• Source: Amended at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.45 Professional Design Firm

a) Persons who desire to practice land surveying in the State of Illinois in the form of a corporation, professional service corporation, partnership, professional limited liability company, limited liability partnership or sole proprietorship (if the sole proprietorship is conducting or transacting business under an assumed name in accordance with the Assumed Business Name Act [805 ILCS 405]) pursuant to Section 25 of the Act [225 ILCS 330/25], shall file an application with the Division on forms provided by the Division, together with the following:

1. For Corporations or Professional Service Corporations. Professional design firms shall meet the registration requirements of Section 12 of the Professional Service Corporation Act [805 ILCS 10/12]:

A) The name of the corporation and its registered address, the names of all members of the board of directors and officers, and the name of the state and license number for each director who is a licensed design professional.

B) A signed and dated resolution of the board of directors of the corporation designating a regular full-time employee of the corporation who is an Illinois licensed land surveyor as the managing agent in charge of the land surveying activities in Illinois. The Illinois license number of the land surveyor designated as the managing agent shall also be included in the resolution.

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the corporation, if applicable.

D) A certificate of good standing from the Illinois Secretary of State.

2. For Partnerships:

A) General

i) A copy of the signed and dated partnership agreement authorizing the partnership to provide land surveying services. The partnership agreement shall contain the name of the partnership, its business address and the names of all partners. The name of the state in which each partner is licensed as a design professional and the license number shall be listed on the application.

ii) A signed and dated resolution adopted by the general partners designating a regular full-time employee of the partnership who is an Illinois licensed land surveyor as the managing agent in charge of the land surveying activities in this State. The Illinois license number of the land surveyor designated as the managing agent shall also be included in the resolution.

iii) A copy of the partnership documentation bearing the stamp of the county clerk where the partnership has been filed.

iv) A letter or certificate from the county clerk where an assumed name has been filed, if applicable.

B) Limited Partnership

i) A copy of the signed and dated partnership agreement indicating that it has been filed with the Illinois Secretary of State authorizing the partnership to provide land surveying services. The partnership agreement shall contain the name of the partnership, its business address and the names of all partners. The name of the state in which each partner is licensed as a design professional and the license number shall be listed on the application.

ii) A signed and dated resolution adopted by the partners designating a full-time employee of the partnership who is an Illinois licensed land surveyor in this State as the managing agent in charge of land surveying activities. The Illinois license number of the land surveyor designated as the managing agent shall also be included in the resolution.

iii) A certificate of good standing from the Illinois Secretary of State.

iv) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the partnership, if applicable.

3. For Professional Limited Liability Companies or Limited Liability Partnerships

A) An application containing the name of the professional limited liability company, or limited liability partnership, the business address and the members/partners of the company/partnership, the name of the state and the license number of each member/partner licensed as a design professional.

B) A signed and dated resolution of the members or partners designating a full-time employee who is an Illinois licensed land surveyor as the managing agent in charge of the land surveying activities in this State. The Illinois license number of the managing agent shall also be included in the resolution.

C) A certificate of good standing from the Illinois Secretary of State.

D) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the limited liability company or partnership, if applicable.

4. For Sole Proprietorships with an Assumed Name:

A) An application containing the name of the sole proprietorship and its business address and the name and Illinois license number of the land surveyor who owns and operates the business.

B) A letter or certificate received from the county clerk where an assumed name has been filed.

5. A list of all Illinois office locations at which the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship provides land surveying services.

A) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, or partnership maintaining any place of business in the State of Illinois for the purpose of providing or offering to provide land surveying to the public shall have a resident professional land surveyor at each office location in Illinois from which services will be provided under Section 25(h) of the Act [225 ILCS 330/25(h)].

B) The resident professional land surveyor is defined as an Illinois licensed professional land surveyor in responsible charge of land surveying services, and who shall be employed full-time and assigned to supervise land surveying operations in only one Illinois office at any given time.

6. The fee required in Section 1270.52.

b) A professional design firm may designate more than one managing agent in charge of land surveying activities. However, a licensee designated as the managing agent may not serve as a managing agent for more than one corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, or partnership doing business in Illinois.

c) Upon receipt of the above documents and review of the application, the Division shall issue a registration authorizing the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to engage in the practice of land surveying or notify the applicant in writing of the reason for the denial of the application.

d) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship with an assumed name shall be responsible for notifying the Division in writing within 30 days after any changes in:

1. The membership of the board of directors, members/partners of the professional limited liability company, limited liability partnership, limited partnership, partnership, or the general partners;

2. The licensure status of any and all of the general partners, members/partners of the professional limited liability company, limited liability partnership, limited partnership, partnership, or any of the licensed design professional members of the board of directors; and

3. An assumed name.

e) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship shall be responsible for notifying the Division in writing, by certified mail, within 10 business days after the termination or change in status of the managing agent. Thereafter, the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship, if it has so informed the Division, has 30 days to notify the Division of the name and license number of the land surveyor licensed in Illinois who is the newly designated managing agent.

f) Any failure to notify the Division as required in subsections (d) and (e) or any failure of the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to continue to comply with the requirements of Section 25 of the Act [225 ILCS 330/25], will subject the corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to the loss of its registration to practice land surveying in Illinois.

g) Sole Proprietorships. Any sole proprietorship owned and operated by a land surveyor who has an active Illinois license is exempt from the registration requirement of a professional design firm. However, if the sole proprietorship operates under an assumed name, the sole proprietorship shall file an application in accordance with subsection (a)(4). Any sole proprietorship not owned and operated by an Illinois licensed land surveyor shall be prohibited from offering land surveying services to the public.

h) In addition to the seal requirements in Section 15 of the Act [225 ILCS 330/15], all documents or technical submissions prepared by the professional design firm shall contain the professional design firm registration number issued by the Division.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1270 Illinois Professional Land Surveyor Act of 1989

68 Ill. Adm. Code 1270.50 Renewals

a) Every license as a Professional Land Surveyor issued under the Act shall expire on November 30 of each even numbered year. The holder of a license may renew that license during the month preceding the expiration date thereof by paying the fee specified in Section 1270.52 and meeting the professional development requirements set forth in Section 1270.65.

b) It is the responsibility of each licensee to notify the Division in writing of any change of address. Failure to receive a renewal notice from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew one's license.

c) Every license issued to a professional design firm under the Act shall expire on April 30 of each odd-numbered year. The holder of a license may renew that license for a 2-year period during the month preceding the expiration date thereof by paying the fee specified in Section 1270.52 and certifying that the firm is in good standing with the Secretary of State, if applicable.

d) Practicing or offering to practice on a license that has expired or been placed on inactive status shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 27 of the Act.

e) It is the responsibility of each licensee to notify the Division of any discipline or conviction of or entry of a plea of guilty or nolo contendere to any crime that is a felony under the laws of the United States or any state or territory thereof, or that is a misdemeanor, an essential element of which is dishonesty, or any crime that is directly related to the practice of the profession of land surveying since the last renewal.

History

• Source: Amended at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.52 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees.

1. The fee for application for a license as a professional land surveyor is $175. In addition, applicants for an examination shall be required to pay to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the designated testing service, shall result in the forfeiture of the examination fee.

2. The application fee for a license as a surveyor intern is $70.

3. The application fee for a certificate of registration as a professional design firm is $150.

b) Renewal Fees.

1. The fee for the biennial renewal of a license shall be $125.

2. The fee for renewal of a certificate of registration as a professional design firm is $150 for the renewal period (See Section 1270.50(d)).

c) General Fees.

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $425 for a professional land surveyor license and $500 for a professional design firm.

2. There is no charge for the issuance of a replacement license for a license that has been lost or destroyed, or for issuance of a license with a change of name or address. Licenses are available electronically through the Department website.

3. The fee for a certification of a licensee's record for any purpose is $25.

4. There is no fee to change the name of a professional design firm within the same business entity type; however, there is a $25 fee to change the business entity type of an existing professional design firm.

5. The fee to change the services offered by the professional design firm is $25.

6. The fee to change the name of a managing agent for a professional design firm is $25.

d) Additional Fees.

1. Any person who delivers a check or other payment to the Department that is returned to the Department unpaid by the financial institution upon which it is drawn shall pay to the Department, in addition to the amount already owed to the Department, $50. [225 ILCS 330/36.1]

2. If the check or other payment was for a renewal or issuance fee and that person practices without paying the renewal fee or issuance fee and the fee for a returned check, an additional fee of $100 shall be imposed.

3. The fees imposed by this Section are in addition to any other discipline provided under the Act for unlicensed practice or practice on a nonrenewed license. The Division will notify the person that fees shall be paid to the Department by certified check or money order within 30 calendar days after the notification.

4. If, after the expiration of 30 days after the date of the notification, the person has failed to submit the necessary remittance, the Division will automatically terminate the license or certificate or deny the application without hearing.

5. If, after termination or denial, the person seeks a license or certificate, the person shall apply to the Division for restoration or issuance of the license or certificate and pay all fees due to the Department. [225 ILCS 330/36.1]

e) All of the fees collected pursuant to this Section shall be deposited in the Design Professionals Administration and Investigation Fund.

f) The Director may waive the fees due under this Section in individual cases when the Director finds that the fees would be unreasonable or unnecessarily burdensome. (See Section 36.1 of the Act.)

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1270 Illinois Professional Land Surveyor Act of 1989

68 Ill. Adm. Code 1270.55 Land Surveyor Complaint Committee

a) The Land Surveyor Complaint Committee of the Land Surveyors Licensing Board authorized by Sections 8 and 29 of the Act shall be composed of 2 members of the Land Surveyors Licensing Board, a Supervisor over Design Investigations and Chief of Prosecutions over Design Prosecutions. The Director of Enforcement shall designate the Supervisor and Chief assigned to the Complaint Committee.

b) The Complaint Committee shall meet at least once every 2 months to exercise its functions and duties set forth in subsection (c). The Complaint Committee may meet concurrently with the Complaint Committees of the Architecture Licensing Board, the State Board of Professional Engineers and the Structural Engineering Board to discuss interrelated professional matters. The Complaint Committee shall make every effort to consider expeditiously and take prompt action on each item on its agenda.

c) The Complaint Committee shall have the following duties and functions:

1. To review investigative case files after an initial inquiry into the involved parties and their licensure status have been obtained. "Case file" means the allegation made against an involved party that resulted in a preliminary inquiry and other information being obtained in order to determine whether an investigation should be initiated or prosecution pursued. A "Formal Complaint" means the notice of allegations and charges or basis for licensure denial which begins the formal proceedings.

2. To refer the case file to the Supervisor over the Design Investigators for further action. The Complaint Committee shall give the Supervisor an indication as to the prosecutorial merit and relative severity of the allegations to aid in the prioritization of investigative activity.

3. To recommend that a case file be closed.

4. To recommend that an Administrative Warning Letter be issued and the case file closed.

5. To refer the case file to Prosecutions for review and action.

6. To report the actions of the Complaint Committee at each Board meeting and to present enforcement statistics such as the type of alleged violation.

d) In determining what action to take or whether to proceed with investigation and prosecution of a case file, the Complaint Committee shall consider the following factors, but not be limited to: the effect on the public's health, safety and welfare; the sufficiency of the evidence presented; prosecutorial merit; and sufficient cooperation from complaining parties.

e) At any time after referral to Prosecutions, the Division may enter into negotiations to resolve issues informally by way of a Consent Order. Factors to be considered in deciding whether to enter into settlement negotiations shall include, but not be limited to: the effect on the public's health, safety and welfare caused by the respondent's alleged conduct; sufficient investigation of the case; prosecutorial merit; relative severity of the respondent's alleged conduct; and past practices of the Division.

f) No file shall be closed nor Formal Complaint dismissed except upon recommendation of the Complaint Committee and/or approval by the Land Surveyors Licensing Board. Those case files that previously have been before the Board and are the subject of a Consent Order or Formal Order of the Director may be closed without further recommendation or approval of the Land Surveyors Licensing Board or the Complaint Committee.

g) Disqualification of a Land Surveyors Licensing Board member.

1. A Board member shall be recused from consideration of a case file or Formal Complaint when the Board member determines that a conflict of interest or prejudice would prevent that Board member from being fair and impartial.

2. Participation in the initial stages of the handling of a case file, including participation on the Complaint Committee and in informal conferences, shall not bar a Board member from future participation or decision making relating to that case file.

h) An informal conference is the procedure established by the Division that may be used for compliance review, fact finding, discussion of the issues, resolving case files, licensing issues or conflicts prior to initiating any Formal Complaint or formal hearing. An informal conference may only be conducted upon agreement of both parties. Informal conferences shall be conducted by a Division attorney and shall include members of the Board. Board members shall be scheduled for informal conferences on a rotating basis.

History

• Source: Amended at 31 Ill. Reg. 1832, effective January 8, 2007

68 Ill. Adm. Code 1270.56 Minimum Standards of Practice

The minimum standards of practice set forth in this Section are intended to provide protection for the public by insuring that surveying and mapping services defined in this Section are completed in accordance with prevailing professional practices and current technological methods, and to provide a means by which professional performance of the individual practitioner can be assessed. These standards are to be binding upon every person and firm practicing land surveying in the State of Illinois, except where differing federal, State or local laws, ordinances or rules may be more stringent, or when special conditions exist that effectively prevent the survey from meeting these minimum standards. When special conditions exist any necessary deviations from the standards shall be noted on the plat or map. It shall be a violation of this Part to use special conditions to circumvent the intent and purpose of the minimum standards. Any of the professional services set forth in this Section are greatly influenced by the evaluation of recorded information and field observations, and all those services shall be accomplished in compliance with these standards to ensure that they are located, described and platted in a professional manner. All terms used in these Minimum Standards of Practice shall be interpreted to agree with the definitions of those terms in the most current publication of Black's Law Dictionary, Definitions of Surveying and Associated Terms published by the National Society of Professional Surveyors (NSPS) and the American Society of Civil Engineers (ASCE), and Glossary of the Mapping Sciences published by American Society for Photogrammetry and Remote Sensing (ASPRS), NSPS and the ASCE.

a) ALTA/NSPS Land Title Survey

1. An ALTA/NSPS land title survey is a specialized survey that meets the specific needs peculiar to title insurance purposes, to enable title insurance companies to insure title to land without exceptions as to survey matters.

2. All land title surveys shall be subject to the "2021 Minimum Standard Detail Requirements for ALTA/NSPS Land Title Surveys", published jointly by the American Land Title Association (ALTA), 1828 L. St., N.W., Suite 705, Washington, D.C. 20036 and the National Society of Professional Surveyors (NSPS), 6 Montgomery Village Avenue, Suite #403, Gaithersburg MD 20879. This incorporation does not include any later amendments or editions.

3. All ALTA/NSPS land title surveys are to be performed to the current ALTA/NSPS Minimum Standard Detail Requirements. It is incumbent upon the licensed professional land surveyor to discuss with the client additional or optional requirements to be provided.

b) Boundary Survey

1. A boundary survey is a land survey that requires study, investigation and evaluation of major factors affecting and influencing the location of boundary lines and that culminates in the deliberate location or relocation of the corners, perimeters, division lines or boundaries of a certain lot, parcel or quantity of real estate, according to the record title description of the parcel or parent tract, facts and evidence found in the course of performing the research and fieldwork, and in accordance with appropriate boundary law principles. The record title description should be furnished by the client, unless otherwise jointly agreed upon by the client and surveyor.

2. The purpose of a boundary survey is to establish or retrace the boundary lines and corners of the surveyed property, and to define and identify those lines so as to uniquely locate each lot, parcel or other specific land area in relation to well recognized and established points of reference, adjoining properties, and rights of way.

3. When a client desires only a portion of their property surveyed, and this portion can be clearly isolated from the remainder of the property without affecting the interests of adjoining owners, these rules shall apply to the survey of only the desired portion.

4. A boundary survey shall include, but not be limited to, the following:

A) Gathering and evaluating the best available evidence indicating where the boundary lines being retraced have become established on the ground.

B) Clear and legible field notes containing all pertinent information, measurements and observations made in the course of the field survey.

C) Unless requested otherwise by the client or his/her agent, a plat of survey.

D) A legal description for any parcel surveyed.

E) Monuments or witness points shall be set for all accessible corners of the survey except when in the opinion of the Professional Land Surveyor, corner monuments would be destroyed by development, re-development construction, grading or utility construction. In this case, monumentation may be delayed until construction or grading is completed and must be in place within 12 months of the date of field work of the last survey.

5. Information Research Required. Sufficient information to perform the survey shall be either furnished by the client and/or his/her agent or obtained by the surveyor by agreement with the client. The following appropriate factors must be evaluated by the surveyor:

A) A property description describing the subject parcel. If, in the opinion of the surveyor, the description furnished or obtained is insufficient to fully define the extent or location of the parcel to be surveyed due to ambiguity or calls for adjoining deeds, prior recorded survey plats, etc., it is the duty of the client (unless agreed upon otherwise) to furnish the additional information requested by the surveyor. This is not to be construed to indicate that the surveyor has an obligation to research the title of record.

B) A reproduction of the recorded subdivision plat that created the subject lot, block or parcel.

C) A reproduction of the Government Township Plat and pertinent Monument Records if the survey is of a section or aliquot part of a section.

D) Relevant data provided by the client regarding special circumstances, such as unrecorded easements, judgements or Court decrees that may influence the location of boundaries of the survey.

E) Except, however, if the documents identified in subsections (b)(5)(A) through (D) are not provided to the surveyor, the surveyor shall as a minimum, consult deeds and other documents, including those for adjacent parcels, in order to assemble the best possible set of written evidence of every corner and line of the property being surveyed.

6. Boundary Analysis and Resolution – the boundary lines and corners of any property being surveyed shall be established and/or retraced in accordance with appropriate boundary law principles governed by the set of facts and evidence found in the course of performing the research and fieldwork.

7. Positional Accuracy – the relative positional accuracy for boundary surveys shall be in accordance with the most current model standards for property surveys as published by the National Society of Professional Surveyors (NSPS).

8. Monuments. Monuments set or called for, whether artificial or natural, bear witness to the footsteps of a surveyor and his/her professional opinion as to the proper marking of a desired position. Monumentation for public land survey systems corners shall be in accordance with the Land Survey Monuments Act [765 ILCS 220]. The following shall be considered acceptable types of artificial monuments for all other corners:

A) Types

i) Iron bars or rods shall be a minimum of ½" in diameter by 24" in length. Iron pipes shall be a minimum of ½" in diameter by 24" in length, with a minimum wall thickness of ⅛" and be detectable with conventional instruments for finding ferrous or magnetic objects. Where rocky soils prevent specified lengths, the bar, rod or pipe should be driven to refusal at depths where it will remain stable.

ii) Concrete monuments shall be a minimum size of 5" in diameter by 24" in length, or 4" square by 24" in length, and shall have a precise corner mark and shall be reinforced by at least a ¼" re-bar or ½" or larger iron pipe.

iii) Stone monuments shall be a minimum size of 4" square by 24" in length and shall have a precise corner mark.

iv) Commercial cast iron or aluminum survey markers no less than 24" in length. Non-ferrous markers shall have ceramic magnets attached to aid in recovery.

v) Other monuments, such as drill holes, chiseled marks in stone, concrete or steel, punch marks, precast bronze discs, nails or spikes, etc., shall be of sufficient size, diameter or depth to be definitive, stable and readily identified as a survey marker. Objects upon which the marks or markers are placed shall be of a stable and permanent nature.

B) Requirements

i) When it is physically impossible or impractical to set a monument at the corner, a witness corner or corners will be set, or noted if existing witness corners are found. Witness corners shall be referenced to the survey corner or survey lines.

ii) Monuments must be set to a sufficient depth so as to retain a stable and distinctive location. Material and size for monuments shall be chosen in regard to the terrain and situation that exists at the site of the survey. All monuments shall be set vertically whenever possible.

9. Plats. On all boundary surveys the completed plat shall be drawn on a stable and durable medium with a minimum size of 8½" by 11" and shall contain the following:

A) Firm name, address and registration number.

B) Professional land surveyor seal, signature, date of signing, and license expiration date. The licensee may provide, at his or her sole discretion, an original signature in the licensee's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer.

C) Client's name.

D) North arrow.

E) Scale-written or graphic.

F) Date of completion of field work.

G) Legal description of the property.

H) Legend for all symbols and abbreviations used on the plat.

I) Monuments or witness corners, whether set or found, intended to represent or reference corners of the survey, shall be shown and described as to size, shape and material, and their positions noted in relation to the survey corners.

J) Sufficient angles, bearings or azimuths, linear dimensions and curve data must be shown on the plat to provide a mathematically closed figure for the exterior of the survey. Where record angular dimensions, bearings or azimuths, linear dimensions or curve data exist, such data shall be shown on the plat and distinguished from measured dimensions or data. Area of the survey is to be shown on the face of the plat unless otherwise requested by the client.

K) Where bearing, azimuth or coordinate systems are used, the basis or proper names of the system shall be noted on the plat.

L) If the survey is a parcel in a recorded subdivision, any adjacent rights of way or easements and setback lines shown on the recorded plat that affect the subject parcel shall be shown and dimensioned.

M) The character and location of evidence of possession or occupation along the perimeter of the surveyed property and by adjoiners, observed in the process of conducting the fieldwork.

N) Show visible evidence of improvements, rights of way, easements, or use when requested by the client.

O) Exculpatory statements that attempt to restrict the uses of boundary surveys shall not be affixed to any plat.

P) The following statement shall be placed near the professional land surveyor seal and signature: "This professional service conforms to the current Illinois minimum standards for a boundary survey."

10. Field Procedures. All field work shall be performed by a professional land surveyor or a person under his/her direct control and supervision in accordance with accepted methods of surveying theory, practice and procedures. It is the responsibility of the professional land surveyor to ensure conformance with the following specific requirements:

A) All surveying instruments shall be kept in proper adjustment and calibration.

B) All corners or monuments called for in the information provided or obtained under subsection (b)(4) that affect the location of the boundaries of the land to be surveyed shall be physically searched for in a methodical and meticulous fashion. Each corner or monument recovered shall be evaluated as to its agreement by description and location with the information in subsection (b)(4).

C) Other evidence that could influence the location of the lines or corners of the survey shall be located and evaluated.

D) When the survey is of an aliquot or divisional part of a larger tract, sufficient field work must be performed to ensure that the existence of excess or deficiency, if any, in the parent tract can be determined and distributed by the professional judgment of the surveyor.

E) All field data, including electronic field notes, shall be retained in a legible and orderly fashion that will be understandable to other surveyors.

11. It shall be the responsibility of each professional land surveyor to monitor his/her work and that of those working under his/her supervision, so that the methods used to perform the survey and produce the plat and/or report will be of such quality that the accuracy, precision and positional tolerance of the final product delivered to his/her client will equal or exceed the “Positional Accuracy” requirements stated in subsection (b)(7) and that which would be provided by another competent surveyor under similar circumstances.

c) Condominium Surveys. Condominium surveys are a specialized class of boundary surveys and are governed by the Condominium Property Act [765 ILCS 605]. The plat requirements referred to in Section 5 of that Act must be the result of actual field measurements and are not to be transcribed from plans or other informational materials. The exterior boundaries of a condominium parcel shall be monumented as required by the Plat Act [765 ILCS 205]. Notes on the condominium plat must indicate whether the interior measurements shown are referring to finished or unfinished surfaces or planes and what data was used for any elevations depicted on the plat.

d) Subdivision Surveys

1. Subdivision surveys include subdivision plats, re-subdivision plats, consolidation plats, and planned unit development (PUD) plats when used to subdivide land; all of which are governed by and prepared in accordance with local subdivision control ordinances, governmental regulations and the Illinois Plat Act [765 ILCS 205]. A subdivision survey requires the retracement of the boundary of the parent tract by the subdividing surveyor and becomes an original survey upon the creation of new land parcels, blocks or “lots”. Monumentation for subdivision surveys is mandatory according to the statute. All exterior corners of the subdivision shall be monumented prior to recordation of the subdivision plat. If, in the opinion of the subdividing surveyor, a disproportionate number of interior monuments would be destroyed by grading, utility installation, etc., monumentation of the interior corners may be delayed unless local regulations or ordinances specify otherwise. Interior corners of the subdivision shall be monumented prior to the conveyance of any lot, block, parcel or unit within the subdivision and in all cases the monumentation shall be in place within 12 months after the recording date of the subdivision plat. All of the interior corners subject to delayed staking shall be denoted on the record plat as "to be set", either by labeling or appropriate symbols or notations. Upon completion of the monumentation the subdividing surveyor shall file an affidavit with the Recorder of the county in which the subdivision is located certifying that the monumentation of the subdivision has been completed. The affidavit shall include the name of the subdivision, date of plat recording and recording location information (book and page and/or document number).

2. Vertical subdivisions, i.e., subdivisions that divide property by horizontal, vertical, and oblique planes, require that all exterior boundary corners of the subdivision be monumented at its ground elevation prior to recordation of the subdivision plat. The physical features, if any, controlling the limits of the subdivided property must be defined on the subdivision plat. The datum used to control the dividing horizontal planes must be defined on the subdivision plat together with the benchmark used to determine the elevations of these planes. The interior corners or any lot or block corners other than those that are required for monumenting the exterior boundary corners do not require monumentation.

e) Mortgage Inspection. A Mortgage Inspection does not approach the standards of other survey categories, though by the provisions of Section 5 of the Illinois Professional Land Survey Act of 1989 [225 ILCS 330/5] the services of an Illinois Professional Land Surveyor are required. A mortgage inspection is not a type of boundary survey or ALTA/ACSM survey and does not constitute a boundary survey of the subject real property. A mortgage inspection includes field investigation, measurements and graphic representation of improvements.

1. Purpose. The mortgage inspection is intended for use by a mortgage lender and/or title insurer and is only a professional opinion of the relationship of improvements with respect to the deed lines and the existence, location and type of building on the property, the intent of which is to assist in the determination of the property's suitability to serve as collateral for a mortgage. It is not an opinion as to deed, title or platted lines. It is not to be used in matters of boundary disputes, legal actions between landowners, or for construction purposes. No new legal descriptions can be created from a mortgage inspection.

2. Product. A complete mortgage inspection will produce a drawing entitled "Mortgage Inspection" and, if required, a written report of the surveyor's findings and determinations.

3. Information

A) The following information shall be furnished by the client and/or his/her agent:

i) Legal description and address for the tract of land.

ii) Copy of commitment of title insurance for the tract of land, if possible.

B) The following information shall be obtained by the surveyor:

i) Copy of recorded subdivision plats (if applicable).

ii) Recorded section corner tie monuments and original government surveys (if applicable).

iii) Other necessary surveying information.

4. Monuments. No monuments shall be set.

5. Tolerances. Tolerances cannot be mandated for a mortgage inspection since the very nature of recovering deed lines and other information for that purpose precludes a rigid adherence to any standard value.

6. Field Procedures. The following procedures should generally be considered as minimum, but deviations as dictated by specific conditions shall be allowed:

A) Preliminary search and recovery of existing monument evidence.

B) Field location of tract through measurement from some controlling locations, such as: street intersection, subdivision corner, section corners, etc., sufficient to eliminate the possibility of gross error in location of the premises.

C) Through field measurements, locate and dimension relevant improvements.

D) If evidence of deed lines does not exist, the surveyor is obligated to refuse to perform a mortgage inspection until satisfactory evidence is obtained, either through a boundary survey or a land title survey.

E) If evidence exists of the possibility that the improvements on the subject property or adjoining property are on or very near the apparent deed lines, the surveyor is obligated to note his/her findings and recommend that a boundary survey or land title survey be performed.

7. Drawing

A) Minimum size: 8½" x 11".

B) The drawing shall be entitled:

MORTGAGE INSPECTION

THIS DOES NOT CONSTITUTE A BOUNDARY SURVEY

(The above two lines shall be of the same letter size and shall be twice the letter size of all other lettering on the drawing.)

C) A North arrow, scale of drawing, date and drawing legend shall be included.

D) Building dimensions and type of structure shall be shown.

E) Boundary dimensions shown shall be based on the public record or description provided; field measurements do not need to be shown.

F) No dimensional ties from structures or other improvements to apparent deed lines are required.

G) The legal description of the tract shall be given on the face of the drawing.

H) Use of the word "survey" in the title, or any implication in a certification that this drawing represents a "survey", is prohibited.

I) Professional land surveyor seal, signature, date of signing, and license expiration date. The licensee may provide, at his or her sole discretion, an original signature in the licensee's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer.

J) Address of the tract.

K) No found corner, boundary line or other survey monumentation shall be shown on the drawing.

L) Preceding the legal description and in the same size letters as the legal description the following statement shall appear:

"This mortgage inspection and drawing is not a boundary survey or plat of survey. This mortgage inspection was prepared to assist the mortgage company and title insurance company and is not to be used for any purposes of boundary disputes, location of actual deed, title or platted lines, or for construction of new improvements. Graphic representation shall be deemed approximate and no reliance should be placed on the scale of the drawing."

M) The following statement shall be placed immediately above the signature of the surveyor and in the same size letters as the legal description:

"This professional service conforms to the current Illinois minimum standards of practice for a mortgage inspection and is not a boundary survey."

f) Topographic Surveying and Mapping

1. A topographic survey or topographic map is a delineation of horizontal and/or vertical locations of the existing natural or man-made features of a portion of the earth's surface, subsurface or airspace and the graphic representation of the results of the delineation. Topographic survey and map are defined as below:

A) Topographic Survey

A topographic survey made using accepted terrestrial or GPS surveying methods or using indirect surveying methods such as photogrammetry, light detection and ranging (LIDAR) or unmanned aerial vehicles (UAVs or drones) performed in conjunction with a boundary survey or ALTA/NSPS Land Title Survey depicting land boundaries shall be entitled "Boundary and Topographic Survey" or "ALTA/NSPS Land Title and Topographic Survey", and shall be subject to the current minimum standards established for the ALTA/NSPS Land Title Surveys or Boundary Surveys by this Part, except where differing federal, State or local laws, ordinances or rules may be more stringent.

B) Topographic Map

When topography is acquired using accepted terrestrial or GPS surveying methods, or using indirect surveying methods such as photogrammetry, light detection and ranging (LIDAR) or unmanned aerial vehicles (UAVs or drones) and is not performed in conjunction with a boundary survey or ALTA/NSPS Land Title Survey; boundary lines and boundary data shall be shown as needed/or as deemed necessary by the surveyor. The source of the land boundary information along with the statement that “this professional service does not constitute a boundary survey” shall be shown on the topographic map and placed near the surveyor’s certificate and seal.

i) When the position and/or extent of a topographic map is not defined by land boundaries, enough information must be shown on the survey to enable the client to locate the topographic map on the ground.

ii) A licensed professional engineer knowledgeable in topographical mapping may perform a topographic map specific to his/her design project. A licensed professional engineer may not, however, offer topographic mapping services independent of his/her specific design project.

2. Positional Accuracy

The horizontal and vertical positional accuracies for topographic surveys and topographic maps shall be in accordance with the most current model standards for topographic surveys or topographic maps as published by the National Society of Professional Surveyors (NSPS).

3. Information Research Required. Sufficient information to perform the topographic survey or topographic map shall be furnished by the client or his/her agent or obtained by the surveyor by agreement with the client. The following appropriate factors must be evaluated by the surveyor.

A) A specific description of the survey site, along with designated areas outside the actual survey site where topographic information is required.

B) The location, description, datum and elevation of all benchmarks to be used for the survey. The datum should be based on a nationally accepted datum whenever practical, unless instructed otherwise by the client or as mandated by a governmental organization having jurisdiction in the area the survey is located.

C) The location and description of all horizontal control points to be used for the survey.

D) If contour lines are required by the client, the contour interval should be agreed upon by the surveyor and client.

E) Location and elevations of utilities is often an important part of a topographic survey. The surveyor and client shall agree which utilities are to be located and what information on each utility is to be shown.

4. Field Requirements

A) All surveying instruments shall be kept in proper adjustment and calibration.

B) The surveyor may apply procedures that most efficiently meet the requirements of the client without sacrificing the accuracy of the acquired information.

C) All field data, including electronic field notes, shall be retained by the professional land surveyor in a legible and orderly fashion that will be understandable to other surveyors.

5. Plats. On all topographic surveys and topographic maps, the completed plat shall be drawn on a stable and durable medium with a minimum size of 8½" by 11" and shall contain the following:

A) Firm name, address and registration number.

B) Professional land surveyor seal, signature, date of signing, and license expiration date.

C) "This professional service conforms to the current Illinois minimum standards for a topographic survey or topographic map." This statement shall be placed near the professional land surveyor seal and signature.

D) Client's name.

E) North arrow.

F) Date of completion of field work.

G) Scale as agreed upon by surveyor and client.

H) Location and elevation of any reference benchmarks or site benchmarks at or near the survey shall be shown, and the datum noted.

I) Legend for all symbols and abbreviations used on the plat.

J) If elevation points are to be shown, such elevations shall be shown to the nearest one-hundredth of a foot on hard surfaces and to the nearest tenth of a foot elsewhere, unless requested otherwise by the client.

K) Location and description of horizontal control points used in the survey, which shall be noted and shall be shown on the plat as requested by the client.

L) The location of permanent structures, including buildings, retaining walls, bridges, culverts, street or road paving and sidewalks as requested by the client.

M) Existing contour lines indicating the relief of the entire parcel, unless required otherwise by the client. Elevation points may be shown at locations requested by the client.

N) Location and water surface elevations of lakes, rivers, streams and drainage courses on or near the surveyed parcel, and direction of flow if any as requested by the client.

O) If topographic information is to be delivered via electronic media, a suitable format shall be agreed upon with the client. In every case, the surveyor shall also provide a signed and sealed hard copy drawing or representation of the survey. This drawing shall be the official survey and shall be deemed to be correct and superior to the electronic data.

g) Minimum Standards for Writing Parcel Legal Descriptions. A description defining land boundaries written for conveyance or describing the extent of a survey or for other purposes shall be complete, providing definite and unequivocal identification of the property lines or boundaries of a unique parcel. The description shall be sufficient to be platted, located on the ground and, when appropriate, mathematically closed. The description shall commence at or relate to a physically monumented corner or boundary control line of record.

1. If the land is located in a recorded subdivision, the description shall contain the number or other description of the lot, block or other part of the subdivision, or shall describe the parcel by reference to a known corner of the lot, block or other recorded reference.

2. If the parcel is not located within a recorded subdivision, the description shall state the section, township, range, principal meridian and county, and shall describe the parcel by reference to quarter section, quarter-quarter section, government lot, or metes and bounds, beginning/commencing at a physically monumented corner and if possible, referencing an established and monumented line in the United States Public Land Survey System.

3. In any case, when a new description is created or a previous description is rewritten, enough of the original description should be maintained so as to form a trail or chain to honor the calls of the existing parcel description.

4. A description written for other purposes that do not define land boundaries for land conveyances, or describe the extent of a survey, such as descriptions written for leases, easements, zoning, annexation or political boundaries, are not required to relate to a physically monumented corner.

History

• Source: Amended at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.57 Standards of Professional Conduct

To safeguard the health, safety, and welfare of the public and to maintain integrity and high standards of skill and practice of professional land surveying, the following standards of professional conduct shall be binding on every licensee and on all professional design firms authorized to offer or perform professional land surveying services in Illinois.

a) Licensee's Obligation

1. Licensees shall be cognizant that their first and foremost responsibility is to safeguard the health, safety, and welfare of the public when performing services for clients and employers.

2. Licensees shall sign and seal only those plans, surveys and other documents that conform to accepted professional land surveying standards and that safeguard the health, safety, and welfare of the public.

3. Licensees shall notify their employer or client and such other authority as may be appropriate when their professional judgment is overruled when the health, safety, or welfare of the public endangered.

4. Licensees shall, to the best of their knowledge, include all relevant and pertinent information in an objective and truthful manner within all professional documents, statements, and testimony.

5. Licensees shall express a professional opinion publicly only when it is founded upon an adequate knowledge of the facts and a competent evaluation of the subject matter.

6. Licensees shall issue no statements, criticisms, or arguments on professional land surveying matters that are inspired or paid for by interest parties, unless they explicitly identify the interest parties on whose behalf they are speaking and reveal any interest they have in the matters.

7. Licensees shall not partner, practice, or offer to practice with any person or firm that they know is engaged in fraudulent or dishonest business or professional practices.

8. Licensees who have knowledge or reason to believe that any person or firm has violated any rules or laws applying to the practice of professional land surveying shall report it to the Division, may report it to appropriate legal authorities, and shall cooperate with the Division and those authorities as requested.

9. Licensees shall not knowingly provide false or incomplete information regarding an applicant in obtaining licensure.

10. Licensees shall comply with the licensing laws and rules governing professional land surveying profession in each of the jurisdictions in which they practice.

b) Licensee's Obligation to Employer and Clients

1. Licensees shall undertake assignments only when qualified by education or experience in the specific technical field of professional land surveying involved.

2. Licensees shall not affix their signatures or seals to any plans, specifications, or other documents dealing with subject matter in which they lack competence, nor to any such plans, specifications, or other documents not prepared under their direct supervisory control.

A) In circumstances where a licensee in responsible charge of the work is unavailable to complete the work in instances such as death, incapacity, termination of employment or relocation, a successor licensee may take responsible charge by performing all professional services, including design criteria, recalculations, code research and compliance, and any other necessary and appropriate changes, in order to complete the project.

B) The successor licensee shall have control of and responsibility for the work product and the signed and sealed originals of all documents.

3. Licensees may accept assignments and assume responsibility for coordination of an assignment outside of their field of competence if each technical segment is signed and sealed by the licensee responsible for preparation of that technical segment.

4. Licensees shall not reveal facts, data, or information obtained in a professional capacity without the prior consent of the client, employer, or public body on which they serve except as authorized or required by law or rules.

5. Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties in connection with work for employers or clients.

6. Licensees shall disclose to their employers or clients all known or potential conflicts of interest or other circumstances that could influence or appear to influence their judgment or the quality of their professional service or engagement.

7. Licensees shall not accept compensation, financial or otherwise, from more than one party for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to in writing by all interested parties.

8. Licensees shall not solicit or accept a professional contract from a governmental body on which a principal or officer of their organization serves as a member. Conversely, licensees serving as members, advisors, or employees of a government body or department, who are the principals or employees of a private concern, shall not participate in decisions with respect to professional services offered or provided by said concern to the governmental body that they serve.

9. Licensees shall not use confidential information received in the course of their assignments as a means of making personal profit without the consent of the party from whom the information was obtained.

c) Licensee's Obligation to Other Licensees

1. Licensees shall not falsify or permit misrepresentations of their, or their firm’s professional qualifications. They shall not misrepresent or exaggerate their degree of responsibility in prior assignments nor the complexity of said assignments. Presentations incidental to the solicitation of employment or business shall not misrepresent pertinent facts concerning employers, employees, associates, joint ventures, or past accomplishments.

2. Licensees shall not offer, give, solicit, or receive, either directly or indirectly, any commission, or gift, or other valuable consideration in order to secure work, and shall not make any political contribution with the intent to influence the award of a contract by public authority.

3. Licensees shall not injure or attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of other licensees, nor indiscriminately criticize other licensees' work.

4. Licensees shall make a reasonable effort to inform another licensee whose work is believed to contain a material discrepancy, error, or omission that may impact the health, safety, or welfare of the public, unless such reporting is legally prohibited.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1270 Illinois Professional Land Surveyor Act of 1989

68 Ill. Adm. Code 1270.58 Seal and Signature Requirements

a) Every individual professional land surveyor shall have a reproducible seal or facsimile, which may be computer generated, the impression of which shall contain the name of the land surveyor, his or her place of business, the license number of the professional land surveyor, and the words "Professional Land Surveyor, State of Illinois". A professional land surveyor shall seal all documents prepared by or under the direct supervision and control of the professional land surveyor. Any seal on a plat of survey, which bears the name of a professional design firm, rather than bearing the name of the individual licensed professional land surveyor responsible for the survey, shall be deemed an invalid seal. The individual licensee's written signature and date of signing, along with the date of license expiration, shall be placed adjacent to the seal. The licensee may provide, at his or her sole discretion, an original signature in the licensee's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer.

b) It is unlawful to affix one's seal to documents if doing so masks the true identity of the person who actually exercised direction, control and supervision of the preparation of that work. A Professional Land Surveyor who seals and signs documents is not responsible for damage caused by subsequent changes to or uses of those documents when the subsequent changes or uses, including changes or uses made by State or local government agencies, are not authorized or approved by the Professional Land Surveyor who originally sealed and signed the documents.

c) All technical submissions issued by a land surveying firm, corporation, limited liability company, professional limited liability company, or partnership are required to bear the corporate or assumed business name and design firm registration number, in addition to the seal requirements.

d) A suggested facsimile of the design and lettering of the seal is found in Section 1270.ILLUSTRATION A.

History

• Source: Amended at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.59 Certificate of Correction

The purpose of a certificate of correction is for the surveyor of record to correct errors or omissions found on any map, plat, exhibit or document prepared by him/her, that identifies legal lines or land title lines of the United States rectangular survey system or any subdivision thereof, which has been signed and certified by them and is of public record.

a) Only the surveyor that signed and sealed the original recorded map, plat, exhibit or document can file a certificate of correction to amend their erroneous data or scrivener’s errors.

b) A certificate of correction will clearly state the name or title and recording information of the map, plat, exhibit or document and identify the specific errors and/or omissions to be corrected.

c) The certificate of correction shall be signed and sealed by the surveyor of the original map, plat, exhibit or document to be corrected.

d) A certificate of correction shall not be used to move, modify, vacate, dedicate, alter or create easements, roadways or setback lines; add or detract lots or land; relocate platted boundary or lot lines, or in any way affect the rights or interests of third parties that were created by the original document.

e) The certificate of correction shall be recorded in the same county or counties as the original map, plat, exhibit or document was recorded.

History

• Source: Added at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.60 Granting Variances

The Director may grant variances from this Part in individual cases when he or she finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.65 Professional Development

The professional development (PD) required as a condition for license renewal under the Illinois Professional Land Surveyor Act is set forth in this Section. All land surveyors shall meet these requirements.

a) Professional Development Hours Requirements

1. Beginning with the November 30, 2006, renewal and every renewal thereafter, in order to renew a license as a land surveyor, a licensee shall be required to complete 20 professional development hours (PDHs) relevant to the practice of land surveying or be exempt from the professional development requirements as provided in subsection (h). All 20 PDHs may be earned through online programs or courses. Failure to comply with these requirements may result in non-renewal of the land surveyor's license or other disciplinary action, or both. The professional development hours shall be in the following categories:

A) A minimum of 4 hours of programs, courses or activities in the area of State of Illinois statutes and rules that regulate professional land surveyors and surveys.

B) A minimum of 2 hours of programs, courses or activities in the area of professional conduct.

C) A minimum of 14 hours of programs, courses or activities in the area of land surveying or related sciences.

2. Beginning with the November 30, 2020 renewal and every renewal thereafter, the total professional development hours shall include one hour of sexual harassment prevention training which shall meet the requirements of 68 Ill. Adm. Code 1130.400 and Section 2105-15.5 of the Civil Administrative Code of Illinois (Department of Professional Regulation Law) [20 ILCS 2105]. A licensee completing a course on sexual harassment prevention developed or offered by the Illinois Department of Human Rights pursuant to the Illinois Human Rights Act [775 ILCS 5], the licensee's employer or an acceptable provider listed within this Section, may count that course toward the one hour requirement under this Section (See Section 2105-15.5 of the Civil Administrative Code of Illinois [20 ILCS 2105/2105-15.5]).

3. A pre-renewal period is the 24 months preceding November of each even-numbered year.

4. One professional development hour shall equal 50 minutes of instruction or participation. If a program is taken that awards continuing education units (CEU) rather than professional development hours, one continuing education unit equals 10 professional development hours of class in an approved continuing education course.

5. Land surveyors licensed in Illinois but residing and practicing in other states shall comply with the PDH requirements set forth in this Section.

6. Professional development units used to satisfy the PDH requirements of another jurisdiction may be applied to fulfill the PDH requirements of the State of Illinois if they are substantially equivalent.

b) Professional development activities shall include, but not be limited to:

1. Successful completion of a college or university course in the area of land surveying, related sciences and surveying ethics. One semester credit hour of course work is equivalent to 15 PDHs and one quarter credit hour of course work is equivalent to 10 PDHs;

2. Successful completion of land surveying courses or programs offering professional development hours, including those offered online. Credit will be given for self-study courses only if an examination has been completed by the licensee and graded by the sponsor;

3. Active participation and successful completion of land surveying programs, seminars, tutorials, workshops, short courses or in-house courses;

4. Attending program presentations at related technical or professional meetings;

5. Teaching or Instructing. Teaching or instructing a land surveying course, seminar, lecture, presentation or workshop shall constitute 3 PDH hours for each hour spent in the actual presentation. Teaching credit shall be valid for the initial presentation only. Teaching credit shall not apply to faculty teaching regularly scheduled curriculum courses at a college, university, or other educational institution;

6. Authoring papers or articles that appear in nationally circulated journals or trade magazines. Credit is earned in the biennium of publication. A maximum of 5 PDHs per renewal are allowed for this activity.

7. Active participation on a professional land surveyor board, committee or holding an office in a professional or technical society.

A) 2 PDHs will be awarded per committee membership or office held.

B) A maximum of 8 PDHs may be accepted per pre-renewal period.

c) All programs or courses shall:

1. Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of land surveying;

2. Foster the enhancement of general or specialized practices and values of land surveying;

3. Be developed and presented by persons with education and/or experience in the subject matter of the program; and

4. Specify the course objectives and course content.

d) Auditing or Restoration

1. It shall be the responsibility of a licensee to maintain a record of PDHs for 6 years that includes one of the following:

A) Documentation consisting of the following items:

i) The name and address of the sponsor or provider;

ii) A brief statement of the subject matter, printed program schedules, registration receipts or other proof of participation;

iii) Certificate of attendance;

iv) The number of PDHs attended in each program; and

v) The date and place of the program; or

B) Transcripts or records of professional development hours maintained by an acceptable provider as set forth in subsection (e).

2. A log of activities by itself shall not be accepted as meeting the requirements of this subsection.

e) Acceptable providers for structured educational activities shall include, but not be limited to:

1. Illinois Professional Land Surveyor Association;

2. National Council of Examiners for Engineering and Surveying (NCEES);

3. National Society of Professional Land Surveyors;

4. American Society of Civil Engineers (ASCE);

5. Colleges, universities or other educational institutions;

6. Technical or professional societies or organizations relating to professional land surveying.

f) The Division shall not pre-approve individual courses or programs.

g) Certification of Compliance with PD Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the professional development requirements set forth in this Section.

2. The Division may require additional evidence demonstrating compliance with the PD requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with PD requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

4. The Division may conduct random audits to verify compliance with professional development requirements.

h) Waiver of PDH Requirements: A licensee shall be exempt from the professional development requirements of this Section if one of the following situations occurs. If an exemption is claimed, it is required that the renewal fee and any documentation needed to support the exemption be submitted for renewal of a license. Waiver requests must be made before the end of the renewal period. Waiver requests sent after the end of the renewal period shall not be considered.

1. A licensee shall not be required to report PDHs during the first biennial renewal period in which the licensee obtained initial licensure in Illinois, but shall be subject to the continuing education requirements for all subsequent biennial renewal periods.

2. A licensee who is on full-time active duty in the military service of the United States, or is a licensee who is called to temporary active duty in the military service or Armed Forces of the United States for a period of time exceeding 120 consecutive days during the renewal period, when that activity or location restricts participation in a continuing education program.

3. A licensee who demonstrates to the satisfaction of the Division that meeting these requirements would be an undue hardship by reason of disability, illness, or other clearly mitigating circumstances shall submit supporting documentation.

A) The documentation shall be in the form of a sworn statement by the licensee, statement from a physician, or medical record showing the disability, illness, or circumstance preventing the licensee's participation in the continuing education program during a substantial part of the renewal period.

B) If the Division finds from the evidence that good cause has been shown for non-compliance, the Division will waive enforcement, extend the time within which the applicant shall comply, or establish a particular program or schedule of continuing education for the renewal period in which the undue hardship existed.

C) Consecutive waiver requests made for reasons of disability, illness, or other circumstances may be prima facie evidence for non-renewal of applicant's license based on inability to actively engage in licensed practice.

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section, shall be deemed to be in good standing until the final decision on the request for a waiver is made by the Division.

History

• Source: Amended at 49 Ill. Reg. 10122, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1270 Illinois Professional Land Surveyor Act of 1989

68 Ill. Adm. Code 1270.APPENDIX A Rules for the Perpetuation of Monuments Under the Land Survey Monuments Act

a) The Land Survey Monuments Act [765 ILCS 220] requires a licensed land surveyor to record a monument record when he/she conducts a survey that uses as a control corner any public land survey monument, or when he/she establishes, re-establishes, restores or rehabilitates any public land survey monument, except when there exists a monument record and the monument is found as described in the record. All licensed land surveyors who conduct surveys pursuant to the Land Survey Monuments Act shall comply with standards set forth in this Section. Violation of the Land Survey Monuments Act shall be considered a Class A misdemeanor pursuant to Section 11 of the Act.

b) Every section corner and quarter section corner is a public land survey monument. The monumentation of other points resulting from the subdivision of a section is not a requirement of the Act. Only when a public land survey monument is used for making a survey is recording of a monument record a requirement of the Act. The licensed land surveyor may utilize information from previous surveys providing it is sufficient to locate, establish or re-establish the public land survey monument and is adequate for preparing the monument record.

c) A monument record means a written and illustrated document describing the physical appearance of a survey monument and its accessories. The monument record shall be presented and recorded in accordance with the following specifications:

1. It shall have an overall width of 8½ inches and an overall length of 11 inches.

2. It shall have a clear one-half inch border on the top, bottom and both sides.

3. A 3" x 5" block in the upper right corner shall be reserved for the use of the County Recorder of Deeds.

4. Paper on which the form is printed shall have a minimum rag content of 25 percent and shall be 20 pound weight.

5. The height of lettering or typing shall be one tenth of an inch and shall have a clarity suitable for microfilming and reproducing. A maximum of 4 sheets may be used as one document.

6. There shall be no more than 4 monuments shown on each record and all monuments must be for a common section.

7. The surveyor may show geodetic position or other information at his/her option, providing it does not detract from the clarity of the requirements of the monument record.

8. The drawing shall be orientated with North at the top of the form.

9. The monument record shall be recorded at the time of recording the survey if the survey is placed on record, but in no case more than 40 days after the survey is completed.

10. Each monument record shall describe at least 3 accessories or reference points.

11. All monument records shall be signed by a licensed land surveyor or by the chief of a survey party in an agency of the United States government.

d) It is recommended that, in addition to the monument record requirements set forth above, additional data to add to the monument record to aid in future recovery may include the following:

1. the company's job number of the survey project;

2. the date the survey plat was completed;

3. the name of the firm, surveyor's name and field book with page number;

4. distances and bearings to the nearest quarter or section corner monument;

5. general location of ties (i.e., in ditch line, 5' east of edge of pavement, etc.);

6. the amount of cover, if any, over the monument;

7. the proper or government township name;

8. that distances are slope or horizontal;

9. any known history of the monument (e.g., the monument was shown on a plat of survey by Super Surveyors, Inc., dated August 16, 1937, and recorded in Surveyors Book 2, page 29, in the County Recorder's Office).

e) The Land Survey Monuments Act states that a monument shall be in such a physical condition that it remains as permanent a monument as is reasonably possible and, if practical, the Illinois license number of the land surveyor who records the monument record shall be affixed securely to the top of the monument at the public land survey corner. When it is not practical to affix the land surveyor's Illinois license number on the monument, the number may be affixed to one of the reference points.

f) As a minimum the monument must be a standard weight steel pipe, one-half inch diameter, 30 inches long or a solid steel rod one-half inch diameter, 30 inches long.

g) Should the monument fall on a concrete surface, a survey marker permanently anchored into the concrete is acceptable. Should a stone be found and the size is such to make it reasonably permanent, it should remain and ferrous material be placed over or adjacent to the monument to facilitate its recovery.

h) Pursuant to Section 3.04 of the Land Survey Monuments Act, "accessory" is defined as any physical evidence in the vicinity of a survey monument or position thereof, the relative position of which is of public record and which is used to perpetuate the location of the monument.... Ties are considered accessories.

1. If monument record ties are found to have a questionable future, make an effort to establish permanent ties and file a new monument record.

2. In an area void of nearby physical tie points, resort to angular ties such as building corners, the centers or faces of chimneys, steeples, water towers or other structures.

3. A description of a tie point shall be as specific as possible and may include such things as:

A) The exact location on a right of way marker or other square shaped tie, such as apex, northeast corner or center of east face at ground level;

B) Chiseled cross on northwest cap bolt of hydrant;

C) Back of concrete curb at joint of radius return;

D) Chiseled cross on south side of rim on sanitary sewer manhole;

E) Southwest corner of concrete foundation; or

F) Punch mark on top of west end of 15 inch corrugated metal pipe culvert.

i) Other considerations when conducting a survey to establish a monument record:

1. Lower the monument if it appears to be in danger of being destroyed due to grading, road improvement, cultivation, etc.

2. Make an attempt to contact adjoining property owners to ascertain if the monument is generally recognized and accepted to be the corner in question.

3. Make an attempt to show the adjoining property owners, road commissioner or highway official the location of the monument and supply them with a copy of the monument record for future use.

4. Maintain respect for private property. Do not paint or put nails in or survey ribbon on private property without permission.

j) The Division is cognizant of the long range public benefit derived by the perpetuation of the public land survey monuments. The Act has no provision that would exempt a particular type of survey from complying with the Act if a public land survey monument is used. Therefore, strict adherence is a legal requirement.

History

• Source: Amended at 31 Ill. Reg. 1832, effective January 8, 2007

68 Ill. Adm. Code 1270.APPENDIX B: Significant Dates for the Administration of the Act

a) May 10, 1901. An Act to provide for the permanent survey of lands. Repealed July 8, 1957.

b) July 21, 1937. An Act entitled “An Act to provide for the registration of land surveyors” was filed. This Act was repealed in 1939.

c) July 29, 1939. The Illinois Land Surveyors Act was enacted. The requirements for examination were: 21 years of age, citizen of the US, good moral character, graduated from a high school or secondary school, has 5 years' experience. The examinations were state-constructed and given by the Department of Registration and Education. Partnerships regulated. Committee of Examiners established. Surveyors in other States may be licensed if requirements are substantially equal to the requirements in this State.

d) July 16, 1963. Act amended to allow temporary permit: no more than one project and does not exceed in the aggregate more than 30 days in any calendar year. Experience granted for each one-fourth of the total hours of academic credit required for the awarding of a baccalaureate degree in civil engineering by an accredited engineering college shall be considered as equivalent to one year of Land Surveying experience; provided that undergraduate academic credit shall not be accepted in lieu of more than 3 years of Land Surveying experience when such credit does not result in the granting of a baccalaureate degree in civil engineering. Committee of Examiners increased from three to five members with new members appointed as of September 1, 1963.

e) April 27, 1967. Examinations will consist of questions in the following area relating to land surveying: (a) The statutes of the United States and the State of Illinois as they relate to land surveying, (b) The subdivision of land and (c) Practical surveying and the mathematics of land surveying. The applicant must make an average grade of not less than 75 percent with no grade below 60 to successfully complete the examination. Applicants for registration through reciprocity must appear before the Examining Committee and submit evidence of his qualifications. Discrimination: It is unprofessional and unethical conduct on the part of a registrant who refuses to render land surveyor services to a person solely on account of that person’s race, color, creed, or national origin.

f) August 7, 1969. Minimum age for licensure was increased to 25 years of age with a total of 8 years of experience and 4 years of responsible charge. Adds corporations to be regulated that offer land surveying. The portion of examination taken to be enrolled as a Land Surveyor in Training is waived when taking the portion of the Registered Land Surveyor examination.

g) August 14, 1980. Time limit established by Act: A Certificate of Registered Land Surveyor in Training is valid for 10 years and may not be renewed.

h) July 21, 1982. The creation of the Design Professionals Administration and Investigation Fund. Effective July 1, 1985, all fees collected will be deposited in the Design Professionals Administration and Investigation Fund and no longer into the General Revenue Fund.

i) January 1, 1982. Effective January 1, 1986, such experience in responsible charge must be subsequent to receiving a certificate of registration as a Registered Land Surveyor in Training. Responsible charge of land surveying operations under this Act means the direct control and supervision of such operations but subject to overall supervision of a Registered Land Surveyor. Qualifications for examination for registered land surveyor in training: (1) A baccalaureate degree in Land Surveying from an accredited college or university, or (2) A Bachelor of Science degree from an accredited college or university and 2 years of land surveying experience, or (3) An Associate degree in Land Surveying Technology from an accredited junior college and 3 years land surveying experience, or (4) An Associate degree in Engineering Technology from an accredited junior college and 4 years land surveying experience, or (5) A high school diploma or its equivalent and 8 years land surveying experience.

j) January 1, 1984. Inactive status and restoration established. The temporary permit for Land Surveying was repealed by P.A. 83-1017.

k) April 1984. Illinois first administered the NCEE Fundamentals of Surveying, a 4-hour examination (FLS) for enrollment as a LSIT, and the NCEE Principles and Practice of Surveying, a 4-hour examination (PLS 1) for licensure. This replaces the State constructed examinations.

l) August 10, 1984. Five references are required for either the LSIT or Registered Land Surveyor. Establishment of the requirement to take the Illinois Jurisdictional Examination in addition to the NCEE exams.

m) October 1986. NCEE changed the PLS 1 (4-hour exam) to the PLS 2a (3-hour exam) with an additional 1-hour Public Domain portion. The Illinois Jurisdictional Examination was 1-hour.

n) January 6, 1987. Definitions of Related Sciences

1. A baccalaureate degree in a Related Science is a four-year curriculum that includes core courses in at least the following subjects for the noted semester hours or their equivalent:

A) Mathematics (beyond trigonometry) – 15 hours.

B) Basic Sciences (physics, chemistry, geology) – 15 hours.

C) Additional Sciences – 15 hours.

2. An associate degree in a Related Science is a two-year curriculum that includes core courses in at least the following subjects for the noted semester hours or their equivalent:

A) Mathematics (beyond trigonometry) – 3-6 hours.

B) Basic Sciences (physics, chemistry, geology) – 4-6 hours.

C) Additional Sciences – 4-6 hours.

o) January 8, 1987. Applicants for licensure on the basis of reciprocity must hold a valid certificate of Registration as a Land Surveyor issued under the laws of another jurisdiction and must provide proof satisfactory to the Department that they met the requirements equivalent to those in force in Illinois at the time of his licensure by examination, including certification of education, affidavits of experience, certification by the jurisdiction of the original licensure date and descriptions of examinations; those who qualify shall write the Illinois Jurisdictional Examination. Candidates from another jurisdiction for whom the Examining Committee has questions shall appear for an oral interview. All other candidates will be reviewed upon the documents submitted. The requirement for all applicants by reciprocity to appear for an oral interview was eliminated.

p) January 1, 1989. The Act was sunsetted and revised and may be cited as the Illinois Professional Land Surveyor Act of 1989. The Examining Committee was reestablished as the Land Surveyor Examining Board consisting of 7 members appointed by the Director, one of which is a public member, the others Professional Land Surveyors, all residents of Illinois. Requirements for licensure as a Land Surveyor were 1) applied in writing, 2) citizen of the US, 3) good moral character, 4) has acquired an Illinois license as a Land Surveyor-in-Training, 5) has at least 4 years of experience subsequent to licensure as a LSIT verified by a Professional Land Surveyor in responsible charge of land surveying operations and then, 6) passes an examination authorized by the Department to determine his fitness as a Professional Land Surveyor (PLS and Illinois Jurisdictional exams). Experience is required to be completed after passage of the FS and prior to submitting an application for approval to sit for the PS and Jurisdictional examination. The requirements for enrollment by examination for Land Surveyor-in-Training: (1) A baccalaureate degree in Land Surveying from an accredited college or university, or (2) A Bachelor of Science degree from an accredited college or university and 2 years of land surveying experience, or (3) An Associate degree in Land Surveying Technology from an accredited junior college and 3 years land surveying experience, or (4) An Associate degree in Engineering Technology from an accredited junior college and 4 years land surveying experience or (5) A high school diploma or its equivalent and 8 years land surveying experience. Deadlines for submitting the completed applications (either for the FS or the PS exams) were established as December 15 for the spring examination and June 15 for the fall examination.

q) January 1, 1989. The Act specified that as of January 1, 1998, an applicant must have a baccalaureate degree in land surveying from an accredited college or university, or a baccalaureate degree in a related science including at least 24 semester hours of land surveying courses from a Board approved curriculum of an accredited institution, to be eligible for licensing as a Land Surveyor-in-Training.

r) January 1, 1989. Endorsement of licensure replaces reciprocity. Requirements are based upon those extant in Illinois at the time of original licensure (education, experience and examinations) and passing the Illinois Jurisdictional examination.

s) January 1, 1989. The Act specified that the seal of the Professional Land Surveyor will contain the name of the land surveyor, his place of business, the license number, and the words “Professional Land Surveyor, State of Illinois”.

t) April 2, 1991. Definitions of Related Sciences

1. A baccalaureate degree in a Related Science is a four-year curriculum that includes core courses in at least the following subjects for the noted semester hours or their equivalent:

A) Mathematics (beyond trigonometry) – 15 hours.

B) Basic Sciences (physics, chemistry, geology) – 15 hours.

C) Additional Sciences – 15 hours.

2. An associate degree in a Related Science is a two-year curriculum that includes core courses in at least the following subjects for the noted semester hours or their equivalent:

A) Mathematics (beyond trigonometry) – 3 hours.

B) Basic Sciences (physics, chemistry, geology) – 4 hours.

C) Additional Sciences – 4 hours.

u) April 2, 1991. Examination requirements: 1) NCEES Fundamentals of Land Surveying Examination (for enrollment as a LSIT), 2) NCEES Principles and Practice of Land Surveying Examination, 3) NCEES Public Domain (Jurisdictional Principles and Practice) examination and 4) Illinois Jurisdictional Examination.

v) April 2, 1991. Section 1270.35 Inactive Status was added to the administrative rules allowing a Licensed Professional Land Surveyor with an active license to place his license on inactive status.

w) April 2, 1991. Reciprocity replaced by “Endorsement” which requires all applicants from another jurisdiction to have met the education, experience and examinations (State constructed or NCEES examinations) required in Illinois at the time of original licensure and to pass the Illinois Jurisdictional Examination in order to be licensed.

x) October 1992. NCEES changed the PLS 2a exam to the PLS (6-hour exam) and eliminated the Public Domain examination.

y) April 5, 1994. Experience defined in the administrative rules consisting of two-thirds to be either A) locating land boundaries and land boundary corners including the following services: i) Researching public and private records; ii) Relocation lost or obliterated corners, iii) Establishing, reestablishing or perpetuating survey monuments; iv) Subdividing sections; v) Establishing or retracing property lines to determine length and bearing; vi) Reestablishing obliterated property lines; vii) Preparing descriptions of real property from data acquired by field measurements; viii) Conducting resurveys; and ix) Writing and interpreting land descriptions, and B) Preparing maps including, i) Maps of sections or portions of sections or townships as established by the original public land survey and subdivisions of those sections in accordance with the manuals of surveying instructions by the federal government and the State of Illinois; ii) Subdivision plans prepared in accordance with the Illinois statutes or local ordinances; iii) Certified survey maps prepared in accordance with the Illinois statutes or local ordinances; iv) Maps showing other divisions of land not controlled by statute or ordinance; and v) Official plats or maps of land in this State. No more than one-third of a Surveyor-in-Training applicant’s experience may be acquired in A) Drafting highway and railroad rights-of-way plans; B) Construction stating for highways, roads, streets or similar projects within the boundaries of established rights of way; C) Performing topographical surveys; D) Developing control networks for aerial photography unless property lines are used for control; and E) Performing new building layout or construction surveys or other design related surveys.

z) November 15, 1995. Section 1270.55 establishing the Land Surveyor Complaint Committee was added to the administrative rules.

aa) April 3, 1996. Section 1270.APPENDIX A Rules for the Perpetuation of Monuments under the Land Survey Monuments Act was added to the administrative rules.

ab) August 1, 1996. Act required: Any professional services corporation, sole proprietorship, or professional land surveying firm offering land surveying services must have a resident land surveyor overseeing the land surveying practices in each location in which land surveying services are provided.

ac) August 2, 1996. The requirements for evaluation of foreign degree were established in the Act. The requirement for the Test of English as a Foreign Language (TOEFL) and the Test of Spoken English (TSE) were established in the Act. Effective January 1, 1997, TOEFL with a score of 550 and TSE with a score of 50 were required by rule. Dates for completed application to the Department for review by Board were established as November 15 for the spring examination and May 15 for the fall examination.

ad) January 1, 1998. As of this date, all applicants applying for the LSIT must have either: (1) a baccalaureate degree in Land Surveying from an accredited college or university; or (2) a baccalaureate degree in a related science including at least 24 semester hours of land surveying courses from a Board approved curriculum of an accredited institution. Applicants who were approved prior to this date for the LSIT would not be required to have the education reviewed unless they did not apply for and acquire licensure before the LSIT expired (valid only for 10 years). Anyone who re-applied for the FS must meet the new education requirements.

ae) December 31, 1999. Section 1270.52 Fees was added to the administrative rules and taken out of the Act.

af) January 1, 2000. The name was changed from the land Surveyor Examining Board to the Land Surveyor Licensing Board. The Act eliminated the requirements that the managing agent for a Professional Design Firm be one of the officers/members/partners and that a majority of the officers/members/partners be licensed land surveyors. The Act still required the managing agent to be a full-time employee.

ag) January 1, 2000. Continuing education was added to the Act: the Department may promulgate rules of continuing education for persons licensed under this Act.

ah) November 20, 2000. Section 1270.56 Minimum Standards of Practice was added to the administrative rules.

ai) November 20, 2000. Section 1270.57 Standards of Professional Conduct was added to the administrative rules.

aj) March 1, 2001. Section 1270.15 – Definition of Related Science – education requirements reduced to:

A baccalaureate degree in a Related Science is a four-year curriculum that includes core courses in at least the following subjects for the noted semester hours or their equivalent:

1. Mathematics (college algebra and beyond) – 15 hours.

2. Basic Sciences (physics and/or chemistry) – 8 hours.

3. Additional Basic Sciences (including, but not limited to: geology, geography, dendrology, astronomy, biology, soil mechanics, and engineering sciences) – 20 hours.

ak) July 2, 2002. Section 1270.85 Professional Development was added to the rules. The professional development required as a condition for license renewal under the Illinois Professional Land Surveyor Act: All Land Surveyors shall meet these requirements beginning with the November 30, 2004 renewal and every renewal thereafter, in order to renew a license as a land surveyor, a licensee shall be required to complete 20 professional development hours (PDH) relevant to the practice of land surveying. Failure to comply with these requirements may result in non-renewal of the land surveyor’s license or other disciplinary action, or both.

al) November 10, 2004. Section 1270.85 amended to specify that hours be in the following categories:

1. A minimum of 4 hours of programs, courses or activities in the area of State of Illinois statutes and rules that regulate professional land surveyors and surveys.

2. A minimum of 2 hours of programs, courses or activities in the area of professional conduct.

3. A minimum of 14 hours of programs, courses, or activities in the area of land surveying or related sciences.

4. No more than half (10) of the hours may be obtained from on-line, distance learning or video courses; however, the 4 hours required in subsection (a)(1)(A) may not be obtained in this manner.

am) August 29, 2009. Act was amended to allow an applicant to sit for the Fundamentals of Surveying and be enrolled as an LSIT meeting one of the following: 1) Accredited Land Surveying baccalaureate degree, 2) baccalaureate degree in Related Science with at least 24 semester hours of land surveying courses, 3) an Associate of Science degree in surveying or a related sciences with at least 24 semester hours of land surveying courses and at least 2 years of experience or 4) a high school diploma or equivalent with at least 24 semester hours of land surveying courses and at least 4 years of experience. As no administrative rules were put in place before the Act changed again in 2012, no applicants for the FS were reviewed to meet the educational requirements of Section 1270.15 except for the 24 semester hours of land surveying courses.

an) August 29, 2009. The minimum requirements to sit for the Principles and Practice examination and the Illinois Jurisdictional exam were changed from having an active LSIT to having an active LSIT with either a 1) accredited Land Surveying baccalaureate degree or 2) a baccalaureate degree in a Related Science with at least 24 semester hours of land surveying courses, with the degree meeting the Related Science course requirements in Section 1270.15. A LSIT was no longer sufficient to be approved to sit for the PS and Illinois Jurisdictional examinations.

ao) In March of 2010, the Test of English as a Foreign Language (TOEFL) and the Test of Spoken English (TSE) ceased to be offered as the TOEFL-iBT (Internet Based Test) was established and superseded this exam. While in effect, the TOEFL and TSE requirements were a minimum score of 550 or 213 for the computer based-test and that TSE was a minimum score of 50.

ap) April 27, 2010. Section 1270.56 Minimum Standards of Practice was amended to include the standards for a topographic survey.

aq) January 1, 2012. Act was amended back to requiring either a 1) land surveying baccalaureate degree, or 2) a Related Science degree meeting the specific requirements of Section 1270.15 (24 semester hours of land surveying courses, 15 hours math, 8 hours physics or chemistry and 20 hours of additional basic sciences) in order to sit for the FS and be enrolled as a LSIT. The qualifications for sitting for the PS and the Illinois Jurisdictional examination were kept to be either 1) accredited Land Surveying baccalaureate degree or 2) a baccalaureate degree in a Related Science with at least 24 semester hours of land surveying courses, with the degree meeting the specifications of Section 1270.15. Any applicant who had been previously approved to sit for the FS exam was required to have the new application reviewed in order to determine that they met the current education requirements for licensure.

ar) January 1, 2014. NCEES changed the Fundamentals of Surveying examination from a 6-hour paper exam to a Computer Based Test (CBT) which became available to be taken up to a maximum of three times in a year, available through Pearson Vue testing centers once a quarter.

as) January 1, 2014. Written signature no longer required: Licensee may provide, at his or her sole discretion, an original signature in the licensee’s handwriting, a scanned copy of the document bearing an original signature or signature generated by a computer.

at) November 13, 2015. Section 1270.5, 1270.10, and 1270.30 allow evaluation to be completed by NCEES.

au) October 2016. The PLS examination was changed from a 6-hour paper exam to a Computer Based Test (CBT) available continuously throughout the year for those approved to sit. The applicant could take the exam up to 3 times a year, with a maximum of once per quarter. NCEES stopped registering applicants to take state constructed exams. CTS is to increase the administering of the Illinois Jurisdictional examination to four times a year from twice a year.

av) January 1, 2018. Changes to Act took place.

1. The term Land Surveyor-in-Training was changed to Surveyor Intern.

2. The Fundamentals of Engineering examination and SIT(SI) enrollment no longer expire.

History

• Source: Added at 47 Ill. Reg. 798, effective January 5, 2023

68 Ill. Adm. Code 1270.ILLUSTRATION A Professional Land Surveyor Seal and Signature

History

• Source: Added at 47 Ill. Reg. 798, effective January 5, 2023

Part 1275 Landscape Architecture Registration Act

68 Ill. Adm. Code 1275.10 Application for Registration Under Section 11(e) of the Act (grandfather) (repealed)

History

• Source: Repealed at 22 Ill. Reg. 10597, effective June 1, 1998

68 Ill. Adm. Code 1275.15 Application for Registration Under Section 55 of the Act (grandfather)

a) Pursuant to Section 55 of the Landscape Architecture Registration Act (Act) [225 ILCS 316], the Department of Financial and Professional Regulation – Division of Professional Regulation (Division) will restore a landscape architecture registration to active status without a fee, if the registrant was actively registered and in good standing under the Illinois Landscape Architecture Act of 1989 [225 ILCS 315] prior to January 1, 2020, as determined by Division records.

b) A certification of registration issued under this Section shall remain active until the next scheduled renewal date, at which time, the registrant must comply with all requirements set forth in Section 1275.70.

History

• Source: Added at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.20 Acceptable Education Programs

An applicant for registration as a landscape architect must complete education in landscape architecture by satisfying the requirements from either an Approved Program or a Non-Approved Program as defined in this Section. Any applicant who gained a baccalaureate education outside the United States and is not Landscape Architectural Accreditation Council (LAAC) accredited, shall have the education evaluated, at the applicant's expense. Applicants shall obtain the forms from the Educational Credential Evaluators (ECE) at https://www.ece.org/ and have the evaluation sent from ECE to the Division for review by the Board. The Board will review the evaluation to determine if the applicant's credentials are substantially equivalent to the educational requirements set forth in this Section.

a) Approved Program

1. The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) has determined that landscape architecture programs accredited by the Landscape Architectural Accreditation Board (LAAB) or the Canadian Society of Landscape Architects Accreditation Council (CSLAAC) are considered to meet the minimum criteria for education programs and are, therefore, approved.:

2. In determining whether a program shall be approved, the Division shall take into consideration, but not be bound by, accreditation or approval by the LAAB.

3. The Division has determined that all landscape architecture programs accredited or approved by the LAAB as of January 1, 1998 meet the minimum criteria set forth in this Section and are, therefore, approved.

b) Non Approved Program

1. A non-approved program shall be defined as a degree which was gained from an educational institution legally recognized by the jurisdiction in which it is located to confer a degree of at least two years in length, and which:

A) Satisfies the alternative education requirements specified within the Council of Landscape Architectural Registration Board Uniform Standard; and

B) Satisfies the direct supervision experience requirement specified within Section 1275.30(b).

2. Educational courses taken may be completed prior to, concurrent with, or subsequent to receiving a baccalaureate degree.

History

• Source: Amended at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.30 Experience

a) An applicant must gain experience in the following practice domains to ensure competency necessary to protect the public and the environment:

1. Project and Construction Management: includes pre-project management, project management, bidding, construction, and maintenance;

2. Inventory and Analysis: includes site inventory, physical analysis, and contextual analysis;

3. Design: includes stakeholder process, master planning, and site design;

4. Grading, Drainage, and Construction Documentation: includes site preparation plans, general plans and details, specialty plans, and specifications.

b) Applicants with an accredited degree must have completed two years of experience in the regulated practice of landscape architecture, with at least one year under the direct supervision of a licensed or registered landscape architect. If an applicant completes only one year under the direct supervision of a licensed or regulated landscape architect, then the second year of experience must be completed under the direct supervision of a licensed professional engineer or licensed architect.

c) In lieu of a degree in landscape architecture accredited by LAAB, LAAC, or their international equivalent, an applicant must obtain eight years of experience in the regulated practice of landscape architecture. At least half of the eight years of experience must be earned under the direct supervision of a licensed or registered landscape architect. All experience shall be under the direct supervision of a licensed or registered landscape architect, licensed architect, or licensed professional engineer.

1. If an applicant holds a non-accredited degree or certificate in landscape architecture, then the applicant may be credited with one year of experience for each year of schooling completed up to a maximum of four years of credited experience. At least half of the remaining years of experience must be earned under the direct supervision of a licensed or registered landscape architect. All experience shall be under the direct supervision of a licensed or registered landscape architect, licensed architect, or licensed professional engineer; or

2. If an applicant holds any degree or certificate, then the applicant may be credited with six months of experience for each one year of schooling completed up to a maximum of two years of credited experience. At least half of the remaining years of experience must be earned under the direct supervision of a licensed or registered landscape architect. All experience shall be under the direct supervision of a licensed or registered landscape architect, licensed architect, or licensed professional engineer.

d) Proof of experience must be submitted on forms provided by the Division or as part of a Council of Landscape Architectural Registration Boards (CLARB) Record.

History

• Source: Amended at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.40 Application for Registration

a) A landscape architect applicant shall file an application, on forms supplied by the Division that includes:

1. Official transcripts verifying conferral of a degree from an approved landscape architecture program as set forth in Section 1275.20;

2. Certification, on forms provided by the Division, of professional experience as set forth in Section 1275.30;

3. Certification, on forms provided by the Division, of successful completion of the examination as set forth in Section 1275.50;

4. The fees required by Section 1275.75.

b) In lieu of the certification required in subsections (a)(1), (a)(2) and (a)(3), the Division shall accept certification from the Council of Landscape Architectural Registration Boards (CLARB) as long as the applicant meets the other requirements for registration under this Section.

c) An applicant who gained a baccalaureate education outside the United States and is not LAAC accredited, shall have the education evaluated, at the applicant's expense. Applicants shall obtain the forms from the Educational Credential Evaluators (ECE) at https://www. ece.org/ and have the evaluation sent from ECE to the Division for review by the Board. The Board will review the evaluation to determine if the applicant's credentials are substantially equivalent to the educational requirements set forth in Section 1275.20.

History

• Source: Amended at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.50 Examination

a) The examination for registration as a landscape architect shall be developed and administered by CLARB. The current examination approved by the Division is CLARB's Landscape Architect Registration Examination ("L.A.R.E.").

b) The passing score on the examination shall be the passing score established by the testing entity.

c) Upon attesting to CLARB of conferral of a degree from an LAAB or CSLAAC accredited curriculum in landscape architecture set forth in Section 1275.20, an applicant for examination as a landscape architect may sit for the examination as early as can be scheduled after conferral of the degree.

d) Upon attesting to CLARB of meeting the alternative education set forth in Section 1275.20 and meeting the portion of the experience required under the direct supervision of a licensed or registered landscape architect set forth in Section 1275.30, an applicant for examination as a landscape architect may sit for the examination.

History

• Source: Amended at 49 Ill. Reg. 8323, effective June 5, 2025

68 Ill. Adm. Code 1275.60 Endorsement

a) An applicant for registration as a landscape architect who is licensed or registered under the laws of another state or territory of the United States or foreign country shall file an application with the Division, on forms provided by the Division, that includes:

1. Official transcripts verifying conferral of a landscape architecture degree from a program approved by the Division in accordance with Section 1275.20;

2. Certification, on forms provided by the Division, of professional experience as set forth in Section 1275.30;

3. Certification, on forms provided by the Division, from the state or territory of the United States, or foreign jurisdiction, in which the applicant was originally licensed or registered and the state, territory or foreign jurisdiction in which the applicant predominantly practices and is currently licensed or registered, stating:

A) The time during which the applicant was licensed or registered;

B) Whether the file of the applicant contains any record of any disciplinary actions taken or pending; and

C) Examinations taken and examination scores received;

4. The required fee set forth in Section 1275.75;

5. In lieu of the certifications required by subsections (a)(1), (a)(2) and (a)(3), the Division shall accept certification from CLARB as long as the applicant meets the other requirements for registration under this Section.

6. The Division, upon recommendation of the Board, may require an applicant applying from a foreign jurisdiction to take and pass the required registration examination specified in Section 1275.50 of this Part, to verify the applicant has satisfactory knowledge and competence using U.S. accessibility, building, energy conservation, electrical, fire, plumbing, etc. codes, municipal zoning ordinances and applicable design standards to safeguard the health, safety, and welfare of the public.

b) An applicant who gained a baccalaureate education outside the United States and is not LAAC accredited, shall have the education evaluated, at the applicant's expense. Applicants shall obtain the forms from the Educational Credential Evaluators (ECE) at https://www.ece.org/ and have the evaluation sent from ECE to the Division for review by the Board. The Board will review the evaluation to determine if the applicant's credentials are substantially equivalent to the educational requirements set forth in Section 1275.20. The Division may require additional information to determine if the requirements in the state or territory were substantially equivalent to the requirements in effect in Illinois at the time of application to determine whether the requirements of the state or territory, together with education and professional experience qualifications of the applicant, are substantially equivalent to the requirements in Illinois at the time of application.

c) The Division may, in individual cases, upon recommendation of the Board, waive passage of one or more parts of the examination upon proof that the applicant has been lawfully engaged in the profession of registered landscape architecture in another jurisdiction for a minimum of 5 years and has provided evidence demonstrating competence in the area or areas of the examination being considered for waiver (i.e., landscape architecture education, training and experience). If an applicant has previously failed to pass a part or parts of the examination, the applicant shall not be granted a waiver for that part or parts pursuant to this provision.

d) The Division shall either issue a registration as a landscape architect to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 49 Ill. Reg. 8323, effective June 5, 2025

68 Ill. Adm. Code 1275.65 Inactive Status

a) Registered landscape architects may elect to place their registration on inactive status by completing and submitting forms provided by the Division for that purpose. Registrants on inactive status shall be excused from the payment of renewal fees.

b) Any registered landscape architect seeking restoration from inactive status shall do so in accordance with Section 1275.80.

c) Any person whose registration is on inactive status shall not use the title "registered landscape architect" or "landscape architect" in the State of Illinois.

History

• Source: Amended at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.70 Renewal

a) Every registration issued under the Act shall expire on August 31 of odd-numbered years. The holder of a registration may renew the registration during the month preceding its expiration date by paying the required fee.

b) It is the responsibility of each registrant to notify the Division of any change of address or email address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's registration.

History

• Source: Amended at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.75 Fees

The following fees may be paid to the Division and are not refundable:

a) Application Fees. The fee for application for registration as a landscape architect is $175. In addition, applicants for an examination shall be required to pay to the designated testing service a fee covering the cost of providing the examination.

b) Renewal Fees. The fee for the renewal of a registration is $125.

c) General Fees

1. The fee for the restoration of a registration other than from inactive status is $50 plus payment of all lapsed renewal fees, not to exceed $425.

2. Registrants may print out a certificate of registration through the Department website. There is no charge for the issuance of a replacement certificate of registration that has been lost or destroyed, or for issuance of a certificate of registration with a change of name or address.

3. The fee for a certification of a registrant's record for any purpose is $25.

d) Additional Fees

1. Any person who delivers a check or other payment to the Department that is returned to the Department unpaid by the financial institution upon which it is drawn shall pay to the Department, in addition to the amount already owed to the Department, a fee of $50.

2. If the check or other payment was for a renewal or issuance fee and that person practices without paying the renewal fee or issuance fee and the fee for a returned check, an additional fee of $100 shall be imposed.

3. The fees imposed by this Section are in addition to any other discipline provided under the Act for registered practice on a nonrenewed registration. The Division will notify the person that fees shall be paid to the Department by certified check or money order within 30 calendar days of the notification.

4. If, after the expiration of 30 days from the date of the notification, the person has failed to submit the necessary remittance, the Division will automatically terminate the registration or certificate or deny the application without hearing.

5. If, after termination or denial, the applicant seeks a registration or certificate, the applicant shall apply to the Division for restoration or issuance of the registration or certificate and pay all fees due to the Department. The Department may establish a fee for the processing of an application for restoration of a registration or certificate to pay all expenses of processing this application.

6. The Director may waive fees due under this Section in individual cases when the Director finds that the fees would be unreasonable or unnecessarily burdensome.

e) All of the fees collected pursuant to this Section shall be deposited in the General Professions Dedicated Fund (See Section 70 of the Act [225 ILCS 316/70]).

History

• Source: Amended at 49 Ill. Reg. 8323, effective June 5, 2025

68 Ill. Adm. Code 1275.80 Restoration

a) A person seeking restoration of a registration that has expired or been on inactive status for less than five years, or has been placed on nonrenewed status, shall file an application on forms provided by the Division, together with the restoration fees specified in Section 1275.75. When restoring a registration from inactive status, a person is required to pay the current renewal fee set forth in Section 1275.75, and to submit proof of completing the required CE as defined in Section 1275.85 of this Part and gained within the two years prior to the date of submitting the application.

b) A person seeking restoration of a registration after it has expired or been placed on inactive status for more than five years shall file an application, on forms supplied by the Division, together with the following:

1. The restoration fees specified in Section 1275.75. When restoring a registration from inactive status, a person is required to pay the current renewal fee set forth in Section 1275.75, submit proof of CE completion as defined in Section 1275.85 of this Part and gained within the two years prior to the date of submitting the application; and

2. One of the following:

A) Certification of active practice in another jurisdiction. The certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of the active practice;

B) An affidavit attesting to military service as provided in Section 12 of the Act;

C) Proof of passage of the L.A.R.E. examination during the period the registrant was lapsed or on inactive status; or

D) Proof of employment in a responsible capacity under the direct supervision and control of a registered or licensed landscape architect, licensed architect or licensed professional engineer, as set forth in Section 1275.30.

c) Any person seeking restoration of a registration within two years after discharge from military service pursuant to Section 50 of the Act will be required to pay only the current renewal.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the person seeking restoration of a registration shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information. Upon the recommendation of the Board and approval by the Division, an applicant shall have the registration restored.

History

• Source: Amended at 49 Ill. Reg. 8323, effective June 5, 2025

68 Ill. Adm. Code 1275.85 Continuing Education

a) Continuing Education

1. Beginning with the 2027 renewal (for the period from September 1, 2025, through August 31, 2027) and every renewal thereafter, in addition to other requirements, every applicant for renewal of landscape architect registration shall complete 24 credit hours of continuing education ("CE") relevant to landscape architecture, or be exempt from the continuing education requirements, as provided in subsection (f). Failure to comply with these requirements may result in non-renewal of the landscape architect's registration, other disciplinary action, or both.

A) A minimum of 16 core hours are required, which must be relevant to safeguarding public health, safety, and welfare ("HSW"), and acquired in structured educational activities defined in subsection (b)(1) of this Section. The 16 hours shall include the following two courses:

i) A minimum of one-hour of sexual harassment prevention training that shall meet the requirements of 68 Ill. Adm. Code 1130.400. A registrant completing a course on sexual harassment prevention developed or offered by the Illinois Human Rights Act [775 ILCS 5], the registrant's employer, or an acceptable provider listed within this Section, may count that course toward the one-hour requirement under this Section (See Section 2105-15.5 of the Civil Administrative Code of Illinois [20 ILCS 2105/2105-15.5]).

ii) A minimum of one-hour programs, courses, or activities in the area of professional conduct and/or ethics.

B) The remaining eight CE hours are elective, and may be acquired either in structured educational activities defined in subsection (b)(1) or unstructured educational activities defined in subsection (b)(2).

2. A pre-renewal period is the 24 months preceding September 1 of each odd-numbered year.

3. A CE hour means a minimum of 50 minutes of instruction or participation. A CE program shall not be presented during a dinner or social function. The dinner or social function must be concluded before the CE program commences or be held after the CE program is completed. If the program involves one or more hours of education, credit may be issued in one-half hour increments.

4. The Division may conduct random audits to verify compliance with this Section.

5. There is no restriction on the number of CE hours that can be completed through online or self-administered courses, provided that the courses meet the requirements of this Section.

6. Landscape architects registered in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section. The CE hours used to satisfy the CE requirements for renewal of a landscape architect registration held in another jurisdiction may be applied to satisfy the CE requirements for renewal of the Illinois landscape architect registration, if the CE hours meet Illinois requirements.

7. All CE credit hours must be in subjects directly related to the profession of landscape architecture and must be performed outside the normal practice of one's occupation.

b) Activities for Which CE Credit May Be Earned

1. Structured Educational Activities (minimum of 16 hours)

A) Endorsed seminars from CLARB, American Society of Landscape Architects ("ASLA"), Illinois Chapter of American Society of Landscape Architects ("ILASLA"), and Landscape Architecture Continuing Education System ("LA CES").

B) Seminars presented by non-landscape architecture professional organizations, related to the landscape architecture profession, and approved by LA CES.

C) Courses offered by a college or university related to landscape architecture.

i) Per credit hour (quarter system): 10 CEs;

ii) Per credit hour (semester system): 15 CEs.

D) Self-study courses presented by correspondence, internet, television, video or audio, ending with an examination or other verification process. The CE credit acquired for this activity shall be as recommended by the program sponsor.

2. Unstructured Educational Activities (maximum of 8 hours)

A) Teaching or instructing a course or seminar related to landscape architecture for the first time only. Two hours of CE will be earned for every hour of teaching or instructing. This does not apply to faculty in the performance of their regularly assigned duties.

B) Authoring papers or articles related to landscape architecture that appear in nationally circulated publications, journals or trade magazines or presented to a university, professional society, or organization. Two hours of CE will be earned per paper or presentation, but not both, and a maximum of four CE hours may be awarded per pre-renewal period.

C) Active participation on a committee or holding an office in a professional or technical society related to landscape architecture. Two hours of CE will be awarded per committee membership or office held each renewal cycle.

c) The Division shall not pre-approve individual courses or programs.

d) It shall be the responsibility of a registrant to maintain a record of CE for six years that includes, but is not limited, to the following:

1. The name and address of the sponsor or provider, the number of hours attended in each program, the date and place of the program, and a certificate of attendance; or

2. A log of activities that includes the date and number of hours claimed as CE, a brief statement of the subject matter, printed program schedules, registration receipts, or other proof of participation.

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The additional evidence will be required in the context of the Division's random audit.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may be required to interview with the Board, at which time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 85 of the Act.

f) Exemptions:

A registrant may be exempt from the CE requirements of this Section if one of the situations described in this subsection (f) occurs. A renewal applicant that meets one of the criteria for exemption described in this subsection (f) must submit to the Division the renewal fee and documentation supporting the qualification for exemption.

1. A registrant shall not be required to report CE hours during the first biennial renewal period in which the registrant obtained initial registration in Illinois, but shall be subject to the CE requirements for all subsequent biennial renewal periods.

2. A registrant who is on full-time active duty in the military service of the United States or is a registrant who is called to temporary active duty in the military service or Armed Forces of the United States for a period of time exceeding 120 consecutive days during the renewal period, when that activity or location restricts the participation in a CE program or where no internet access is available, such as a forward operating base, etc.

3. A registrant who demonstrates to the satisfaction of the Division that meeting these requirements would be an undue hardship by reason of disability, illness, or other clearly mitigating circumstances shall submit supporting documentation.

A) The documentation shall be in the form of a sworn statement by the registrant, statement from a healthcare provider, or medical record showing the disability, illness, or circumstance preventing the registrant's participation in the continuing education program during a substantial part of the renewal period.

B) If the Division finds from the evidence that good cause has been shown for non-compliance, the Division will waive enforcement, extend the time within which the applicant shall comply, or establish a particular program or schedule of continuing education for the renewal period in which the undue hardship existed.

C) Consecutive waiver requests made for reasons of disability, illness, or other circumstances may be prima facie evidence for non-renewal of applicant's registration based on an inability to actively engage in registered landscape architecture practice.

4. Any renewal applicant who, prior to the expiration date of the registration, submits a request for a waiver, in whole or in part, pursuant to the provisions of this subsection (f) shall be deemed to be in good standing until the final decision on the application is made by the Division.

5. Any renewal applicant who submits a request for a waiver that is denied may then request the registration be placed on inactive status. The applicant shall comply with the CE requirements prior to restoration of the registration from inactive status, in accordance with Section 1275.80.

History

• Source: Added at 49 Ill. Reg. 8323, effective June 5, 2025

68 Ill. Adm. Code 1275.90 Granting Variances

The Director of the Division shall grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 46 Ill. Reg. 16806, effective September 26, 2022

68 Ill. Adm. Code 1275.ILLUSTRATION A Registered Landscape Architect Seal Requirements

a) Every registered landscape architect shall have a reproducible seal, or facsimile, the impression of which shall contain the name of the landscape architect, the registration number, and words "Registered Landscape Architect, State of Illinois". Plans, specifications and reports related to landscape architectural practice and prepared by the registered landscape architect, or under the registered landscape architect's supervision, shall be stamped with the seal when filed. A landscape architect's registration must be in full force and effect in order to seal documents. The seal, signature and dates may be electronically affixed.

b) The following is a suggested facsimile of the design and lettering of the seal:

History

• Source: Amended at 49 Ill. Reg. 8323, effective June 5, 2025

Part 1280 Sex Offender Evaluation and Treatment Provider Act

68 Ill. Adm. Code 1280.10 Application for Licensure as a Sex Offender Evaluator

An applicant for licensure as a sex offender evaluator shall file an application on forms provided by the Department of Financial and Professional Regulation-Division of Professional Regulation (Division). The applicant will be required to meet the licensure and education requirements set forth in Section 35 of the Sex Offender Evaluation and Treatment Provider Act [225 ILCS 109] (Act).

a) The applicant must provide proof that he or she holds an active license as one of the following:

1. a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 [225 ILCS 60] or an equivalent license under the laws of another state;

2. an advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act [225 ILCS 65] or an equivalent license under the laws of another state;

3. a clinical psychologist licensed under the Clinical Psychologist Licensing Act [225 ILCS 15] or an equivalent license under the laws of another state;

4. a licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act [225 ILCS 20] or an equivalent license under the laws of another state;

5. a licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act [225 ILCS 107] or an equivalent license under the laws of another state; or

6. a licensed marriage and family therapist licensed under the Marriage and Family Therapy Licensing Act [225 ILCS 55] or an equivalent license under the laws of another state;

b) The applicant must comply with the experience requirements set forth in Section 1280.20.

c) The applicant must demonstrate completion of 40 clock hours of documented training in the specialty of sex offender evaluations, treatment or management. The clock hours required under this subsection must comply with Section 1280.120.

d) The applicant must pay the required fee set forth in Section 1280.100.

e) Individuals applying for licensure based on an equivalent license under the laws of another state must provide a Certification of Licensure from the issuing state as part of their application. The certification must indicate the current status of the license.

68 Ill. Adm. Code 1280.20 Experience Defined Sex Offender Evaluator

An applicant must complete the following:

a) 400 hours of supervised experience in the treatment or evaluation of sex offenders in the last 4 years. At least 200 of these 400 supervised hours must be face-to-face therapy or evaluation with sex offenders. Experience shall have been supervised by an individual or individuals who, at the time the supervision took place:

1. were included in the Illinois Sex Offender Management Board Approved Provider List and completed a minimum of 25 evaluations;

2. held an active license as a sex offender evaluator and completed a minimum of 25 evaluations; or

3. if the experience was gained out of state, meet the qualifications required to receive a license as a sex offender evaluator under the Act, and have completed 25 evaluations.

b) At least 10 sex offender evaluations under supervision in the past 4 years. The supervisor must meet the qualifications set forth in subsection (a).

c) Experience earned to obtain a sex offender treatment provider license may be used to satisfy the requirements of subsection (a).

68 Ill. Adm. Code 1280.30 Application for Licensure as a Sex Offender Treatment Provider

a) An applicant for licensure as a sex offender treatment provider shall file an application on forms provided by the Division. The applicant will be required to meet the licensure and education requirements set forth in Section 35 of the Act.

b) The applicant must provide proof that he or she holds an active license as one of the following:

1. a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 or an equivalent license under the laws of another state;

2. an advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act or an equivalent license under the laws of another state;

3. a clinical psychologist licensed under the Clinical Psychologist Licensing Act or an equivalent license under the laws of another state;

4. a licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act or an equivalent license under the laws of another state;

5. a licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act or an equivalent license under the laws of another state; or

6. a licensed marriage and family therapist licensed under the Marriage and Family Therapy Licensing Act or an equivalent license to practice in another state.

c) The applicant must comply with the experience requirements set forth in Section 1280.40.

d) The applicant must demonstrate completion of 40 clock hours of documented training in the specialty of sex offender evaluations, treatment or management. The clock hours required under this subsection must comply with Section 1280.120.

e) The applicant must pay the required fee set forth in Section 1280.100.

f) Individuals applying for licensure based on an equivalent license under the laws of another state must provide a Certification of Licensure from the issuing state as part of their application. The certification must indicate the current status of the license.

68 Ill. Adm. Code 1280.40 Experience Defined Sex Offender Treatment Provider

An applicant must complete 400 hours of supervised experience in the treatment of sex offenders in the last 4 years. At least 200 of these 400 supervised hours must be face-to-face therapy with sex offenders. Experience shall have been supervised by an individual or individuals who, at the time the supervision took place:

a) were included in the Illinois Sex Offender Management Board Approved Provider List;

b) held an active license as a sex offender treatment provider with 5 years clinical experience providing sex offender treatment; or

c) if the experience was gained out of state, meet the qualifications required to receive a license as a sex offender treatment provider under the Act.

68 Ill. Adm. Code 1280.50 Application for Licensure as an Associate Sex Offender Provider

a) A person is qualified for licensure as an associate sex offender provider if that person:

1. has applied in writing on forms prepared and furnished by the Department;

2. has not engaged or is not engaged in any practice or conduct that would be grounds for disciplining a licensee under Section 75 of the Act;

3. has demonstrated compliance with the educational requirement as set forth in Section 35(c) of the Act and Section 1280.50(b); and

4. has paid the required fee set forth in Section 1280.100.

b) Applicants must provide evidence that the person holds a master's degree or higher from a program at a college, university or school that is a regionally accredited institution and recognized by the U.S. Department of Education in one of the following subjects:

1. social work;

2. psychology;

3. marriage and family therapy;

4. counseling; or

5. psychiatry.

c) Master's degrees or higher in a closely related behavioral or mental health science may be approved by the Department if the educational content is equivalent to the content of the degrees listed in subsection (b).

d) The Division, upon recommendation of the Board, has determined that issuance of a license in this State as one of the entities listed in this subsection (d) shall be evidence of completion of an acceptable educational program. For the purposes of this Section, the license does not need to be active at the time of application.

1. A physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 or an equivalent license under the laws of another state;

2. An advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act;

3. A clinical psychologist licensed under the Clinical Psychologist Licensing Act;

4. A licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act;

5. A licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act; or

6. A licensed marriage and family therapist licensed under the Marriage and Family Therapy Licensing Act.

History

• Source: Amended at 41 Ill. Reg. 12482, effective October 6, 2017

68 Ill. Adm. Code 1280.60 Supervision of Associate Sex Offender Providers

Individuals licensed as an associate sex offender provider may only provide services under the supervision of a licensed sex offender evaluator or a licensed sex offender treatment provider. Supervision shall be appropriate to the client and the skill and training of the licensees.

a) The supervisor shall have met in-person with the applicant at least one hour each week. Supervision means the review of counseling and case management.

b) Supervision must be face-to-face, real-time communication and may include video or other real-time electronic communication. In-person supervision does not include mail, email, telefax or phone.

c) Acceptable modes for supervision of direct client contact are as follows:

1. Individual supervision: The supervisory session is conducted by a supervisor with one supervisee present;

2. Group supervision: The supervisory session is conducted by a supervisor with no more than 5 supervisees present.

d) The counseling activities must be performed pursuant to the supervisor's order, control, oversight, guidance and full professional responsibility.

e) A supervisor may be provided at the applicant's place of work or may be hired by the applicant to provide supervision.

f) The following activities are not acceptable clinical supervision:

1. Peer supervision;

2. Administrative supervision. For example, clinical practice performed under administrative rather than clinical supervision of an institutional director or executive;

3. A primary didactic process in which techniques or procedures are taught in a classroom, workshop or seminar.

g) When providing services as an associate sex offender provider, the associate provider shall not represent himself or herself as a sole or independent practitioner. An associate sex offender provider providing services shall always operate and represent himself or herself as providing services through or as a part of a group practice or through a clinical supervisor's practice. A licensed associate sex offender provider providing clinical services shall provide the name and contact information of his or her associate sex offender provider's supervisor to all clients.

68 Ill. Adm. Code 1280.70 Renewal

a) The first renewal period for licensure issued under the Act shall be July 31 of odd-numbered years. Thereafter, every registration issued under the Act shall expire on July 31 of odd-numbered years.

b) The holder of a license as sex offender evaluator or sex offender treatment provider may renew his or her license during the month preceding the expiration date by paying the required fee and certifying that the licensee holds a current license as:

1. a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 or an equivalent license under the laws of another state;

2. an advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act or an equivalent license under the laws of another state;

3. a clinical psychologist licensed under the Clinical Psychologist Licensing Act or an equivalent license under the laws of another state;

4. a licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act or an equivalent license under the laws of another state;

5. a licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act or an equivalent license under the laws of another state; or

6. a licensed marriage and family therapist licensed under the Marriage and Family TherapyLicensing Act or an equivalent license to practice in another state.

c) The holder of a license as associate sex offender provider may renew his or her license during the month preceding the expiration date by paying the required fee.

d) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

e) Practice on a non-renewed license shall be considered unlicensed practice.

68 Ill. Adm. Code 1280.80 Restoration

a) Individuals licensed as a sex offender evaluator or sex offender treatment provider whose license has expired or has been placed on inactive status for 5 years or less may have the license restored by paying the fee required by Section 1280.100, submitting proof of compliance with any CE requirements, and certifying that the licensee holds a license as:

1. a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 or an equivalent license under the laws of another state;

2. an advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act or an equivalent license under the laws of another state;

3. a clinical psychologist licensed under the Clinical Psychologist Licensing Act or an equivalent license under the laws of another state;

4. a licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act or an equivalent license under the laws of another state;

5. a licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act or an equivalent license under the laws of another state; or

6. a licensed marriage and family therapist licensed under the Marriage and Family Therapy Licensing Act or an equivalent license to practice in another state.

b) Individuals licensed as an associate sex offender provider whose license has expired or has been placed on inactive status for 5 years or less may have the license restored by paying the fee required by Section 1280.100 and submitting proof of compliance with any CE requirements.

c) Individuals licensed as a sex offender evaluator seeking restoration of a license that has been expired or been placed on inactive status for more than 5 years shall file an application on forms supplied by the Division, pay the fee required by Section 1280.100, submit proof of compliance with any CE requirement, and provide proof of the following:

1. Active licensure as one of the following:

A) a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 or an equivalent license under the laws of another state;

B) an advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act or an equivalent license under the laws of another state;

C) a clinical psychologist licensed under the Clinical Psychologist Licensing Act or an equivalent license under the laws of another state;

D) a licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act or an equivalent license under the laws of another state;

E) a licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act or an equivalent license under the laws of another state; or

F) a licensed marriage and family therapist licensed under the Marriage and Family Therapy Licensing Act or an equivalent license to practice in another state; and

2. Fitness to practice by submitting one of the following:

A) sworn evidence of active practice in Illinois in the area of sex offender evaluation and treatment;

B) sworn evidence of active practice in another jurisdiction. This evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice;

C) an affidavit attesting to military service as provided in Section 45(c) of the Act;

D) proof of completion of 10 offender evaluations under supervision as described in Section 1280.20; or

E) proof of completion of an additional 20 hours of continuing education in the evaluation of sex offenders that complies with Section 1280.110 within 2 years prior to application for restoration.

d) Individuals licensed as a sex offender treatment provider seeking restoration of a license that has been expired or been placed on inactive status for more than 5 years shall file an application on forms supplied by the Division, pay the fee required by Section 1280.100, submit proof of compliance with any CE requirement, and provide proof of the following:

1. Active licensure as one of the following:

A) a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 or an equivalent license under the laws of another state;

B) an advanced practice nurse with psychiatric specialty licensed under the Nurse Practice Act or an equivalent license under the laws of another state;

C) a clinical psychologist licensed under the Clinical Psychologist Licensing Act or an equivalent license under the laws of another state;

D) a licensed clinical social worker licensed under the Clinical Social Work and Social Work Practice Act or an equivalent license under the laws of another state;

E) a licensed clinical professional counselor licensed under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act or an equivalent license under the laws of another state; or

F) a licensed marriage and family therapist licensed under the Marriage and Family Therapy Licensing Act or an equivalent license to practice in another state; and

2. Fitness to practice by submitting one of the following:

A) sworn evidence of active practice in Illinois in the area of sex offender evaluation and treatment;

B) sworn evidence of active practice in another jurisdiction. This evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice;

C) an affidavit attesting to military service as provided in Section 45(c) of the Act; or

D) proof of completion of an additional 20 hours of continuing education in the treatment of sex offenders that complies with Section 1280.110 within 2 years prior to application for restoration.

e) Individuals licensed as an associate sex offender provider seeking restoration of a license that has been expired or placed on inactive status for more than 5 years shall file an application on forms supplied by the Division, pay the fee required by Section 1280.100, submit proof of compliance with any CE requirement, and provide the following:

1. sworn evidence of active practice in Illinois in the area of sex offender evaluation and treatment;

2. sworn evidence of active practice in another jurisdiction. This evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice; or

3. an affidavit attesting to military service as provided in Section 45(c) of the Act.

f) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

g) An applicant shall have the license restored or be notified in writing of the reason for denying the application.

h) Practice on a non-renewed license shall be considered unlicensed practice.

68 Ill. Adm. Code 1280.90 Inactive Status

a) A licensee who notifies the Division, on forms provided by the Division, may place his or her license on inactive status and shall be excused from paying renewal fees until he or she notifies the Division in writing of the intention to resume active practice.

b) A licensee seeking restoration from inactive status shall do so in accordance with Section 1280.80.

c) A licensee whose license is on inactive status shall not use the title sex offender evaluator, sex offender treatment provider, or associate sex offender provider in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

d) Practice on an inactive license shall be considered unlicensed practice.

68 Ill. Adm. Code 1280.100 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for original application for a license as a sex offender evaluator is $150.

2. The fee for original application for a license as a sex offender treatment provider is $150.

3. The fee for original application for a license as an associate sex offender provider is $150.

b) Renewal Fees

1. The fee for renewal of licensure as a sex offender evaluator is $150.

2. The fee for renewal of licensure as a sex offender treatment provider is $150.

3. The fee for renewal of licensure as an associate sex offender provider is $150.

c) General Fees

1. The fee for restoration of a license other than from inactive status that has been expired for 5 years or less is $50 plus payment of all lapsed renewal fees.

2. The fee for the restoration of a license that has been expired for more than 5 years is $50 plus payment of all lapsed renewal fees, but shall not exceed $500.

3. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

68 Ill. Adm. Code 1280.110 Unethical, Unauthorized or Unprofessional Conduct

The Division may suspend or revoke any license issued under the Act, refuse to renew a license or take other disciplinary action, based upon its finding of unethical, unauthorized or unprofessional conduct within the meaning of Section 80 of the Act, which is interpreted to include, but is not limited to, the following acts or practices. These standards shall apply to any license issued under the Act.

a) Professional Relationships

1. Practicing, condoning, facilitating, collaborating with or engaging in discrimination based on age, culture, disability, ethnicity, race, religion/spirituality, gender, gender identity, sexual orientation, marital status/partnership, language preference, socioeconomic status or any basis prescribed by law. Licensees shall not discriminate against clients, students, employees, supervisees or research participants in a manner that has a negative impact on these persons.

2. Engaging in any action that violates or diminishes the civil or legal rights of clients.

3. Engaging in the sexual exploitation of clients, clients' romantic partners, or clients' family members, students or supervisees.

4. Engaging in or condoning sexual harassment, including, but not limited to, deliberate or repeated comments, gestures or physical contacts of a sexual nature, that occurs in connection with professional activities or roles.

5. Bringing personal or professional biases into the professional relationship. Through an awareness of the impact of stereotyping and discrimination (i.e., biases based on age, disability, ethnicity, gender, religion or sexual preference), licensees guard the individual rights and personal dignity of the client in the professional relationship.

6. Engaging in any type of sexual or romantic intimacies with clients, clients' romantic partners, or clients' family members. Licensees shall not provide professional services to persons with whom they have had a sexual relationship, including the person's romantic partners or family members.

7. Engaging in sexual intimacies with former clients, clients' romantic partners or clients' family members prior to 5 years after termination of the counselor/client relationship.

8. Engaging in any nonprofessional relationships with clients, former clients, clients' romantic partners, or clients' family members should be avoided, except when the interaction is potentially beneficial to the client. All potentially beneficial relationships must be documented in case notes, and conducted with full client consent. When unintentional harm occurs to the client or former client, or to an individual significantly involved with the client or former client, due to nonprofessional interaction, the licensees must show evidence of an attempt to remedy that harm.

9. Failing to offer all pertinent facts regarding services rendered to the client prior to administration of professional services. The purpose of informed consent is to insure a client's complete access to information pertaining to professional services. Examples include, but are not limited to, the purposes, goals, techniques, procedures, limitations, potential risks, and benefits of services; the licensee's qualifications, credentials and relevant experience; and continuation of services upon the incapacitation or death of a licensee. Licensees must take steps to ensure that clients understand the implications of diagnosis, the intended use of assessments and reports, billing arrangements, and length of treatment and utilization of consultants. The client's signature indicating receipt of pertinent information is strongly encouraged.

b) Confidentiality

1. Failing to inform clients at the onset of the professional relationship of the limits of confidentiality. These include, but are not limited to, limitations mandated by the law, requirements to protect clients or identified others from serious and foreseeable harm, or when the licensee is a defendant in a civil, criminal or disciplinary action arising from the counseling.

2. Revealing facts, data or information relating to a client or examinee, except as allowed under Section 75 of the Act or under the Mental Health and Developmental Disabilities Confidentiality Act [740 ILCS 110] or any other federal or State laws pertaining to confidentiality.

3. Failing to take appropriate steps to protect the privacy of a client and avoid unnecessary disclosures of confidential information. The right to privacy belongs to clients and may be waived. A written waiver shall be signed by the client and the information revealed shall be in accordance with the terms of the waiver.

c) Scope of Practice/Professional Responsibility

1. Performing or pretending to be able to perform professional services beyond one's scope of practice and one's competency, as defined by education, training, supervised experience, State and national professional credentials, and appropriate professional experience.

2. Abandoning or neglecting clients and/or failing to refer and/or make appropriate arrangements for the continuation of treatment, when necessary, during interruptions, such as vacations or illness, and following termination.

3. Failing to use techniques/procedures/modalities that are grounded in professionally accepted theory and/or have an empirical or scientific foundation. Licensees who do not use these tools must define the techniques/procedures as "unproven" or "developing", explain the potential risk and ethical considerations of using the techniques/procedures, and take steps to protect clients from possible harm.

4. Failing to establish and maintain client records and case notes, including failing to inform clients of issues related to the difficulty of maintaining the confidentiality of electronically transmitted communication. Records must be maintained for at least 7 years. In the case of a minor, records must be maintained for at least 7 years after the minor turns 18.

5. Failing to inform clients of the benefits and limitations of using information technology applications in the counseling or evaluation process and in business/billing procedures. These technologies include, but are not limited to, computer hardware and software, telephone, the internet, online assessment instruments, and other communication devices.

6. Advertising shall not be deceptive, misleading or false. Licensees should claim or imply only professional credentials possessed and are responsible for correcting any misrepresentation of their credentials by others. Professional credentials include highest relevant degrees, accreditation of graduate programs, national voluntary certifications, government-issued certifications or licenses, professional memberships, or any other credential that might indicate to the public specialized knowledge or expertise in professional counseling.

7. Submission of fraudulent claims for services to any person or entity, including, but not limited to, health insurance companies or health service plans or third party payors.

8. Knowingly offering or providing services to a client when the licensee's ability to practice is impaired; failing to seek assistance for problems that reach the level of professional impairment; failing to, if necessary, limit, suspend or terminate professional responsibilities until it is determined that it is safe to resume work; or offering professional services when the licensee's personal problems or conflicts may harm a client or others. Causes of impairment may include, but are not limited to, the abuse of mood altering chemicals and physical or mental problems.

d) Supervision

1. Permitting a supervisee or intern under his/her supervision or control to perform, or permitting the supervisee or intern to hold himself or herself out as competent to perform, professional services beyond the supervisee's or intern's level of education, training and/or experience.

2. Allowing a supervisee to violate the rights of clients, permitting a supervisee to violate the confidentiality standards or client privacy, or failing to provide clients with professional disclosure information and inform them of how the supervision process influences the limits of confidentiality, including who will have access to records of the professional relationship and how these records will be used.

3. Participating in any form of sexual or romantic contact with supervisees. Nonprofessional relationships with supervisees that might impair the supervisor's objectivity and professional judgment should be avoided and/or the supervisory relationship terminated.

e) Evaluation, Assessment and Interpretation

1. Failing to have appropriate education and training for each specific assessment, to recognize the limits of the licensee's competence, and to perform only those functions for which the licensee is prepared. In particular, licensees using technology-assisted test interpretations must be trained in the construct being measured and the specific instrument being used prior to using the technology-based application.

2. Failing to inform prospective research participants or their authorized representatives fully of potential serious after-effects of the research or failing to remove the after-effects as soon as the design of the research permits.

f) The Division hereby incorporates by reference the Ethical Principles in the Professional Code of Ethics (2001 edition) published by the Association for the Treatment of Sexual Abusers (ATSA), 4900 S.W. Griffith Drive, Suite 274, Beaverton, Oregon 97005; or http://www.atsa.com/atsa-code-ethics. This incorporation by reference does not include any later amendments or editions.

68 Ill. Adm. Code 1280.120 Continuing Education

a) Continuing Education (CE) Hours Requirements

1. In order to renew a license, a licensee shall be required to complete 20 hours of CE in the area of sex offender treatment and evaluation.

2. A prerenewal period is the 24 months proceeding July 31 of each odd-numbered year.

3. One CE hour shall equal one clock hour of attendance. After completion of the initial CE hour, credit may be given in one-half hour increments.

4. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

5. Individuals licensed under the Act in Illinois but residing and practicing in other states shall comply with the CE requirement set forth in this Section.

6. CE credit hours used to satisfy the CE requirements of another jurisdiction maybe applied to fulfill the CE requirements of the State of Illinois.

7. CE credit hours completed pursuant to this Section may be used to satisfy the CE requirements under other related Acts.

b) Approved Continuing Education

1. CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program or course (program) that is offered or sponsored by an approved CE sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2) or (3).

2. CE credit may be earned through postgraduate training programs (e.g., extern, residency or fellowship programs) or completion of graduate level related courses that are a part of the curriculum of a college, university or graduate school. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded. Courses that are audited shall not satisfy the requirements of this Section.

3. CE credit may be earned for verified teaching of treatment and/or evaluation of sexual offenders in an accredited college, university or graduate school and/or as an instructor of CE programs given by approved sponsors. Credit will be applied at the rate of 1.5 hours for every hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations of the same program). A maximum of 10 hours of CE credit must by obtained in this category per prerenewal period.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) American Psychological Association or its affiliates

B) National Association of Social Work or its affiliates

C) American Association for Marriage and Family Therapy or its affiliates

D) American Medical Association or its affiliates

E) Illinois Psychological Association or its affiliates

F) Association for the Treatment of Sexual Abusers

G) Illinois Association for Treatment of Sexual Abusers

H) American Counseling Association or its affiliates

J) American Nurse Credentialing Center or its affiliates

K) Authorized CE providers under the Marriage and Family Therapy Licensing Act

L) Authorized CE providers under the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

M) Authorized CE providers under the Clinical Psychologist Licensing Act

N) Authorized CE providers under the Clinical Social Work and Social Work Practice Act

O) Authorized CE providers under the Nurse Practice Act

P) Authorized CE providers under the Medical Practice Act of 1987

Q) Any regionally accredited school, college or university, or any State agency

R) American Probation and Parole Association

2. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the treatment and/or evaluation of sexual offenders;

B) Foster the enhancement of general or specialized clinical sexual offender treatment and evaluation practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

3. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed at a later date. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

4. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the program may also be identified, but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance, and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

5. All programs given by approved sponsors shall be open to all licensees and not be limited to members of a single organization or group.

6. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor or person responsible for the CE program.

7. The sponsor shall maintain attendance records for not less than 5 years.

8. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

9. Upon the failure of a sponsor to comply with any of the requirements of this Section, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until the Division receives assurances of compliance with requirements of this Section.

10. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in this Section.

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance for the previous 8 years.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned or is seeking CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days after expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(2).

2. If a licensee fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $50 per CE hour late fee not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(2).

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with CE requirements, the Division shall restore the license upon payment of the fee required by Section 1280.100.

g) Waiver of CE Requirements

1. Any applicant for renewal of a license who has not fully complied with the CE requirements of this Section shall file with the Division a renewal application, along with the required fee, a statement setting forth the facts concerning noncompliance, and a request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division finds, upon the written recommendation of the Board and from the affidavit or any other evidence submitted, that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician, advanced practice nurse or physician assistant, or an incapacitating mental illness documented by a statement by a currently licensed clinical psychologist or Board-certified psychiatrist;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician or advanced practice nurse; or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section, shall be deemed to be in good standing until the final decision on the application is made by the Division.

68 Ill. Adm. Code 1280.130 Granting Variances

a) The Director may grant variances from this Part in individual cases when he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rules from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

Part 1283 Marriage and Family Therapy Licensing Act

68 Ill. Adm. Code 1283.10 Definitions

"Act" means the Marriage and Family Therapy Licensing Act [225 ILCS 55].

"Board" means the Illinois Marriage and Family Therapy Licensing and Disciplinary Board. [225 ILCS 55/10]

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Email address of record" means the designated email address recorded by the Department in the applicant's application file or the licensee's file as maintained by the Division's licensure maintenance unit. [225 ILCS 55/10]

"Secretary" means the Secretary of the Department of Financial and Professional Regulation. [225 ILCS 55/10]

History

• Source: Repealed at 22 Ill. Reg. 16482, effective September 3, 1998; added at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.15 Professional Work Experience

An applicant for a license as a licensed marriage and family therapist shall, following receipt of the first qualifying education degree, complete at least 3000 hours of professional work experience in not less than a 2 year period.

a) Professional work experience is defined as providing professional services, including clinical activities as defined in Section 1283.20 as well as non-clinical activities related to the practice of the profession of marriage and family therapy. Following receipt of the first qualifying education degree, at least 3000 hours of professional work experience is required, which includes 1000 hours as defined in Section 1283.20 and 200 hours of clinical supervision as defined in Section 1283.25.

b) Professional work experience shall be obtained in not less than 2 years and no more than 5 years.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.20 Clinical Experience

An applicant for a license as a marriage and family therapist shall, following receipt of the first qualifying education degree, complete at least 1,000 hours of face-to-face client contact with individuals, couples and families for the purpose of evaluation and treatment of mental, emotional, behavioral and interpersonal disorders and psychopathology of couples and families. [225 ILCS 55/40] At least 350 hours of the 1000 hours of face-to-face client contact must involve working with only one client present in therapy sessions as part of the therapy being provided to couples or families, and at least 350 hours of the 1000 hours of face-to-face client contact must involve conjoint therapy, i.e., working with two or more clients present in therapy sessions who are in significant relationships with each other outside the therapy context. The applicant shall be supervised as defined in Section 1283.25 of this Part during the whole period the applicant is accumulating clinical experience.

a) Clinical experience in the practice of marriage and family therapy may be gained by providing treatment that includes, but is not limited to:

1. Individual and conjoint therapy;

2. Counseling;

3. Psychotherapy;

4. Assessment and treatment of mental, emotional, behavioral and interpersonal disorders and psychopathology;

5. Behavior modification;

6. Hypnotherapy;

7. Sex therapy;

8. Consultation;

9. Client advocacy;

10. Crisis intervention;

11. Testing and evaluation;

12. Group therapy;

13. Multi-family therapy;

14. Psychoeducation; and

15. Therapy with children and adolescents.

b) Marriage and family therapy treatment shall include, but not be limited to, providing mental health services for the evaluation and treatment of mental, emotional, behavioral and interpersonal disorders and psychopathology, including making clinical assessments, certifying diagnoses, prescribing treatment and signing off on treatment plans for persons with mental illnesses or other clinical disorders.

c) The use of specific methods, techniques or modalities within the practice of marriage and family therapy is restricted to licensed marriage and family therapists appropriately trained in the use of such methods, techniques or modalities.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.25 Clinical Supervision

An applicant must complete 200 hours of clinical supervision of marriage and family therapy. At least 100 of these 200 clinical supervision hours must occur following the receipt of the first qualifying degree. Up to 100 hours of clinical supervision accumulated during graduate training may be counted toward the required 200 hours of clinical supervision. At least 100 of the 200 hours of clinical supervision must be completed with a licensed marriage and family therapy supervisor who has met the requirements set forth in subsection (b).

a) At least 100 of the 200 hours of clinical supervision shall be completed while fulfilling the clinical experience requirement of Section 1283.20 and the post-degree professional work experience requirement in Section 1283.15. Up to 100 hours of clinical supervision accumulated during graduate training for the first qualifying degree may be counted toward the required 200 hours of clinical supervision.

b) At least 100 of the 200 hours of clinical supervision, whether accumulated during or after graduate training for the first qualifying degree, shall have been received from an individual who, at the time the supervision took place:

1. Was certified as an approved supervisor or supervisor in training by the American Association for Marriage and Family Therapy; or

2. Held an active license as a licensed marriage and family therapist with five years clinical experience providing marriage and family therapy after the licensee's first qualifying degree; or

3. Held an active clinical membership certification with the American Association for Marriage and Family Therapy for at least 5 years; or

4. Had:

A) An active license as a licensed clinical psychologist, a licensed clinical social worker, a licensed clinical professional counselor, or a licensed psychiatrist as defined in Section 1-121 of the Mental Health and Developmental Code;

B) Five years clinical experience providing marriage and family therapy as defined in Section 1283.20;

C) Provided at least 1000 hours of conjoint therapy; and

D) Either two years' experience providing clinical supervision of marriage and family therapy (including the supervision of conjoint therapy) or completed a 1 semester hour graduate course in marriage and family therapy supervision, with at least 15 contact hours or the equivalent prior to or during the supervision provided the applicant.

c) The other 100 hours of the clinical supervision shall have been received as part of a practicum or internship experience and/or from an individual who, at the time the supervision took place, was a licensed marriage and family therapist, licensed clinical psychologist, licensed clinical social worker, licensed clinical professional counselor or licensed psychiatrist as defined in Section 1-121 of the Mental Health and Developmental Disabilities Code with at least five years of experience in the discipline.

d) All 200 hours of clinical supervision must meet the requirements set forth in subsections (e), (f), and (g). 100 of the 200 hours must be individual supervision.

e) Supervision means the direct clinical review, for the purposes of training or teaching by a supervisor, of the applicant's interaction with a client. The purpose of supervision shall be to promote the development of the individual's clinical skills.

f) "Supervision" means a face-to-face conversation with a supervisor that is live, interactive, and visual. Video supervision sessions must be synchronous and permit verbal and visual interaction during supervision, and must comport with confidentiality regulations and laws, usually in periods of approximately one hour each. The learning process is sustained and intense. Appointments are scheduled on a regular basis. Supervision focuses on the raw data from a supervisee's continuing clinical practice, which is available to the supervisor through a combination of direct live observation, co-therapy, written clinical notes, audio and video recordings, and live supervision. It is a process clearly distinguishable from personal psychotherapy and is conducted in order to serve professional goals. Acceptable modes of supervision are as follows:

1. Individual supervision shall mean a maximum of two supervisees meeting with one supervisor.

2. Group supervision shall mean a maximum of six supervisees meeting with one supervisor.

g) The following is not acceptable marriage and family therapy supervision: peer supervision (supervision by a person of equivalent but not superior qualifications, status and experience); supervision by current or former family members or any other person with whom the nature of the personal relationship prevents, or makes difficult, the establishment of a professional supervisory relationship; administrative supervision (administrative supervision by an institutional director or executive, for example, conducted to evaluate job performance or for case management, not the quality of therapy given to a client); a primarily didactic process wherein techniques or procedures are taught in a group setting, classroom, workshop or seminar; staff development, orientation to a field or program or role-playing of family relationships as a substitute for current clinical practice in an appropriate clinical situation.

h) A doctoral practicum or internship may be applied toward the 200-hour clinical supervision requirement of Section 1283.50(a)(3).

History

• Source: Amended at 49 Ill. Reg. 8340, effective June 5, 2025

68 Ill. Adm. Code 1283.30 Education

a) An applicant for a license as a licensed marriage and family therapist shall hold one of the following:

1. A master's or doctoral degree in marriage and family therapy from a program accredited by either the Commission on Accreditation for Marriage and Family Therapy Education (COAMFTE) or the Commission on Accreditation for Counseling Related Education Programs (CACREP);

2. A master's or doctoral degree from a regionally accredited educational institution in marriage and family therapy or in a related field (i.e., behavioral science or mental health) with an equivalent course of study in marriage and family therapy as set forth in subsection (b); or

b) An applicant must have completed a minimum of 48 semester hours or equivalent hours of graduate coursework. The applicant's graduate coursework, at a minimum, shall be substantially equivalent to the curriculum listed in this subsection (b). Courses are evaluated according to course content rather than course title. For the purpose of this Section, course shall be defined as an integrated, organized course of study. No student designed courses, independent study courses or workshops may be used to satisfy the core courses. Course descriptions and syllabi are required for courses with titles that not reflect the content described as follows:

1. Clinical Interviewing Skills or Individual Therapy. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). An acceptable course covers at least one of the following:

A) General clinical interviewing skills such as attending, joining, rapport building, tracking, supporting, intervening, and/or structuring therapy; or

B) An overview of the major clinical theories covered in major textbooks on individual psychotherapy; or

C) At least one of the individual models covered in significant detail including, but are not limited to: psychoanalysis, psychodynamic, object relations, self-psychology, behavioral, cognitive behavioral, emotionally focused individual, existential, experiential, Gestalt, humanistic, person-centered, rational-emotive, reality, or Adlerian.

2. Family Therapy I, Foundations of Family Life, Family Studies, Family Sociology, or General Systems. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). Courses in this area cover an introduction to family theory and/or family therapy. Examples of acceptable courses include, but are not limited to: the foundations of family theory; introduction to family theory; the foundations of family therapy; introduction to family therapy; family studies; sociology of the family; general systems theory; family life cycle; theories of family development; family dynamics; families under stress; the contemporary family; social, cultural, and spiritual foundations of family life, the cross-cultural family; youth/adult/aging and the family; family subsystems; interpersonal relationships (marriage, parenting, sibling); the historical development, theoretical and empirical foundations of family therapy; or contemporary conceptual directions of the field of family therapy.

3. Family Therapy II. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). Courses in this area must cover at least three family therapy models. To fulfill this requirement, a course or set of courses must cover at least three family therapy models such as, but not limited to, the following models: communications, contextual, experiential, object relations, structural, strategic, systemic, behavioral, cognitive behavioral, solution-focused, narrative, Bowenian or transgenerational. The course content shall provide conceptualizations and methods for working conjointly with two or more clients present in therapy sessions who are in significant relationships with each other outside the therapy context. The three models can be covered either as a survey of clinical theories such as those in major textbooks on family therapy, as separate courses, or as parts of separate courses.

4. Couples Therapy. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). Courses in this area must cover at least two couples therapy models. To fulfill this requirement, a course or set of courses must cover at least two couples therapy models such as, but are not limited to, the following models: behavioral, cognitive behavioral, object relations, transgenerational, narrative, solution-focused, emotionally focused couples, collaborative, pragmatic/experiential, Imago, or Gottman's formulations. These formulations shall provide conceptualizations and methods for working conjointly with couples who are in significant relationships with each other outside the therapy context. The two models can be covered either as a survey of clinical theories such as those in major textbooks on couples therapy, as separate courses, or as parts of separate courses.

5. Psychopathology and/or Diagnostic Systems. This requirement must be address in a minimum of one course (three semester hours or four quarter hours or equivalent). Acceptable courses cover:

A) The study of diagnostic systems including the current Diagnostic and Statistical Manual of Mental Disorders (DSM) published by the American Psychiatric Association and/or the current International Classification of Diseases (ICD) published by the World Health Organization;

B) Psychopathology;

C) Assessment and treatment of mental, emotional, behavioral and interpersonal disorders and psychopathology, including making clinical assessments, certifying diagnoses, prescribing treatment and signing off on treatment plans for persons with mental illnesses or other clinical disorders; or

D) A course that combines subsections (b)(5)(A), (B), and (C).

6. Individual Development and Family Relations. Topics in marriage and family studies must be addressed in a minimum of one course (three semester or four quarter hours or equivalent). Topics that may be counted towards this area of study include: family development and family interactional patterns across the life cycle; theories of family development; marriage and/or family dynamics; sociology of the family; families under stress; the contemporary family; social, cultural, and spiritual foundations of family life; the cross-cultural family; gender studies; youth/adult/aging and the family; family subsystems; interpersonal relationships (marriage, parenting, sibling); human development; lifestyle and career development; personality theory; and human sexuality.

7. Ethics/Professional Studies. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). Acceptable courses cover the study of Professional Studies and Ethics and may include unique professional and ethical situations involved with conjoint therapies. Topics that may be counted toward this area of study include: professional socialization and the role of the professional organization; legal responsibilities and liabilities; independent practice and interprofessional cooperation; ethics; family law; unique professional and ethical situations involved with conjoint therapies.

8. Research Methods. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). Acceptable courses cover the study of research design and methods in a mental health or allied field, statistics, and research in a mental health or allied field.

9. Assessments in Marriage and Family Therapy. This requirement must be addressed in a minimum of one course (three semester hours or four quarter hours or equivalent). Acceptable courses cover the study of: clinical assessment of relational systems, assessment of psychodiagnostics categories, biopsychosocial bases of health and dysfunction, models and measures of systemic and family assessment, and parameters of systemic and individual assessment.

10. Clinical Practicum/Internship. This requirement must be addressed in a minimum of one course (three semester or four quarter hours or equivalent). To meet this requirement the practicum/internship must include 300 hours, 100 of which must be conjoint therapy, all of which must include face-to-face contact with individuals, couples, families, or groups for the purpose of assessment, diagnosis and treatment. Any deficit in face-to-face contact hours (less than 300) must be completed prior to beginning the accumulation of Clinical Experience hours.

c) In evaluating coursework from another jurisdiction, the Marriage and Family Therapy Disciplinary and Licensing Board (Board) may require documentation such as, but not limited to, an evaluation by a foreign equivalency documentation service indicating that the applicant's graduate program is equivalent to a graduate program in this country.

d) An individual who has taught a graduate level course in a regionally accredited educational institution in any of the areas listed in subsection (b) shall receive credit for the course. One course taught is equivalent to one course taken. Repetitive teaching of the same course may only be counted as one course. Syllabi and reading lists shall be submitted in order to obtain credit.

e) Courses taken at a post-degree institution will count as equivalent for an education requirement of subsection (b) if the institution's training program is accredited by the Commission on Accreditation for Marriage and Family Therapy Education (COAMFTE) or meets the following requirements:

1. The institution's program is established to achieve coherent mission and training objectives and the program has as its primary objective the training of marriage and family therapists.

2. The specific course submitted as equivalent to those defined in subsection (b) is taught by faculty who hold graduate degrees and are trained and credentialed in the field in which they teach.

3. Courses must be offered by an established, identifiable facility or agency.

4. Courses must be ongoing and additive (offered at the same place over a specific period of time and available on an ongoing basis) or offered off site by an acceptable post degree institution with an established, identifiable home-base facility or agency.

5. Courses must include outlines, clear description of content, appropriate bibliography, and other indications or meet generally acceptable criteria for academic offerings.

f) Credit for courses taken pursuant to subsection (e) will be given on a semester-hour equivalency basis which is 15 hours per semester credit. Evaluation of course work is on a case-by-case basis for each applicant. To receive credit, an applicant must submit a syllabus for each course, proof of acceptable completion of the course, and all documentation necessary to demonstrate that the post-degree institution and the specific course meet all the requirements of subsection (e).

g) A thesis or dissertation completed as a requirement of the first qualifying degree will not be counted as equivalent for an education requirement of subsection (b).

h) Applicants who hold non-clinical qualifying degrees, or whose practicum/internship was in areas other than marriage and family therapy, may document the practicum requirement with their first 300 post-graduate client contact hours supervised by an American Association for Marriage and Family Therapy Approved Supervisor, supervisor-in-training or a supervisor who meets the requirements set forth in Section 1283.25(b).

i) The Division, upon the recommendation of the Board, has determined that marriage and family therapy programs accredited by either the Commission on Accreditation for Marriage and Family Therapy Education of the American Association for Marriage and Family Therapy or the Commission on Accreditation for Counseling Related Educational Programs meet the minimum criteria set forth in this Section and are, therefore, approved.

j) Individual Program Requirements

1. Individuals applying for licensure as a licensed marriage and family therapist who have not graduated from a program listed in subsection (a) shall submit their transcripts and program materials to the Division for evaluation by the Board to determine if they meet the requirements of this Section.

2. Individuals applying for licensure who are deficient in any of the content areas set forth in subsection (b) may complete any content area deficiencies in a graduate school course. No student designed courses, independent study courses, or workshops may be used to satisfy the core courses set forth in Section 1283.30(b). The applicant will be required to submit proof to the Division that the applicant has passed such a course addressing the content area deficit. Proof shall include, but not be limited to, curriculum, practicum and program materials, clinical practicum or internship handbook and course materials.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.40 Examination

a) The examination for licensed marriage and family therapists shall be the Association of Marital and Family Therapy Regulatory Board's (AMFTRB) Examination in Marital and Family Therapy.

b) The passing score on the examination shall be the passing score of the testing entity.

68 Ill. Adm. Code 1283.45 Application for a License as an Associate Licensed Marriage and Family Therapist

a) An applicant for a license as an associate licensed marriage and family therapist shall file an application, on forms supplied by the Division, that includes the following:

1. Verification, on forms provided by the Division, that the applicant has completed the education requirements defined in Section 1283.30.

2. The required license fee set forth in Section 1283.95(a)(2).

3. If applicable, certification on forms provided by the Division from the state or territory of the United States in which the applicant was originally licensed and the state in which the applicant is currently licensed stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) A license for an associate licensed marriage and family therapist shall be valid for 5 years. The license may not be renewed.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clean up any discrepancies or conflicts in information.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.46 Application for Examination and Licensure as a Licensed Marriage and Family Therapist by an Individual Licensed as an Associate Licensed Marriage and Family Therapist

a) An individual holding a license as an associate licensed marriage and family therapist who is applying for examination and licensure as a licensed marriage and family therapist shall file an application, on forms supplied by the Division, at least 90 days prior to an examination date. The application shall include:

1. Verification, on forms provided by the Division, signed by an employer or supervisor that following the receipt of the first qualifying degree, the applicant obtained at least 3000 hours of work experience as defined in Section 1283.15. If the applicant is self-employed, the applicant shall submit 3 affidavits from peers, clients or colleagues familiar with the applicant's work;

2. Verification of at least 200 hours of clinical supervision as defined in Section 1283.25;

3. Verification of at least 1000 hours of clinical experience pursuant to Section 1283.20;

4. The fee set forth in Section 1283.95(a)(1);

5. If applicable, certification on forms provided by the Division from the state or territory of the United States in which the applicant was originally licensed and the state in which the applicant is currently licensed stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) An applicant who has taken and passed the examination in another jurisdiction shall have the examination submitted to the Division directly from the testing service.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.50 Application for Examination and Licensure as a Licensed Marriage and Family Therapist

a) An applicant for examination shall file an application, on forms supplied by the Division, at least 90 days prior to an examination date. The application shall include:

1. Verification, on forms provided by the Division, that the applicant has completed the education requirements defined in Section 1283.30.

2. Verification on forms provided by the Division, signed by an employer or supervisor, that following the receipt of the first qualifying degree, the applicant obtained at least 3000 hours of work experience as defined in Section 1283.15. If the applicant is self-employed, the applicant shall submit three affidavits from peers, clients or colleagues familiar with the applicant's work.

3. Verification of at least 200 hours of clinical supervision as defined in Section 1283.25.

4. Verification of at least 1000 hours of clinical experience pursuant to Section 1283.20.

5. The required fee set forth in Section 1283.95(a)(1).

6. If applicable, certification on forms provided by the Division, from the state or territory of the United States in which the applicant was originally licensed and the state in which the applicant is currently licensed stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) An applicant for licensure who has taken and passed the examination set forth in Section 1283.40 in another jurisdiction shall file an application in accordance with subsection (a) and have the applicant's examination scores submitted to the Division directly from the testing entity.

c) In lieu of compliance with subsections (a)(1), (2), (3) and (4), the Division shall accept certification of clinical membership from the American Association for Marriage and Family Therapy.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clean up any discrepancies or conflicts in information.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.60 Endorsement

a) An applicant who is licensed or registered under the laws of another state or territory of the United States or of a foreign country and who wishes to be licensed in Illinois as a licensed marriage and family therapist shall file an application with the Division, on forms provided by the Division, which includes:

1. Certification of meeting education requirements as set forth in Section 1283.30;

2. Verification, on forms provided by the Division, signed by an employer or supervisor, that, following the receipt of the first qualifying degree, the applicant obtained at least 3000 hours of work experience as defined in Section 1283.15. If the applicant is self-employed, the applicant shall submit three affidavits from peers, clients or colleagues familiar with the applicant's work;

3. Verification of at least 200 hours of clinical supervision as defined in Section 1283.25;

4. Verification of at least 1000 hours of clinical experience pursuant to Section 1283.20;

5. Certification of successful completion of the examination set forth in Section 1283.40;

6. Certification from the state or territory of the United States or the foreign country in which the applicant was originally licensed or registered and is currently licensed or registered, stating:

A) The time during which the applicant was licensed or registered;

B) Whether the file of the applicant contains any record of disciplinary actions taken or pending; and

C) Examinations taken and examination scores received;

7. The required fee as set forth in Section 1283.95(a)(1).

b) In lieu of compliance with subsections (a)(1), (2), (3) and (4), the Division shall accept certification of clinical membership from the American Association for Marriage and Family Therapy.

c) An individual applying for licensure as a licensed marriage and family therapist who has been licensed at the independent level in another United States jurisdiction for five consecutive years without discipline is not required to submit proof of completion of the education, professional experience, and supervision required in this Part. Individuals with five consecutive years of experience must submit certified verification of licensure from the jurisdiction in which the applicant practiced and must comply with all other licensing requirements and pay all required fees.

d) The Division shall either issue a license by endorsement or notify the applicant in writing of the reasons for denying the application.

e) Applicants have three years from the date of application to complete the application process. If the process has not been completed within three years, the application shall be denied, the fee forfeited and the applicant must reapply and meet the requirements in effect at the time of reapplication.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.70 Renewal

a) Every marriage and family therapist license and marriage and family therapist continuing education provider license issued under the Act shall expire on February 28th of odd-numbered years. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee.

b) Every licensee who applies for renewal of a license as a licensed marriage and family therapist shall complete 30 hours of continuing education pursuant to Section 1283.110.

c) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.80 Inactive Status

a) Licensed marriage and family therapists who notify the Division, on forms provided by the Division, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Any licensed marriage and family therapist seeking restoration from inactive status shall do so in accordance with Section 1283.90.

c) Any licensed marriage and family therapist whose license is on inactive status shall not use the title "licensed marriage and family therapist" in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.90 Restoration

a) Any licensed marriage and family therapist whose license has expired or has been placed on inactive status for five years or less may have the license restored by paying the fees required by Section 1283.95 and providing proof of meeting continuing education requirements during the two years prior to restoration.

b) Any person seeking restoration of a license that has been expired or placed on inactive status for more than five years shall file an application, on forms supplied by the Division, for review by the Board, together with the fee required by Section 1283.95 and proof of meeting continuing education requirements during the two years prior to restoration. The applicant shall also submit either:

1. Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 45(c) of the Act; or

3. Proof of passage of the AMFTRB examination during the period the registration was lapsed or on inactive status.

c) Any person who is seeking restoration after the disciplinary action must have completed all requirements of the disciplinary order and shall submit a petition for restoration to be adjudicated through the hearing process. As part of such petition the licensee shall submit evidence demonstrating rehabilitation to warrant the public trust as provided in Section 1283.107.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

e) Upon the recommendation of the Board and approval by the Director of the Division of Professional Regulation (Director) with the authority delegated by the Secretary of the Department of Financial and Professional Regulation (Secretary), an applicant shall have the license restored or be notified in writing of the reason for denying the application.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.95 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees.

1. The fee for original application for a license as a licensed marriage and family therapist is $100. In addition, applicants for an examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for a license as an associate licensed marriage and family therapist is $100.

3. The application fee for a license as a licensed marriage and family therapist certified or licensed under the laws of another jurisdiction is $200.

4. The fee for application as a continuing education sponsor is $500. State agencies, State colleges, community colleges, and State universities in Illinois are exempt from paying this fee.

b) Renewal Fees.

1. The fee for the renewal of a licensed marriage and family therapist license shall be calculated at the rate of $60 per year.

2. The fee for renewal as a continuing education sponsor is $125 per year.

c) General Fees.

1. The fee for the restoration of a license other than from inactive status that has been expired for five years or less is $20 plus payment of all lapsed renewal fees.

2. The fee for the restoration of a license that has been expired for more than five years is $300.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination administered by the Division reviewed and verified is $20, plus any fee charged by the testing service.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.97 Applicant and Licensee Address of Record, Email Address of Record, and/or Licensee Change of Name Information

All applicants and licensees shall:

a) provide a valid address and email address to the Division, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) inform the Division of any change of address of record or email address of record within 14 days after such change either through the Division's website or by contacting the Department's licensure maintenance unit.

History

• Source: Added at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.100 Dishonorable, Unethical, Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action, based upon its finding of "dishonorable, unethical, or unprofessional conduct" within the meaning of Section 85 of the Act which is interpreted to include, but is not limited to, the following acts or practices:

a) A therapist must not perform, nor pretend to be able to perform, professional services beyond the therapist's scope of practice. A therapist must not misrepresent credentials, degrees, professional associations, or competencies either through spoken word or written materials. A therapist must immediately retract or correct any misrepresentation. A therapist must correct misrepresentations by third parties as soon as the therapist is informed of the error.

b) A therapist must not permit an intern or trainee under the therapist's supervision to perform, or to pretend to be competent to perform, professional services beyond the trainee's or intern's level of training. Disclosure of the trainee or intern's status and the name of the supervisor is required. A waiver of liability signed by the client is required when a marriage and family therapy intern or trainee is treating the client.

c) Therapists must recognize the potentially influential position they may have with respect to clients, students, employees and supervisees. Therapists must conduct themselves with sensitivity to clients' potential vulnerability. Therapists shall avoid exploiting clients' trust and dependency. Therapists must also make every effort to avoid dual relationships with clients during treatment and following termination of therapy. When a dual relationship cannot be avoided, therapists must take appropriate professional precautions to ensure judgment is not impaired and no exploitation occurs. Examples of dual relationships include but are not limited to close personal friendships, business or other relationships that are used to further a therapist's own interests, or the provision of therapy to students, employees, or supervisees. Sexual intimacy between therapist and client, students or supervisees is prohibited. Sexual intimacy with former clients is prohibited for at least two years after termination of treatment.

d) A therapist must not engage in sexual or other harassment or exploitation of students, trainees, employees, colleagues, research subjects, actual or potential witnesses or complainants in legal or ethical proceedings.

e) A therapist who is convicted of any crime related to the therapist's qualifications or professional responsibilities may be subject to disciplinary action by the Division. Likewise, a therapist who engages in conduct which could lead to conviction of a crime related to the therapist's qualifications or professional responsibilities may be subject to disciplinary action.

f) A therapist who becomes impaired and unable to function according to the standards of practice may be subject to disciplinary action if active practice continues. Causes of impairment may include, but are not limited to, the abuse of mood-altering chemicals and physical or mental problems.

g) It is the responsibility of therapists to seek supervision and/or personal therapy for any problem that is interfering with their ability to perform their professional services.

h) A therapist must not subject a client to discrimination based on race, gender, religion, national origin, political affiliation, social or economic status, choice of lifestyle, or sexual or affectional orientation.

i) A therapist must inform a client of any conflict of interest, values, attitudes, or biases between them that are sufficient to impair their professional relationship. Either the client or the therapist may terminate the relationship. However, it is the therapist's responsibility to terminate the professional relationship when it no longer serves the client's needs or interests. It is the responsibility of the therapist to facilitate termination and to assist in referring the client to another professional. Termination shall be handled with care and sensitivity.

j) A therapist has the responsibility to be informed of other professional, technical, and administrative resources available to clients. A therapist must utilize those resources and/or refer clients when it is in the best interests of the client.

k) A therapist must make a referral upon client request regardless of administrative and/or funding mandates.

l) A therapist must not allow an individual or agency paying for the professional services to a client to exert undue influence over the therapist's work performance and clinical judgment.

m) A therapist must offer all facts regarding services rendered to the client prior to administration of professional services. The purpose of informed consent is to ensure client's complete access to information pertaining to professional services. Examples include, but are not limited to, fees for services, length of treatment and utilization of consultants. The client's signature indicating receipt of pertinent information is strongly encouraged.

n) A therapist must not provide services to a client when the therapist's objectivity or effectiveness is impaired. The therapist must make this known to the client and assist the client in obtaining a referral to another professional.

o) A therapist must hold in confidence all information pertaining to a client's therapy. It is the responsibility of the therapist to safeguard client confidences as required by law. This includes a therapist's employees and professional associates.

p) A therapist must inform a client of the limitations of confidentiality. These limitations include, but are not limited, to:

1. Limitations mandated by the law.

2. The prevention of clear and immediate danger to one or more persons.

3. When the therapist is a defendant in a civil, criminal, or disciplinary action arising from the therapy, client confidences may be disclosed in the course of that action.

4. When a written waiver of confidentiality has been obtained, all information revealed must be in accordance with the terms of the waiver. If there is more than one party involved in the therapy, the waiver must be signed by all members legally competent to execute such a waiver.

5. When release of information pertaining to a minor is requested, it must be signed by a parent or guardian.

q) Therapists are responsible to ensure that all records and written data are stored using security measures that prevent access to records by unauthorized persons.

r) Therapists are responsible for ensuring that the content and disposition of all records are in compliance with all relevant State laws and rules.

s) The Division hereby incorporates by reference the AAMFT Code of Ethics, the American Association for Marriage and Family Therapy, 112 South Alfred Street, Alexandria VA 22314-3061, January 2015, with no later amendments or editions.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.107 Rehabilitation

Upon written application to the Division for restoration of a license or for any other relief following discipline, the Division shall consider, but is not limited to, the following in determining if the person is to be deemed sufficiently rehabilitated to warrant the public trust:

a) The seriousness of the offense that resulted in the disciplinary action being considered;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the applicant has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the applicant;

e) Continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered;

f) The results of a professional competency examination designated by the Division and paid for by the applicant;

g) Written reports and oral testimony by peer review committees or other persons relating to the skill, knowledge, honesty, integrity and contriteness of the applicant;

h) Restitution to injured parties;

i) Future plans of the applicant;

j) Involvement of the applicant's family and friends in the applicant's rehabilitation process;

k) A written report of a physical or mental examination given by a practitioner selected by the Division and paid for by the applicant;

l) Any other information evidencing rehabilitation that would bear upon the applicant's request for relief or restoration of a license;

m) Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

n) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

o) Whether there has been compliance with any probationary terms imposed.

History

• Source: Added at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.110 Continuing Education

a) Continuing Education Hours Requirements

1. Every licensee who applies for renewal of a license as a licensed marriage and family therapist shall complete within the pre-renewal period 30 hours of continuing education (CE) relevant to the practice of marriage and family therapy. Included with the required 30 hours, CE must be obtained as set forth in 68 Ill. Adm. Code 1130 Subpart E.

2. A pre-renewal period is the 24 months preceding February 28 of each odd-numbered year.

3. One CE hour shall equal 50 minutes.

4. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

5. Licensed marriage and family therapists licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

b) Approved Continuing Education

1. Continuing education hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program or course (program) that is offered or sponsored by an approved continuing education sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3) and (4).

2. CE credit may be earned through postgraduate training programs (e.g., extern, residency or fellowship programs) or completion of marriage and family therapy related courses that are a part of the curriculum of a college, university or graduate school of marriage and family therapy. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 hours for each quarter hour of school credit awarded.

3. CE credit may be earned for verified teaching of a course or program in a college or graduate school approved in accordance with Section 1283.30 and/or as an instructor of continuing education programs given by approved sponsors. Credit will be applied at the rate of 1.5 hours for every hour of teaching or presenting the course or program material and only for the first presentation of the course or program (i.e., credit shall not be allowed for repetitious presentations).

4. CE credit may be earned for authoring papers, publications or books and for preparing presentations and exhibits. The preparation of each published paper, book chapter or audio-visual presentation dealing with marriage and family therapy may be claimed as 5 hours of credit. A presentation must be before a professional audience of marriage and family therapists. Five credit hours may be claimed for only the first time the information is published or presented.

5. CE hours may be earned through completion of a distance learning course (e.g., pre-recorded online course/program, live online course/program, by mail, computer, etc.) that is offered by an approved sponsor who meets the requirements set forth in subsection (c). Each such course shall include an examination.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean the American Association for Marriage and Family Therapy and any other person, firm, association, corporation or group that has been approved and authorized by the Division upon recommendation of the Board to coordinate and present continuing education courses and programs.

2. An entity seeking approval as a CE sponsor shall submit an application, on forms supplied by the Division, along with the fee set forth in Section 1283.95(a)(3). State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee. The application shall include:

A) Certification:

i) That all programs offered by the sponsor for CE credit shall comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor shall be responsible for verifying full-time continuous attendance at each program and provide a certificate of attendance as set forth in subsection (c)(9); and

iii) That upon request by the Division, the sponsor shall submit evidence (e.g., certificate of attendance or course material) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

B) A copy of a sample program with faculty, course materials and syllabi.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of marriage and family therapy;

B) Foster the enhancement of general or specialized work in the practice of marriage and family therapy;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for renewal of a license.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the program may also be identified, but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. All programs given by approved sponsors shall be open to all licensed marriage and family therapists and not be limited to members of a single organization or group.

7. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

8. To maintain approval as a sponsor, each sponsor shall submit to the Division by the last day of February of each odd-numbered year a renewal application, the fee set forth in Section 1283.95(b)(2) and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given.

9. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address, email address, and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

10. The sponsor shall maintain attendance records for not less than five years.

11. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

12. Upon the failure of a sponsor to comply with any one of the requirements of this Section, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of the sponsor's CE programs until such time as the Division receives assurances of compliance with requirements of this Section.

13. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with the requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request a hearing with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned CE hours offered in another state or territory not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or 90 days prior to expiration of the license. The program shall be reviewed using criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $50 per CE hour late fee not to exceed $300.

3. CE completed in accordance with subsection (b)(5), is not eligible for out-of-state CE credit. Instead, it must be provided by an approved CE provider as set forth in subsection (c).

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with CE requirements and the provisions of Section 1283.90, the Division shall restore the license upon payment of the required fee as provided in Section 1283.95.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements may file with the Division a renewal application along with the required fee set forth in Section 1283.95, a statement setting forth the facts concerning non-compliance and request for waiver of the CE requirements based upon those facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds good cause has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the pre-renewal period;

B) A temporary incapacitating illness documented by a licensed physician. A second, consecutive request for a CE waiver pursuant to this subsection (g)(2)(B) shall be prima facie proof that the renewal applicant has a physical or mental illness, including, but not limited to, deterioration through the aging process or loss of cognitive or motor skills that results in the licensee's inability to practice professional counseling or clinical professional counseling with reasonable judgment, skill or safety, in violation of subsection 85(a)(18) of the Act, and shall be grounds for denial of the renewal application or other disciplinary or non-disciplinary action; or

C) Any other similar extenuating circumstance, as determined by the Division.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in a good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.120 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 12727, effective August 9, 2024

68 Ill. Adm. Code 1283.125 Telehealth

Licensed Marriage and Family Therapists and Associate Licensed Marriage and Family Therapists may provide services through the means of telehealth consistent with the requirements of the Telehealth Act [225 ILCS 150].

History

• Source: Added at 48 Ill. Reg. 12727, effective August 9, 2024

Part 1284 Massage Licensing Act

68 Ill. Adm. Code 1284.10 Requirements for Licensure Under Section 20 of the Act (grandfather)

(Repealed)

History

• Source: Repealed at 35 Ill. Reg. 12885, effective July 20, 2011

68 Ill. Adm. Code 1284.20 Approved Programs

a) Effective January 1, 2014, an applicant's massage therapy training must meet the following minimum criteria:

1. A minimum of 600 clock hours or its equivalent in credit hours of supervised classroom and supervised hands-on instruction. Should an applicant not meet the required number of classroom/hands-on hours, the Division may require completion of additional coursework, as identified in subsection (a)(2), prior to licensure. For purposes of this subsection (a)(1), "supervised" means the supervisor is physically on-site, qualified and immediately available.

2. The minimum required subject matter and activities are:

A) Human anatomy, physiology, pathology and kinesiology.

B) Massage therapy theory, technique and practice, which may include but is not limited to: effleurage/gliding; petrissage/kneading; compression; friction tapotement/percussion; vibration; direct pressure; superficial warming techniques; pumping; stretching; jostling; shaking; rocking.

C) Contraindications, benefits, universal precautions, body mechanics, history, client data collection, documentation, ethics, business and legalities of massage, professional standards including draping and modesty, therapeutic relationships and communications.

3. Each student must maintain a minimum grade of 70% for all massage therapy related course and clinical work as described in this Section.

b) A massage therapy program must meet the following minimum criteria:

1. Maintain a written program philosophy, objectives and plan of organization;

2. Have written plans of study, including prerequisite, requisite and elective courses;

3. Maintain course outlines or syllabi for all massage therapy courses;

4. Provide a student handbook;

5. Have a faculty that consists of a sufficient number of full and part-time instructors to ensure that the educational obligations to the student are fulfilled. Lab/clinical/community course core (lead) faculty must demonstrate competence in their respective areas of teaching as evidenced by a minimum of 2 years or 2000 hours of experience in their field. Human sciences course core (lead) faculty (anatomy, pathology, physiology) must demonstrate competence in their respective areas of teaching as evidenced by a minimum of 2 years or 2000 hours experience in their field and/or by appropriate degrees/certificates from approved colleges/schools/institutions/programs;

6. If a program utilizes faculty assistants, it shall establish and maintain policies that set forth qualifications, duties and procedures for use of these personnel. Faculty assistants shall not be used as substitutes or replacements for regular faculty; shall not be responsible for the overall evaluation of any student; and shall work under the direct supervision of approved faculty;

7. Maintain permanent student records that summarize the credentials for admission, attendance, grades and other records of performance;

8. The ratio of students to faculty in the lab/clinical/community area shall not exceed 20 students to 1 instructor with no more than 10 student therapists and 10 serving as clients; and

9. All hands-on practice must be done on a living human being.

c) A massage therapy program from another jurisdiction must have substantially similar criteria for an applicant to have his or her credentials accepted for licensure by the Department.

History

• Source: Amended at 38 Ill. Reg. 5880, effective February 24, 2014

68 Ill. Adm. Code 1284.30 Application for Licensure

a) Any applicant for a massage therapy license shall meet all of the following requirements:

1. The applicant is at least 18 years of age and of good moral character;

2. The applicant has successfully completed an approved massage therapy program in accordance with Section 1284.20 or a substantially similar massage therapy program from another jurisdiction and passed the National Certification Board for Therapeutic Massage & Bodywork's (NCBTMB) examination or the Massage & Bodywork Licensing Examination (MBLEx) administered by the Federation of State Massage Therapy Boards (FSMTB).

3. Should an applicant not meet the required number of classroom/hands-on hours required for licensure, the Division may require completion of additional coursework prior to licensure.

4. Verification of fingerprint processing from the Illinois Department of State Police (ISP), an ISP live scan vendor whose equipment has been certified by ISP, or a fingerprint vendor agency licensed by the Division. Out-of-state residents unable to utilize the ISP electronic fingerprint process may submit to ISP one fingerprint card issued by ISP, accompanied by the fee specified by ISP. Fingerprints shall be taken within the 60 days prior to application.

5. Pay the required fee specified in Section 1284.50.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Massage Licensing Board (Board) to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 38 Ill. Reg. 5880, effective February 24, 2014

68 Ill. Adm. Code 1284.40 Endorsement

An applicant who is currently licensed under the laws of another jurisdiction and who wishes to be licensed as a massage therapist by endorsement shall file an application with the Division, on forms provided by the Division, that shall include:

a) Certification, on forms provided by the Division, of successful completion of an approved massage therapy program in accordance with Section 1284.20 or a substantially similar massage therapy program from another jurisdiction. Should an applicant not meet the required number of classroom/hands-on hours, the Division may require completion of additional coursework prior to licensure;

b) Certification from the jurisdiction of original licensure and the state in which the applicant is currently licensed and practicing, if other than the original, stating the time during which the applicant was licensed in that state, whether the file on the applicant contains records of any disciplinary actions taken or pending, and the applicant's license number;

c) A report of the applicant's examination record forwarded directly from NCBTMB or FSMTB;

d) Either:

1. Verification of electronic fingerprint processing from the Illinois Department of State Police or one of the Illinois State Police approved vendors. Applicants shall contact one of the approved vendors for fingerprint processing; or

2. Out-of-state residents unable to utilize the Illinois State Police electronic fingerprint process may submit to one of the Illinois State Police approved vendors one fingerprint card issued by the Illinois State Police, accompanied by the fee specified by the vendor; and

e) The required fee specified in Section 1284.50.

History

• Source: Amended at 37 Ill. Reg. 13417, effective January 1, 2014

68 Ill. Adm. Code 1284.45 Display of License

Every holder of a license as a massage therapist shall display the license in a conspicuous place in the licensee's place of practice, in the place of practice in which the licensee is employed, or, if the licensee is engaged in massage therapy at more than one place of practice, in the licensee's principal place of practice or the principal place of practice of the licensee's employer. If the licensee practices in more than one location, a copy of the license shall be displayed in a conspicuous place at all other places of practice.

History

• Source: Added at 35 Ill. Reg. 12885, effective July 20, 2011

68 Ill. Adm. Code 1284.50 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

The fee for application for a license as a massage therapist is $175.

b) Renewal Fees

The fee for the renewal of a license shall be calculated at the rate of $87.50 per year.

c) Sponsor Fees

1. The fee for licensure as a continuing education sponsor shall be $500.

2. The fee for renewal as a continuing education sponsor shall be $250 every two years.

d) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, not to exceed $470.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

5. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

6. The fee for a roster of persons licensed as massage therapists in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 35 Ill. Reg. 12885, effective July 20, 2011

68 Ill. Adm. Code 1284.60 Renewals

a) Every massage therapy license issued under the Act shall expire on December 31 of each even numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee and, beginning with the December 31, 2008 renewal and every renewal thereafter, completing continuing education (CE) in accordance with Section 1284.90.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license or pay the renewal fee.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 45 of the Act.

History

• Source: Amended at 30 Ill. Reg. 12114, effective June 29, 2006

68 Ill. Adm. Code 1284.70 Inactive Status

a) Licensed massage therapists who notify the Division, on forms provided by the Division, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Any licensed massage therapist seeking restoration from inactive status shall do so in accordance with Section 1284.80.

History

• Source: Amended at 30 Ill. Reg. 12114, effective June 29, 2006

68 Ill. Adm. Code 1284.80 Restoration

a) A person seeking restoration of a license after it has expired or has been placed on inactive status for less than 5 years shall file an application with the Division, with the fee specified in Section 1284.50 and proof of 24 hours of continuing education as defined in Section 1284.90 in the 2 years immediately preceding the restoration application.

b) A person seeking restoration of a license after it has expired or has been placed on inactive status for 5 years or more shall file an application with the Division, with the fee specified in Section 1284.50 and proof of 24 hours of continuing education as defined in Section 1284.90 in the 2 years immediately preceding the restoration application. The person shall also submit one of the following:

1. Certification of current licensure from the appropriate state board or licensing authority in another jurisdiction in which the registrant was authorized to practice, and proof of current active practice. Proof of current active practice shall include one verification of employment completed by the applicant's supervisor or, if self-employed, by a peer or colleague who is familiar with the applicant's work;

2. An affidavit attesting to military service as provided in Section 70 of the Act. Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 70 of the Act shall pay the current renewal fee and will not be required to submit proof of meeting the continuing education requirements; or

3. Proof of successful completion of an exam approved by the Division within 2 years prior to the restoration application.

History

• Source: Amended at 35 Ill. Reg. 12885, effective July 20, 2011

68 Ill. Adm. Code 1284.90 Continuing Education

a) Continuing Education Hours Requirements

1. Beginning with the December 31, 2008 renewal and every renewal thereafter, in order to renew a license, a licensee shall be required to complete 24 hours of continuing education, including at least 2 hours of ethics.

2. A pre-renewal period is the 24 months preceding December 31 of each even-numbered year.

3. One CE hour shall equal 50 minutes.

4. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

5. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

6. Massage therapists licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

7. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

b) Approved Continuing Education (CE)

1. CE hours shall be earned by verified attendance at (e.g., certificate of attendance or certificate of completion) or participation in a program or course (program) that is offered or sponsored by an approved continuing education sponsor;

2. All 24 hours of CE credit per renewal may be earned as follows:

A) For completion of a self-study course that is offered by an approved sponsor who meets the requirements set forth in subsection (c). Each self-study course shall include an examination.

B) Credit may be earned for papers prepared and delivered before recognized massage therapy organizations; papers published in nationally recognized massage therapy journals; or a chapter published in a book on massage therapy, each appropriately verified.

C) First time presentation of an academic course or workshop, seminar, in-service, electronic or Web-based course. Speeches made at luncheons or banquets or any other presentation not within the guidelines of this Section are not eligible for CE credit.

c) Approved CE Sponsors and Programs

1. Sponsor shall mean:

A) Entities approved by the National Certification Board for Therapeutic Massage and Bodywork (NCBTMB);

B) The American Massage Therapy Association (AMTA) and its chapters;

C) Any approved massage therapy program or accredited school, college, university or State agency; and

D) Any other person, firm, or association that has been approved and licensed by the Division pursuant to subsection (c)(2) to coordinate and present continuing education courses and programs in conjunction with this Section.

2. An entity seeking licensure as a CE sponsor shall submit an application, on forms supplied by the Division, along with the fee set forth in Section 1284.50. The applicant shall certify to the following:

A) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(3) and all other criteria in this Section. A sponsor shall be required to submit a CE program with course materials for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each program and provide a certificate of attendance as set forth in subsection (c)(9);

C) That, upon request by the Division, the sponsor will submit evidence (e.g., certificate of attendance or course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and knowledge of the licensee in the practice of massage, which shall include, but not be limited to, ethical reasoning, critical reasoning, interpersonal abilities and performance skills;

B) Be developed and presented by persons with 2 years of education and/or experience in the subject matter of the program;

C) Specify the course objectives, course content and teaching methods to be used; and

D) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs.

6. All programs given by approved sponsors shall be open to all licensed massage therapists and not be limited to members of a single organization or group.

7. To maintain approval as a licensed sponsor, each sponsor shall submit to the Division by each even-numbered year a renewal application, the renewal fee specified in Section 1284.50 of this Part, and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given.

8. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and license number of the sponsor;

B) The name and license number of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor or person responsible for the CE program.

9. The sponsor shall maintain attendance records for not less than 5 years.

10. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

11. Upon the failure of a sponsor to comply with any of the requirements of this Section, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at, or participation in any of that sponsor's CE programs until such time as the Division receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements.

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned or is seeking CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3) of this Section.

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $50 per CE hour late fee not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3) of this Section.

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with the current CE requirements, the Division shall restore the license upon payment of the required fee as provided in Section 1284.50.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, along with the required fee set forth in Section 1284.50, a statement setting forth the facts concerning noncompliance and request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds, from such affidavit or any other evidence submitted, that extreme hardship has been shown warranting granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the pre-renewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician; or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 45 Ill. Reg. 2812, effective March 1, 2021

68 Ill. Adm. Code 1284.110 Granting Variances

a) The Director of the Division of Professional Regulation of the Department of Financial and Professional Regulation (Director) may grant variances from this Part in individual cases where he or she finds that:

1. the provision from which the variance is granted is not statutorily mandated;

2. no party will be injured by the granting of the variance; and

3. the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

Part 1285 Medical Practice Act of 1987

68 Ill. Adm. Code 1285.20 Six Year Post-Secondary Programs of Medical Education

The standards for the 6-year post-secondary program of medical or osteopathic education described in Section 11(A)(2)(a)(i) of the Medical Practice Act of 1987 [225 ILCS 60] (the Act) are:

a) Completion of at least 2 academic years of undergraduate education in a college of arts and sciences or the equivalent of such education as determined by the Division;

b) Completion of at least 4 academic years of medical education including 2 academic years in the study of arts and sciences of medicine as generally recognized by the medical education community in the United States and 2 academic years of clinical study of the practice of medicine as generally recognized by the medical education community in the United States. The Division, upon the recommendation of the Medical Board, has determined that all programs of medical education listed in the World Directory of Medical Schools or its equivalent are considered to have satisfied the requirements of subsection (b); and

c) Valid certification issued by the Educational Commission for Foreign Medical Graduates or completion of one academic year of supervised clinical training for foreign medical students as defined by the American Medical Association Council on Medical Education (Fifth Pathway Program) in a United States medical school.

d) When the accuracy of any submitted documentation, or the relevance or sufficiency of the coursework or core clerkship rotations is questioned by the Division or the Illinois State Medical Board (Medical Board) because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant shall be requested to:

1. provide the information as may be necessary; and/or;

2. appear for an oral interview before the Medical Board to explain the relevance or sufficiency or otherwise clear up any discrepancies or conflicts in information.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.30 Programs of Chiropractic Education

a) A program of chiropractic education shall be deemed approved in the judgment of the Division if it meets the following requirements:

1. a Dean or other Executive Officer, employed on a full-time basis supervises the students and curriculum.

2. the faculty is comprised of graduates in their specialty from legally recognized and authorized professional colleges or institutions by the jurisdiction in which the college is located.

3. the faculty is organized and each department has a director and professors, each responsible to the director for instruction in the particular subjects he or she teaches.

4. annually, a catalogue or brochure is published setting forth the requisites for admission to the college, tuition, rates, courses offered, dates of sessions, schedule of classes, requirements for graduation, a roster of the undergraduate students and a roster of the last graduating class. The catalogue or brochure shall contain a list of the departments of the school, the titles of the personnel and a brief summary of each person's qualifications. The curriculum shall include, but not be limited to, 4 academic years' instruction in the following subjects:

A) Anatomy

i) Embryology

ii) Histology

iii) Neuro-anatomy

B) Physiology and Chemistry

C) Pathology and Bacteriology

D) Diagnosis

i) Physical

ii) Differential

iii) Laboratory

5. buildings provided with laboratories equipped for instruction in anatomy, chemistry, physiology, bacteriology and other areas of learning necessary to the due course of study prescribed by this Part; and that a laboratory equipped with supplies, models, mannequins, charts, stereopticon, roentgen-ray and other special apparatus used in teaching the system to treat human ailments without the use of medicine and operative surgery, be provided.

6. a library, accessible to students is maintained, with a librarian in constant attendance. The library shall contain a standard medical dictionary, texts and reference books, and the files of professional periodicals.

7. the college or institution requires all students to furnish, before matriculation, satisfactory proof of the preliminary education required by the Act.

8. full and complete records are kept showing the credentials for admission, attendance, grades and financial accounts of each student.

9. admission of transfer students will be limited to honorably dismissed students from another approved college or institution teaching the same system. The transcript of record obtained directly from the transferring school shall be kept on file. It shall be the duty of a college or institution to furnish such a transcript for the benefit of each student subject to honorable dismissal. No credit shall be given a transferred student for final or "senior year" work or for any courses taken by correspondence.

10. students shall start class attendance within one week after the start of each session. Credit for completion of a course will not be granted a student who failed to attend 80% of the complete session of the course.

b) Applicants seeking licensure who have received a chiropractic degree from a college that is not fully accredited in accordance with Section 11(B) of the Act and who are seeking licensure based on a second, duplicate or similar degree must pay the required fee and provide an official transcript specified in Section 21 of the Act to the Division showing:

1. completion of a least 2 additional academic years of study in the clinical sciences of not less than 960 clock hours per academic year in a fully accredited college during the time of additional study; and

2. the hours of clinical practice retaken to fulfill the chiropractic degree requirements. No credit will be given for prior credits in clinical practice.

c) All chiropractic colleges fully accredited by the Commission on Accreditation of the Council of Chiropractic Education or its successor at the time of graduation shall be deemed to have met the minimum standards.

History

• Source: Amended at 29 Ill. Reg. 18823, effective November 4, 2005

68 Ill. Adm. Code 1285.40 Approved Postgraduate Clinical Training Programs

a) The Division, upon the recommendation of the Medical Board, has determined that all postgraduate clinical training programs accredited by the Accreditation Council for Graduate Medical Education, the American Osteopathic Association, a member board of the American Board of Medical Specialties (ABMS), a member board of the Bureau of Osteopathic Specialists (BOS), the College of Family Physicians of Canada, the Royal College of Physicians and Surgeons of Canada, and the Federation of Medical Licensing Authorities of Canada as of January 1, 1999, are approved programs. If any such postgraduate clinical training program has its accreditation suspended, withdrawn, or revoked by the accrediting body, then the postgraduate clinical training program will no longer be considered an approved program.

b) Any postgraduate clinical training program that is not approved under subsection (a) shall submit to the Medical Board, for approval, evidence that the program is substantially similar to an approved program described in subsection (a). The program director shall provide the Medical Board the following information as well as any accompanying verifying documentation:

1. Name and address of sponsoring institution;

2. Name of program;

3. Location of all training sites where fellowship program activities are performed;

4. Duration of program;

5. Program's year of inception;

6. Minimum requirements for admitting applicants to program;

7. Number of applicants admitted per academic year;

8. Name of incoming applicants during the current academic year;

9. Name and Illinois license number of each individual who participated in the program for the past 5 years and details of the professional status of each individual currently, if known;

10. Name, specialty, board certification, title, and Illinois license number of the program director and any faculty members with educational and supervisory responsibility for those enrolled in the program;

11. Overall program goals and detailed clinical goals and/or objectives for training those enrolled in the program;

12. Overall didactic goals and objectives and specific educational lectures, conferences, meetings, and projects required to be attended by or given by individuals enrolled in the program;

13. Other specialty or sub-specialty programs at the institution that perform the same or similar teaching and training as the proposed program and why the proposed program is not part of those programs;

14. A detailed description of the didactic, clinical, and research resources available to program participants;

15. A detailed description of the clinical work and responsibilities of program participants;

16. A description of a participant's training schedule for each academic year;

17. A detailed policy for supervision of program participants;

18. Any policies the program will use to avoid clinical and educational competition with other program participants or other resident and fellows in the program;

19. Sample evaluation forms for program participants and any other metrics used to evaluate program participants, including any schedule of evaluations;

20. The process for formal and anonymous feedback related to the program-by-program participants;

21. Verification that practicing medicine outside of the program is not permitted by any program participant who holds only a temporary license; and

22. Whether the proposed program has been approved by the Medical Board in the past, including the date of any decision on the program and any changes to the program since the approval, including but not limited to any sites, faculty, curriculum, and certification.

c) The postgraduate clinical training program shall certify, on forms provided by the Division, to the satisfactory completion of not less than 12 months of clinical training as required by Section 11(A)(1) of the Act or 24 months of clinical training as required by Section 11(A)(2). The 24 months of clinical training shall at minimum include the successful completion of a second year of education in an approved program. The certification shall identify the commencement date and the concluding date of the training.

d) The Division may accept, upon the recommendation of the Medical Board, post graduate programs completed outside of the United States or Canada. The Medical Board shall consider the factors described in subsection (b).

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.50 Application for Examination (repealed)

History

• Source: Repealed at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.60 Examinations

a) Examinations for Licensure to Practice Medicine in All of Its Branches. An applicant that successfully passes or completes one of the following examinations will be eligible for licensure:

1. Completion of all steps of the United States Medical Licensing Examination (USMLE) with a passing performance on each step as determined by the Federation of State Medical Boards (FSMB) and the National Board of Medical Examiners (NBME). All steps must be completed within a ten-year period after passage of the first step. Applicants with a combined degree (MD/PhD) must complete all steps within a twelve-year period after passage of the first step. No applicant may have exceeded the maximum number of attempts for any step as established by the FSMB and the NBME so long as that maximum attempt is 5 or less in accordance with 225 ILCS 60/16.

2. Completion of all levels of the Comprehensive Osteopathic Medical Licensing Examination (COMLEX-USA) with a passing performance on each level as determined by the National Board of Osteopathic Medical Examiners (NBOME). All levels must be completed within a ten-year period after passage of the first level. Applicants with a combined degree (DO/PhD) must complete all steps within a twelve-year period after passage of the first step. No applicant may have exceeded the maximum number of attempts for any level as established by the NBOME.

3. Completion of all parts of the examination required to qualify for a Licentiate of the Medical Council of Canada (LMCC) with a passing score on each part as determined by the Medical Council of Canada (MCC).

4. Completion of all components of the Federation Licensing Examination (FLEX) with a passing score on all components as determined by the FSMB:

5. Completion of all parts of the National Board of Medical Examiners (NBME) Examination with a passing score on all parts as determined by the NBME.

6. Completion of all parts of the National Board of Osteopathic Medical Examiners (NBOME) Examination with a passing score on all parts as determined by the NBOME.

7. Completion of one of the following examination combinations with a score of 75 or better on each component, step, part, or level:

A) Flex Component I plus USMLE Step 3;

B) USMLE Step 1 and USMLE Step 2 plus FLEX Component II;

C) NBME Part 1 or USMLE Step 1, plus NBME Part 2 or USMLE Step 2, plus NBME Part 2 or USMLE Step 3;

D) NBME Part 1 or USMLE Step 1, plus NBME Part 2 or USMLE Step 2, plus FLEX Component II; or

E) NBOME Part I or COMLEX Level 1, plus NBOME Part II or COMLEX Level 2, plus NBOME Part III or COMLEX Level 3.

b) Examinations for Licensure to Practice Chiropractic

1. Examinations for licensure to practice chiropractic shall consist of Part I, Part II, Part III, and Part IV of the examination administered by the National Board of Chiropractic Examiners (NBCE).

2. To be successful, examinees must receive a passing score on all 4 parts of the examination as determined by the NBCE. No applicant may have exceeded the maximum number of attempts for any part as established by the NBCE so long as that maximum attempt is 5 or less in accordance with 225 ILCS 60/16.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.70 Application for a License on the Basis of Examination

a) An applicant for a license to practice medicine in all of its branches on the basis of examination shall file an application with the Division together with:

1. Proof that the applicant is of good moral character. Proof shall be an indication on the application that the applicant has not engaged in any conduct or activities that would constitute grounds for discipline under Section 22 of the Act. Applications of individuals who answer affirmatively to any question on the personal history portion of the application or who have engaged in activities that would constitute grounds for discipline shall be forwarded to the Enforcement Division of the Division of Professional Regulation for further review as provided in Section 22 of the Act;

2. An official transcript verifying completion of at least 2 years of undergraduate education as required by Section 1285.20(a) and proof of valid ECFMG certification or proof of completion of a Fifth Pathway Program in accordance with Section 1285.20(c);

3. An official transcript from the medical education program granting the degree verifying that the applicant has met the minimum medical education requirements of the Act;

4. An original, notarized English translation for any document submitted to the Division in a foreign language. The translation must be on the translator's letterhead, and the translator must verify that it is "a complete and accurate translation" to the best of the translator's knowledge, and that the translator is fluent in the language translated, and is qualified to translate the document;

5. Proof of completion of an approved postgraduate clinical training program, as required by Section 1285.40;

6. Proof of successful completion of an examination for licensure to practice medicine in all of its branches, as required by Section 1285.60(a);

7. Proof of professional capacity, as set forth in Section 1285.95, for applicants who have not been engaged in the active practice of medicine or an approved postgraduate clinical training program within 2 years prior to application;

8. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

9. The fee required by Section 21 of the Act.

b) If an applicant for licensure as a physician to practice medicine in all of its branches has a Profile from the Federation Credentials Verification Service of the Federation of State Medical Boards of the United States, Inc. (FSMB), the applicant may request the FSMB to forward to the Division a Physician Information Profile that includes, but is not limited to, verification of medical education, ECFMG Certification (if applicable), clinical training and complete examination information. The information contained in the applicant's profile shall be reviewed by the Division to determine if the applicant meets the requirements for licensure as set forth in the Act and in Sections 1285.70(a)(2) through (6).

c) An applicant who applies for a chiropractic physician license on the basis of examination shall file an application with the Division together with:

1. Proof that the applicant is of good moral character. Proof shall be an indication on the application that the applicant has not engaged in any conduct or activities that would constitute grounds for discipline under Section 22 of the Act. Applications of individuals who answer affirmatively to any question on the personal history portion of the application or who have engaged in activities that would constitute grounds for discipline shall be forwarded to the Enforcement Division of the Division of Professional Regulation for further review as provided in Section 22 of the Act;

2. An official transcript from the chiropractic education program granting the degree verifying that the applicant has met the minimum chiropractic education requirements of the Act;

3. Proof of completion of an examination for licensure to practice chiropractic, as required by Section 1285.60(n);

4. Proof of professional capacity, as set forth in Section 1285.95, for applicants who have not been engaged in the active practice of chiropractic or enrolled in a program of chiropractic education within 2 years prior to application;

5. Verification of fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan finger-print vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and; and

6. The fee required by Section 21 of the Act.

d) Pursuant to Section 9(B) of the Act, the Division shall verify the licensure information and disciplinary history of each applicant through the Federation of State Medical Boards or the Chiropractic Information Network Board Action Database (CIN-BAD).

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or training is questioned by the Division or the Medical Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

f) Within 60 days after issuance of the license, the physician shall complete a physician profile in accordance with Section 1285.305.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.80 Licensure by Endorsement

a) An applicant who holds an active license to practice medicine under the laws of another state or jurisdiction and who applies for a physician and surgeon license shall file an application with the Division together with:

1. A certification by the state or jurisdiction of original licensure and current licensure, including the date of issuance of the applicant's license and the current status of the license; the basis of licensure and a description of all examinations by which the applicant was licensed in that state or jurisdiction and the date of passage of any such examinations; and whether the records of the licensing authority contain any record of disciplinary action taken against the applicant;

2. Proof that the applicant is of good moral character. Proof shall be an indication on the application that the applicant has not engaged in any conduct or activities that would constitute grounds for discipline under Section 22 of the Act. Applications of individuals who answer affirmatively to any question on the personal history portion of the application or who have engaged in activities that would constitute grounds for discipline shall be forwarded to the Enforcement Division of the Division of Professional Regulation for further review as provided in Section 22 of the Act;

3. An official transcript verifying completion of at least 2 years of undergraduate education as required by Section 1285.20(a) and proof of valid ECFMG certification or proof of completion of a Fifth Pathway Program in accordance with Section 1285.20(c);

4. An official transcript from the medical education program granting the degree verifying that the applicant has met the minimum medical education requirements of the Act;

5. An original, notarized English translation for any document submitted to the Division in a foreign language. The translation must be on the translator's letterhead, and the translator must verify that it is "a complete and accurate translation" to the best of translator's knowledge, and that translator is fluent in the language translated, and is qualified to translate the document;

6. Proof of completion of an approved postgraduate clinical training program, as required by Section 1285.40;

7. Proof of completion of an examination for licensure to practice medicine in all of its branches as required by Section 1285.60(a);

8. Proof of professional capacity, as set forth in Section 1285.95, for applicants who have not been engaged in the active practice of medicine or an approved postgraduate clinical training program within 2 years prior to application;

9. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

10. The fee required by Section 21 of the Act.

b) If an applicant for licensure as a physician to practice medicine in all of its branches has a Profile from the Federation Credentials Verification Service of the Federation of State Medical Boards of the United States, Inc. (FSMB), the applicant may request the FSMB to forward to the Division a Profile that includes, but is not limited to, verification of medical education, ECFMG Certification (if applicable), clinical training and complete examination information. The information contained in the applicant's Profile shall be reviewed by the Division to determine if the applicant meets the requirements for licensure as set forth in the Act and in Sections 1285.80(a)(3) through (7).

c) An applicant who holds an active license to practice chiropractic under the laws of another state or jurisdiction and who applies for a chiropractic license shall file an application with the Division together with:

1. A certification by the state or jurisdiction of original licensure and current licensure, including the date of issuance of the applicant's license and the current status of the license, the basis of licensure and a description of all examinations by which the applicant was licensed in that state or jurisdiction and the date of passage of any such examinations and whether the records of the licensing authority contain any record of disciplinary action taken against the applicant;

2. An official transcript from the chiropractic education program granting the degree verifying that the applicant has met the minimum chiropractic education requirements of the Act;

3. Proof that the applicant is of good moral character and has not engaged in any conduct or activities which would constitute grounds for discipline under Section 22 of the Act. Applications of individuals who answer affirmatively to any question on the personal history portion of the application or who have engaged in activities which would constitute grounds for discipline shall be forwarded to the Enforcement Division of the Division of Professional Regulation for further review as provided in Section 22 of the Act;

4. Proof of completion of an examination for licensure to practice chiropractic, as required by Section 1285.60(b);

5. Proof of professional capacity, as set forth in Section 1285.95, for applicants who have not been engaged in the active practice of chiropractic or enrolled in a program of chiropractic education within 2 years prior to application;

6. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

7. The fee required by Section 21 of the Act.

d) Pursuant to Section 19(B) of the Act, the Division shall verify the licensure information and disciplinary history of each endorsement applicant through the Federation of State Medical Boards or the Chiropractic Information Network-Board Action Database (CIN-BAD).

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or training is questioned by the Division or the Medical Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Medical Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

f) Within 60 days after issuance of the license, the physician shall complete a physician profile in accordance with Section 1285.305.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.90 Temporary Licenses

a) To allow for timely processing, an application for a Temporary License to pursue postgraduate clinical training shall be filed at least 60 days prior to the commencement date of the training.

b) An applicant for a Temporary License shall file an application with the Division together with:

1. Proof that the applicant is of good moral character and has not engaged in any conduct or activities that would constitute grounds for discipline under Section 22 of the Act. Applications of individuals who answer affirmatively to any question on the personal history portion of the application or who have engaged in activities that would constitute grounds for discipline shall be forwarded to the Enforcement Division of the Division of Professional Regulation for further review as provided in Section 22 of the Act;

2. Proof that the applicant has been accepted for a resident or fellow position in a postgraduate clinical training program that is approved by the Division, pursuant to the provisions of Section 1285.40;

3. An official transcript or official transcript and certification of graduation from the medical education program granting the degree verifying that the applicant has met the minimum education requirements of the Act;

4. An official transcript verifying completion of at least 2 years of undergraduate education as required by Section 1285.20(a) and proof of valid ECFMG certification or proof of completion of a Fifth Pathway Program as set forth in Section 1285.20(c) for those applicants who are applying under Section 11(A)(2)(a)(i) of the Act;

5. An original, notarized English translation for any document submitted to the Division in a foreign language. The translation must be on the translator's letterhead, and the translator must verify that it is "a complete and accurate translation" to the best of the translator's knowledge, and that translator is fluent in the language translated, and is qualified to translate the document;

6. Proof of professional capacity, as set forth in Section 1285.95, for applicants who have not been enrolled in a program of medical education or engaged in the active practice of medicine within 5 years prior to application; and

7. The fee required by Section 21 of the Act.

c) If an applicant for temporary licensure has a Profile from the Federation Credentials Verification Service of the Federation of State Medical Boards of the United States, Inc. (FSMB), the applicant may request the FSMB to forward a Physician Information Profile to the Division that includes, but is not limited to, verification of medical education, ECFMG Certification (if applicable), postgraduate clinical training and complete examination information. The information contained in the applicant's Profile shall be reviewed by the Division to determine if the applicant meets the requirements for licensure as set forth in the Act and in Section 1285.90(b)(3), (4), and (5).

d) If the application is approved pursuant to Section 17 of the Act and this Section, the Temporary License shall be kept in the care and custody of the hospital. Any person not licensed to practice medicine in all of its branches in the State of Illinois who is enrolled in a postgraduate clinical training program shall have had a Temporary License issued on his/her behalf to a program that is approved pursuant to the provisions of Section 1285.40 prior to the commencement of the training.

e) Commencement of the postgraduate clinical training program prior to the issuance of a Temporary License shall be construed as the unlicensed practice of medicine.

f) A Temporary License shall be issued for a maximum of three years as provided in this Section. In no event shall a Temporary License be issued for any purpose other than a postgraduate clinical training program required for licensure under the Act.

g) No more than one Temporary License shall be issued to any person for the same period of time.

h) If a resident or fellow is terminated or resigns from a postgraduate clinical training program prior to its completion, the program director must notify the Division in writing immediately and describe the specific reasons why the resident was terminated or resigned.

i) A Temporary License may be transferred from one program to another within the initial 3 year period upon receipt by the Division of a new application and payment of a $20 fee along with proof that the applicant has been accepted for a resident or fellow position in a postgraduate clinical training program that is approved pursuant to the provisions of Section 1285.40. The program director must provide a letter to the Division describing the specific reasons why the applicant transferred programs. Requests for transfers shall be filed with the Division at least 60 days prior to the commencement date of the new program.

j) The Division shall allow a 14-day extension of the Temporary License beyond the 3-year period without filing an extension application. In order to extend beyond the 14-day period, a new application shall be filed with the Division that contains:

1. Proof that the applicant has been accepted for a resident or fellow position in a postgraduate clinical training program that is approved pursuant to the provisions of Section 1285.40;

2. A letter from the program director describing the specific reasons why an extension of temporary licensure is required; and

3. The required fee; $230 for a 3-year Extension of Temporary License; $165 for a 2-year Extension of Temporary License; or $100 for a 1-year Extension of Temporary License.

k) The Division shall issue a Limited Temporary License for no more than 6 months on behalf of individuals who apply, and submit evidence that:

1. The applicant is enrolled in a postgraduate clinical training program located in another state that meets the requirements of Section 1285.40;

2. The applicant has been accepted for a specific period of time to perform, under supervision, a portion of the clinical training at a postgraduate clinical training program in the State of Illinois that is approved pursuant to the provisions of Section 1285.40;

3. The approved postgraduate clinical training program in Illinois has assumed supervisory responsibility for the individual during the period specified on the application; and

4. The $100 fee.

l) A Limited Temporary License may be extended when an applicant who was previously granted a Limited Temporary License submits a new application and $100 fee to the Division that satisfies all of the requirements as set forth in Section 1285.90(k).

m) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Medical Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Medical Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

n) Any individual who participates in any portion of a postgraduate clinical training program without a Temporary License, a Limited Temporary License, or a license to practice medicine in all of its branches issued by the Division shall be considered to be involved in the unlicensed practice of medicine.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.91 Visiting Resident Permits

a) An individual who is enrolled in a postgraduate clinical training program outside the State of Illinois that is approved by the Division and who has been invited or appointed to perform a portion of that post graduate clinical training program in an Illinois patient care clinic or facility that is affiliated with the out-of-state program shall file an application, on forms provided by the Division, at least 60 days prior to the commencement date of the training.

b) No application shall be considered complete unless it is signed by the applicant, all questions have been answered and it contains or is accompanied by:

1. Proof that the applicant has been invited or appointed to perform a portion of the post graduate clinical training program in Illinois in an Illinois patient care clinic or facility that is affiliated with the out-of-state postgraduate training program;

2. Name and address of the patient care clinics or facilities and the date the training is to begin and the length of time of the invitation or appointment;

3. Name and license number of the Illinois physicians who will be responsible for supervising the applicant;

4. Certification from the post-graduate training program that the applicant is approved and enrolled in an out-of-state post-graduate training program approved by the Division;

5. Either:

A) Proof that the applicant maintains an equivalent authorization to practice medicine in all of its branches or to practice the treatment of human ailments without the use of drugs and without operative surgery in the applicant's native jurisdiction; or

B) Certification of licensure from the jurisdiction in which the applicant's clinical training program is located stating:

i) the date of issuance of the license;

ii) whether the records of the licensing authority contain any record of any disciplinary action taken or pending; and

6. A fee of $100; and

7. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application.

c) A visiting resident permit will be issued for 180 days.

d) No more than one visiting resident permit shall be issued to any person for the same period of time.

e) Written notice of the Division's final action on every application for a visiting resident permit shall be given to the applicant and the patient care clinics or facilities.

f) Commencement of the post-graduate training program prior to the issuance of the visiting resident permit shall be construed as unlicensed practice.

g) When a visiting resident is dismissed or otherwise terminates the specialty/residency program, it shall be the responsibility of the staff of the patient care clinic or facility to notify the Division immediately and submit a written explanation to the Division indicating why the visiting resident was dismissed or terminated.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.92 International Medical Graduate Physician Limited License

a) "International medical graduate" is defined under Section 2 of the Act as a medical graduate:

1. who has been trained in a country other than the United States;

2. whose education has been certified by the Educational Commission for Foreign Medical Graduates;

3. who has passed Step 1, Step 2 Clinical Knowledge, and Step 3 of the United States Medical Licensing Examination;

4. who maintains an unencumbered license from another country; and

5. who is not licensed to practice medicine in any state or territory of the United States. [225 ILCS 60/2]

b) An international medical graduate shall be eligible to apply for a limited license to practice medicine in the State of Illinois. Upon determination of fitness, the Division will issue a two-year limited license to an international medical graduate in accordance with Section 15.5 of the Act to an applicant who satisfies all of the following criteria:

1. Submits a fully completed application on forms provided by the Division which includes the payment of a $100 fee;

2. Provides an official transcript and diploma or official transcript and certification of graduation from the medical education program granting the degree and proof of Educational Commission for Foreign Medical Graduates (ECFMG) certification; provided, however, that the Division will waive the official transcript and diploma/certification of graduation requirement if the applicant demonstrates, to the Division's satisfaction, that the applicant is unable to obtain the required documentation from a non-cooperating country or educational institution;

3. Provides proof of successful completion of the United States Medical Licensing Examination (USMLE) Steps 1, 2, and 3. Examination scores shall be submitted directly to the Division from the testing entity;

4. Provides proof of current, unencumbered physician licensure in another country as verified by ECFMG's international credential verification services, currently named EPIC;

5. Submits evidence the applicant has at least three years of post-graduate training in another country verified by ECFMG or submits evidence that the applicant has been engaged in the active practice of medicine in the country where the applicant is licensed for at least two of the last five years. If the active practice of medicine predates the two years immediately preceding the date of application, the applicant must show evidence of a United States clinical experience, including one of the following:

A) A Clinical Rotation. A structured rotation in a specific medical department, often within a hospital or university setting to gain practical experience in patient care.

B) An Observership. An opportunity to shadow a United States licensed physician without a prior disciplinary history and observe the physician's daily routines and patient care, providing valuable insights into US medical practice.

C) An Externship. A hands-on experience where the individual is actively involved in patient care under the guidance of a physician preceptor.

D) Electives. An opportunity to complete clinical rotations in specific areas of medicine, often chosen by the individual to align with their career interests.

E) Holds an active Illinois physician assistant or advanced practice registered nurse license without prior disciplinary action.

6. Has entered into an agreement with a sponsoring entity which must be one of the following: a hospital, a Federally Qualified Health Center, a State-operated mental health facility or developmental center or a correctional center operated by the Department of Corrections, a community health center as defined in 77 Ill. Adm. Code 591.20, a multispecialty medical practice or clinic with two or more active physicians who hold unrestricted licenses to practice in the State of Illinois and which participates in graduate medical education, or another facility approved by the Division that provides an annual supervisor assessment and summative evaluation designed to develop, assess, and evaluate the individual's nonclinical and clinical skills and familiarity with standards appropriate for medical practice in the State of Illinois; and

7. Submits to and passes the background check required of physician license applicants under Sections 1285.70 and 1285.80.

c) Upon the issuance of the limited license, an individual may only practice:

1. Within the sponsoring entity; and

2. Under the supervision and control of the sponsoring entity who designates a supervisor who possesses a full and unrestricted Illinois license to practice medicine in all of its branches that has never been disciplined in the State of Illinois. The supervisor must be either board certified or actively participating in their maintenance of certification in the specialty or completed a residency or fellowship in a similar specialty to the one the applicant is pursuing.

d) An applicant for limited license must maintain a practice agreement, made available to the Department upon Department request, between the applicant and the sponsoring entity that provides an annual supervisor assessment and summative evaluation.

e) The sponsoring entity must ensure that the supervisor has sufficient support and dedicated time to effectively carry out educational, administrative, and professional responsibilities. The supervising physician shall maintain the final responsibility for the care of the patient and the performance of the limited license holder. All procedures and tasks performed by the limited license holder shall be within the current scope of practice of the supervising physician. It is the responsibility of the supervising physician to direct and review the practice of the limited license holder to ensure that appropriate directions are given and understood and that appropriate treatment is being rendered. Failure of the supervising physician to properly supervise a limited license holder may result in discipline under Section 1285.240.

f) Should either party terminate the practice agreement, it shall be the responsibility of both the limited license holder and the sponsoring entity to notify the Division immediately and submit a written explanation to the Division indicating why the practice agreement was terminated. A limited license holder may only practice within the sponsoring entity and under the supervision of a licensed physician in accordance with Section 1285.92(c).

g) A limited license issued under this Section is valid for two years and may be renewed every two years if the applicant meets the requirements of Section 1285.120, with the exception of the continuing medical education requirement for the first renewal.

h) A limited license holder shall be entitled to perform only those actions that are within the scope of practice of the supervising physician, as may be prescribed by and incidental to the limited license holder's practice agreement with the sponsoring entity while under supervision. A limited license holder shall not be entitled to otherwise engage in the practice of medicine in this State unless fully licensed in this State.

i) All persons licensed under this Section are subject to the jurisdiction of the Division to the same extent as all other licensees under the Medical Practice Act of 1987.

History

• Source: Added at 49 Ill. Reg. 11270, effective August 29, 2025

68 Ill. Adm. Code 1285.93 International Medical Graduate Physician Pathway to Full Unrestricted Licensure

a) An individual who successfully obtains a limited license pursuant to Section 1285.92 and practices under such limited license continuously until its expiration shall be eligible to apply for a two-year restricted license to practice medicine, in a location within Illinois designated by the federal Health Resources and Services Administration (HRSA) as a Health Professional Shortage Area, Medically Underserved Area or Medically Underserved Population. This license is restricted in designation only, and a restricted license holder shall be entitled to practice independently in Illinois in a Health Professional Shortage Area, Medically Underserved Area or by serving Medically Underserved Populations.

b) For purposes of determining approved practice locations for a restricted license applicant, the Department will recognize the Health Professional Shortage Areas, Medically Underserved Areas and Medically Underserved Populations that are designated by HRSA as of the date the application for restricted licensure was filed. If HRSA should cease to designate or keep data on Health Professional Shortage Areas, Medically Underserved Areas or Medically Underserved Populations, the Department will use the HRSA designations and data that were in effect on October 1, 2025.

c) The Division may issue a two-year restricted license to practice medicine in a Health Professional Shortage Area, Medically Underserved Area or Medically Underserved Population, so long as the individual maintained a limited license in accordance with Section 1285.92 and provides the Division with:

1. A fully completed application on forms provided by the Division;

2. Proof of successful completion of a two-year supervised work experience at a sponsoring entity for which the limited license was issued, including, but not limited to, certification of the completion of the annual supervisor's assessment and summative evaluation;

3. Proof of anticipated employment approved by the Division in a location within Illinois designated by HRSA as a Health Professional Shortage Area, Medically Underserved Area or Medically Underserved Population; and

4. Payment of a $230 fee.

d) An individual who obtains a restricted license pursuant to this Section shall not practice medicine:

1. In a solo private practice setting; or

2. In the form of telemedicine. All patient interactions must be face to face.

e) An individual who obtains a restricted license pursuant to this Section and practices under such restricted license until its expiration shall be eligible to apply for a full unrestricted license to practice medicine.

f) The Division will issue a full unrestricted license to practice medicine in all of its branches to an individual in accordance with Section 15.5 of the Act who has maintained a restricted license and provides the Division with:

1. A fully completed application on forms provided by the Division; and

2. Proof of two-years' worth of work experience within a location within Illinois designated by HRSA as a Health Professional Shortage Area, a Medically Underserved Area or Medically Underserved Population.

g) Within 60 days after issuance of a restricted license, the licensee shall complete a physician profile in accordance with Section 1285.305.

History

• Source: Added at 49 Ill. Reg. 11270, effective August 29, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1285 Medical Practice Act of 1987

68 Ill. Adm. Code 1285.95 Professional Capacity Standards for Licensure Applicants

Pursuant to Section 9(B)(4) of the Act, in determining professional capacity for individuals who have not been actively engaged in the practice of medicine or as a medical, osteopathic, or chiropractic student or who have not been engaged in a formal program of medical education during the 2 years immediately preceding application for licensure as a physician and surgeon or chiropractic physician and during the 5 years immediately preceding application for temporary licensure as a physician and surgeon, the individual may be required to complete such additional testing, training, or remedial education as the Medical Board may deem necessary to establish the applicant's present capacity to practice medicine with reasonable judgment, skill and safety. In determining professional capacity, the Board shall consider, but not be limited to, the following activities:

a) Medical research that is human clinical research consistent with the requirements of the Federal Food and Drug Administration (21 CFR 50) (2001, no further amendments or additions included) and the Consumer Product Safety Commission (16 CFR 1028) (2001, no further amendments or additions included) or other equivalent medical research.

b) Specialized training or education that is clinical training or clinical education such as, or equivalent to, the following:

1. Clinical training that takes place in a residency training program in accordance with the requirements set forth in Section 1285.40 or the equivalent (e.g., residency training in another state or jurisdiction).

2. Clinical medical practice in the National Health Service or its equivalent.

3. Continuing medical education (CME) recognized by the Accreditation Council on Continuing Medical Education (ACCME), the American Osteopathic Association (AOA), American Chiropractic Association (ACA), or continuing medical education in accordance with Section 1285.110.

4. Post-graduate education in basic or related medical sciences in any state or jurisdiction.

c) Publication of original work in clinical medicine published in medical or scientific journals that are listed by the Cumulative Index Medicus (CIM).

d) Clinical research or professional clinical medical practice in public health organizations (e.g., World Health Organization (WHO), Malaria Prevention programs, United Nations International Children's Emergency Fund (UNICEF) programs, both national and international).

e) Having been engaged in clinical research or clinical medical practice at a veterans, military, or other medical institution operated by the federal government.

f) Other professional or clinical medical activities or chiropractic activities, such as, or equivalent to, the following:

1. Presentation of papers or participation on panels as a faculty member at a program approved or recognized by the American Medical Association (AMA) or its affiliates, the American Osteopathic Association (AOA) or its affiliates, the American Chiropractic Association (ACA) or its affiliates, or a recognized specialty society or equivalent recognized by the medical community; or

2. Experience obtained as a Visiting Professor in accordance with Section 18(A) of the Act.

g) Clinical medical practice obtained in violation of the Act shall not be considered by the Medical Board in determining professional capacity for the purposes of this Section.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.100 Visiting Professor Permits

a) Any person not licensed in this State to practice medicine in all of its branches or as a chiropractic physician who has been appointed as a visiting professor at a medical, osteopathic or chiropractic program (program of medicine) in this State must be the holder of a Visiting Professor Permit issued by the Division pursuant to the provisions of Section 18 of the Act.

b) An application for a Visiting Professor Permit shall be made on forms provided by the Division. The application shall include:

1. The name and location of the applicant's program of medicine, dates of attendance, date and type of degree conferred;

2. Certification from the jurisdiction of original licensure indicating:

A) The date of issuance and status of the license; and

B) Whether the records of the licensing authority contain any record of any disciplinary action or pending action;

3. Certification from the Dean of the program of medicine indicating:

A) That the entity has contracted with the applicant and the applicant has received a faculty appointment to teach in the program;

B) Name and address of the patient care clinics or facilities affiliated with the medical program at which the applicant will be providing instruction and/or providing clinical care and a justification for any clinical activities that will be provided at the facilities;

C) The nature of the educational services to be provided by the applicant and the qualifications of the applicant to provide these services;

D) The term of the contract;

4. A copy of the applicant's current curriculum vitae; and

5. The $600 fee; and

6. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application.

c) Written notice of the Division's final action on every application for a Visiting Professor Permit shall be given to the applicant and the program of medicine designated. The applicant shall not commence the faculty appointment before the program receives written notification of the approval of the application. Notification may occur by email to an applicant's email address of record.

d) The initial Visiting Professor Permit shall be valid for 2 years or for the term of the faculty appointment, if less than 2 years. The Visiting Professor Permit may be renewed. Renewed Visiting Professor Permits shall be issued to expire on July 31 in the year of the physician license renewal. Individuals holding a valid Visiting Professor Permit on the effective date of this Section are eligible for renewal of that permit pursuant to subsection (e).

e) Permit Renewal

1. For the first renewal of the Visiting Professor Permit, the permit holder shall file an application with the Division, on forms provided by the Division, that includes:

A) Certification from the Dean of the program of medicine indicating the term of the renewal contract and a list of the affiliated patient care clinics and facilities where the permit holder will be providing instruction and the justification for any clinical activities that will be provided at the facilities;

B) Certification from the jurisdiction of original licensure indicating the current status of the license;

C) Proof of successful completion of:

i) the United States Medical Licensing Examination (USMLE) Step 2 in accordance with Section 1285.60 for a visiting professor to practice medicine in all of its branches; or

ii) the National Board of Chiropractic Examiners (NBCE) Part II or SPEC in accordance with Section 1285.60 for a visiting professor to practice chiropractic; and

D) The renewal fee of $600.

2. After the first renewal, a Visiting Professor Permit shall be renewed in accordance with subsection (f).

f) For renewals not made pursuant to subsection (e), the application for renewal of a Visiting Professor Permit shall be made on forms supplied by the Division at least 60 days prior to expiration of the permit. The Visiting Professor Permit renewal application shall include:

1. Certification from the Dean of the program of medicine indicating a valid contract between the visiting professor and the school and a list of the affiliated patient care clinics and facilities where the permit holder will be providing instruction and the justification for any clinical activities that will be provided at the facilities;

2. Certification from the jurisdiction of original licensure indicating the current status of the license;

3. Completion of 150 hours continuing medical education in accordance with Section 1285.110; and

4. The renewal fee of $600.

g) When any person on whose behalf a Visiting Professor Permit has been issued discharges or terminates the faculty appointment, any permit issued in the name of such person shall be null and void as of the date of discharge or termination. The program of medicine shall immediately provide written notice of the reason for the discharge or termination.

h) Only one Visiting Professor Permit shall be issued to an applicant. If the faculty appointment for which the permit was issued is terminated and the holder of the permit desires to remain in the State and practice or teach his/her profession, he/she must apply, meet all the requirements of this State, and receive a license to practice that profession.

i) When there has been a change in or addition to privileges of a visiting professor or a change in a facility where instruction or clinical care is being provided, the program shall notify the Division in writing of the changes and a justification for the changes. The Division, shall review the information and determine if a new permit needs to be issued.

j) Nothing in this Section shall prohibit the holder of a Visiting Professor Permit from applying for and receiving a license to practice their profession in this State during the term of their faculty appointment. In the event the holder of a permit is issued a license to practice their profession in this State, upon receipt of the license, the permit shall become null and void pursuant to the provisions of subsection (h).

k) Persons holding a permit under this Section shall only practice medicine in all of its branches or practice the treatment of human ailments without the use of drugs and without operative surgery in the State of Illinois in their official capacity under their contract within the medical school itself and any affiliated institution in which the permit holder is providing instruction as part of the medical school's educational program and for which the medical school has assumed direct responsibility. (Section 18 of the Act)

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.101 Visiting Physician Permits

a) Any person not licensed in this State to practice medicine in all of its branches or as a chiropractic physician who has received an invitation or appointment to study, demonstrate, or perform a specific medical, osteopathic, chiropractic or clinical subject or technique in a medical, osteopathic, or chiropractic school, a state or national medical osteopathic, or chiropractic professional association, or society conference or meeting, a hospital, or a facility operated pursuant to the Ambulatory Surgical Treatment Center Act [210 ILCS 5] in this State must be the holder of a Visiting Physician Permit issued by the Division pursuant to the provisions of Section 18(B) of the Act.

b) An application for a Visiting Physician Permit shall be made on forms provided by the Division. The application shall include:

1. Certification from the jurisdiction of current licensure indicating the date of licensure and current status of the license;

2. Certification from the dean or program director of the school or hospital indicating:

A) That the person has received an invitation or appointment to study, demonstrate, or perform a specific clinical subject or technique;

B) The nature of the educational services to be provided to the applicant;

C) The term of the contract;

3. A copy of the applicant's current curriculum vitae;

4. The fee of $200; and

5. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application.

c) Written notice of the Division's final action on every application for a Visiting Physician Permit shall be given to the applicant and/or the school or hospital designated. The applicant shall not commence the appointment before the program receives written notification from the Division of the approval of the application. Notification may be made by email to the applicant's email address of record.

d) A Visiting Physician Permit shall be valid for 180 days or until such time as the clinical studies, demonstration, or performance of techniques are completed, whichever occurs first.

e) When the holder of a Visiting Physician Permit has been discharged or terminated from an appointment, any certificate issued in the name of the person shall be null and void as of the date of the discharge or termination. The school or hospital shall immediately provide to the Division written notice of the reason for the discharge or termination.

f) Only one Visiting Physician Permit shall be issued to an applicant per 12-month period. If, at the conclusion of the term of the appointment for which the permit was issued, the holder of the permit desires to remain in the State and practice or teach his/her profession, he/she must apply for and receive a license to practice medicine in all of its branches or as a chiropractic physician.

g) Nothing shall prohibit the holder of a Visiting Physician Permit from applying for and receiving a license to practice his/her profession in this State during the term of the appointment. In the event the holder of a permit is issued a license to practice in this State, upon issuance of the license, the permit shall become null and void pursuant to the provisions of subsection (f).

h) A Limited Visiting Physician Permit will be issued by the Division to an out-of-state physician who has been requested to perform an emergency procedure in Illinois.

1. An individual seeking a Limited Visiting Physician Permit shall apply to the Division, on forms provided by the Division, and submit the following:

A) Verification of licensure in another jurisdiction;

B) A description of the emergency procedure to be performed;

C) The exact date and location of the procedure;

D) The name and license number of the sponsoring physician who will be responsible for the applicant;

E) Proof from the hospital that the applicant has approval from the facility to perform the procedure signed by the administrator of the hospital;

F) A copy of an up-to-date curriculum vitae;

G) A $100 fee; and

H) Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall not be taken not more than 60 days prior to the application.

2. The permit will be issued for no more than 5 days. However, in extenuating circumstances, upon review by the Chairman of the Medical Board or his/her designee, the permit may be extended.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.105 Chiropractic Physician Preceptorship (repealed)

History

• Source: Repealed at 24 Ill. Reg. 3620, effective February 15, 2000

68 Ill. Adm. Code 1285.110 Continuing Medical Education (cme)

The Division shall promulgate rules of continuing education for persons licensed under the Act that require 150 hours of continuing education per license renewal cycle. This Part shall be consistent with requirements of relevant professional associations, specialty societies, or boards. This Part will also address variances for illness or hardship. In establishing this Part, the Division shall consider educational requirements for medical staffs, requirements for specialty society board certification or for continuing education requirements as a condition of membership in societies representing the 2 categories of licensee (physicians licensed to practice medicine in all of its branches and chiropractic physicians) under the Act. This Part shall assure, but not be limited to, that licensees are given the opportunity to participate in those programs sponsored by or through their professional associations or hospitals that are relevant to their practice. Each licensee is responsible for maintaining records of completion of continuing education and shall be prepared to produce the records when requested by the Division. (Section 20 of the Act)

a) Continuing Medical Education (CME) Hours Requirements

1. In order to renew a license, a licensee shall be required to complete 150 hours of CME per prerenewal period.

2. A prerenewal period is the 36 months preceding July 31 in the year of the renewal.

3. One CME hour shall equal 60 minutes. After completion of the initial CME hour, credit may be given in 30-minute increments.

4. A renewal applicant shall not be required to comply with CME requirements for the first renewal of an Illinois license. A renewal applicant shall not be required to comply with CME requirements for the renewal of an Illinois license that has been reinstated to active status during the pre-renewal period.

5. Individuals licensed in Illinois but residing and practicing in other states shall comply with the CME requirements set forth in this Section.

6. CME credit hours used to satisfy the CME requirements of another jurisdiction may be applied to fulfill the CME requirements of the State of Illinois if the CME required by the other jurisdiction is verified as approved by the jurisdiction in which the CME was completed. Licensees may only claim hours that are documented consistent with the requirements in subsection (c)(7).

7. The Division, upon recommendation of the Medical Board, will accept the American Medical Association Physician Recognition Award (AMA PRA) certificate awarded to physicians licensed to practice medicine in all of its branches as documentation of compliance with the 150 CME hours set forth in this Part. The hours shall be earned consistently with the prerenewal period set forth in subsection (a)(2).

8. CME used to satisfy the requirements for renewal of a license may not be used to satisfy the CME requirements for another renewal period.

9. The CME requirements set forth in this Section apply to both physicians licensed to practice medicine in all of its branches and chiropractic physicians licensed in Illinois.

b) CME hours for both physicians licensed to practice medicine in all of its branches and chiropractic physicians in Illinois shall be earned by, but not limited to, verified attendance at (e.g., certificate of attendance or certificate of completion) or participation in a program or course (program) as follows:

1. CME hours shall be earned as follows:

A) A minimum of 60 hours of required CME shall be obtained in formal CME programs set forth in subsection (b)(2); and

B) A maximum of 90 hours of the required CME shall be obtained in informal CME programs or activities as set forth in subsection (b)(3).

2. Formal CME Programs:

A) Formal programs conducted or endorsed by hospitals, specialty societies, and facilities, and other programs offered by other organizations approved to offer CME credit as set forth in subsection (c).

B) Formal CME programs conducted by medical, chiropractic or osteopathic colleges, schools, or education programs. A maximum of 12.5 hours of CME may be claimed for each month of postgraduate clinical training completed in a program approved by the Division in accordance with Section 1285.40.

C) CME programs required for certification or recertification by specialty boards and professional associations.

D) Activities conducted by sponsors approved in accordance with this Section:

i) CME activities utilizing enduring materials such as podcasts, CD-ROMs, DVDs, archived, webinars, printed educational materials, audiotapes, video cassettes, films, slides, and computer assisted instruction that provide a clear, concise statement of the educational objectives and indicate the intended audience. These programs shall also have a method of verifying physicians' participation;

ii) Live activities, such as specialty society annual meeting and conferences, workshops, seminars, journal clubs, and live Internet webinars;

iii) Internet point-of-care learning – Structured CME activities using online databases to engage in self-directed learning on topics relevant to clinical practice; and

iv) Journal-based CME.

3. Informal CME programs or activities shall consist of, but not be limited to, any of the following activities that the licensee must document, including the dates and a brief description of the activity:

A) Unstructured online searching and learning;

B) Use of electronic databases in patient care;

C) Consultation with peers and medical experts;

D) Teaching health professionals;

E) Medical writing;

F) Self-assessment activities;

G) Preceptorship participation;

H) Participating in formal peer review and quality assurance activities;

I) Preparation of educational exhibits; or

J) Journal reading including reading authoritative medical literature.

c) CME Sponsors and Formal Programs

1. Sponsor, as used in this Section, shall mean:

A) For physicians licensed to practice medicine in all of its branches:

i) Accreditation Council on Continuing Medical Education and organizations accredited by ACCME as sponsors of CME;

ii) Illinois State Medical Society, or its affiliates;

iii) Council on Continuing Medical Education for the American Osteopathic Association and the Illinois Osteopathic Medical Society or its affiliates; or

iv) Any other organization that has been approved by the Division pursuant to subsection (c)(2) to provide CME in accordance with this Section (e.g., ambulatory procedure centers, blood banks, government or military agencies, group medical practices health law firms, health professional membership organizations, infusion centers, insurance or managed care companies, nursing homes, publishing or education companies, rehabilitation centers, software developers). Organizations eligible to be approved by the Division are those whose mission and function are:

● Providing clinical services directly to patients;

● The education of healthcare professionals; or

● Serving as fiduciary to patients, the public, or population health.

B) For chiropractic physicians:

i) Illinois Chiropractic Society, or its affiliates;

ii) Illinois Prairie State Chiropractic Association, or its affiliates;

iii) Commission on Accreditation the Council on Chiropractic Education;

iv) International Chiropractic Association, or its affiliates;

v) American Chiropractic Association, or its affiliates; or

vi) Any other accredited school, college or university, State agency, or any other person, firm, or association that has been approved and authorized by the Division pursuant to subsection (c)(2) to coordinate and present continuing medical education courses and programs in conjunction with this Section.

C) Physicians licensed to practice medicine in all of its branches or chiropractic physicians may earn CME hours from the sponsors set forth in subsections (c)(1)(A) and (B).

2. An organization, not listed in subsections (c)(1)(A) and (B), seeking approval as a CME sponsor for formal programs shall submit an application, on forms supplied by the Division, along with a $2000 nonrefundable application fee. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The application shall include:

A) Certification:

i) The provider has a CME mission statement that includes expected results described in terms of changes in competence, performance, or patient outcomes that will be the result of the CME programs;

ii) The provider gathers data or information and conducts a program-based analysis on the degree to which the CME mission of the program has been met through the conduct of CME activities;

iii) The provider identifies, plans, and implements the needed or desired changes in the overall program (e.g., planners, teachers, infrastructure, methods, resources, facilities, interventions) that are required to improve on ability to meet the CME mission;

iv) The provider incorporates into CME activities the educational needs (knowledge, competences, or performance) that underlie the professional practice gaps of their program participants;

v) The provider generates activities that are designed to change competence, performance, or patient outcomes as described in its mission statement;

vi) The provider chooses educational formats for activities that are appropriate for the setting, objectives, and desired results of the activity;

vii) The provider develops activities in the context of desirable physician attributes (competencies);

viii) The provider analyzes changes in learners (competence, performance, or patient outcomes) achieved as a result of the overall program's activities;

ix) All programs offered by the provider comply with the criteria for Continuing Medical Education (CME) in Section 1285.110;

x) The provider is responsible for verifying participants' completion of its programs and providing a certificate of attendance as described in subsection (c)(7); and

xi) Upon request by the Division, the provider shall submit evidence (e.g., certificate of attendance, course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that the information is necessary to ensure compliance.

B) A copy of a sample program including course materials, syllabi, and a list of faculty.

3. All formal programs shall:

A) Be educational activities that meet the standards of this Section and that service to maintain, develop, or increase the knowledge, skills, and professional performance that a physician uses to provide care, or to improve the quality of care provided to patients. These may include, but are not limited to, educational activities that meet any of the following criteria:

i) Have a scientific or clinical content with a direct bearing on the quality or cost-effective provision of patient care, community or public health, or preventive medicine.

ii) Concern quality assurance or improvement, risk management, health facility standards, or the legal aspects of clinical medicine.

iii) Concern bioethics or professional ethics.

iv) Are designed to improve the physician-patient relationship;

B) Be learning and development activities that are trustworthy and based on best practices and high-quality evidence;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CME hours that may be applied to fulfilling the Illinois CME requirements for license renewal.

4. Each CME formal program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the program may also be identified but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. To maintain approval as a sponsor, each shall submit to the Division by July 31 in the year of renewal a renewal application, and a $2000 fee.

7. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address, and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

8. The sponsor shall maintain attendance records for not less than 5 years.

9. The sponsor shall be responsible for assuring that no individual shall receive CME credit for nonparticipation in a program.

10. Upon the failure of a sponsor to comply with any of the preceding requirements of this Section, the Division, after notice to the sponsor shall thereafter refuse to accept for CME credit attendance at or participation in any of that sponsor's CME programs until such time as the Division receives evidence of compliance with this Section.

11. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CME program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CME Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CME requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CME requirements (e.g., certificate of attendance). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

e) Waiver of CME Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CME requirements shall file with the Division a renewal application along with the required fee set forth in Section 21(e)(4) of the Act, a statement setting forth the facts concerning non-compliance and a request for waiver of the CME requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Medical Board, finds from such affidavit or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of CME requirements for the renewal period for which the applicant has applied.

2. Hardship shall be determined on an individual basis by the Medical Board and be defined as an inability to devote sufficient hours to fulfilling the CME requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) A temporary incapacitating illness documented by a statement from a currently licensed physician;

C) Temporary undue hardship (prolonged hospitalization, family illness); or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.120 Renewals

a) Every license issued under the Act shall expire on July 31, 1990, and every third year thereafter. A licensee is required to complete 150 hours of CME in accordance with Section 1285.110 of this Part in order to renew the license. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee stated in Section 21(e)(5) of the Act.

b) It is the responsibility of each licensee to notify the Division of any change of physical or email address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew the license in a timely manner.

c) Practicing or operating on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 22 of the Act.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.130 Reinstatement from Expired, Inactive, or Not Renewed Status

a) A licensee seeking reinstatement of a license from not renewed status that has been expired for 3 years or less shall have a license reinstated upon payment of all lapsed renewal fees required by Section 21 of the Act, a completed physician profile in accordance with Section 1285.305 of this Part, and proof of completion of 150 hours of CME in accordance with Section 1285.110 of this Part.

b) A licensee seeking reinstatement of a license from inactive status that has been placed on inactive status for 3 years or less shall have the license reinstated upon payment of the current renewal fee, submission of a completed physician profile in accordance with Section 1285.305, and the continuing education requirements for the last renewal period.

c) A licensee seeking reinstatement of a license after it has been expired or been placed on inactive status for more than 3 years shall file an application, on forms supplied by the Division, together with the fee required by Section 21 of the Act, a completed physician profile in accordance with Section 1285.305 of this Part, and proof of completion of 150 hours of continuing education in accordance with Section 1285.110 of this Part. The licensee shall also submit one or more of the following to be considered as a factor in determining professional competency:

1. Sworn evidence of active practice in another jurisdiction. That evidence shall include a verification of employment and a statement from the appropriate board or licensing authority in the other jurisdiction within 3 years from the date of the application that the licensee was authorized to practice during the term of active practice.

2. An affidavit attesting to military service as provided in Section 21 of the Act.

3. Proof of successful completion of an approved postgraduate clinical training program of at least 12 months in length within 3 years from the date of application.

4. Proof of completion evidenced by verification of medical education of a course of study of at least 30 credit hours in a college approved by the Division under the Act within 3 years from the date of application.

5. Successful completion of the Step 3 of the United States Medical Licensing Examination (USMLE), the Special Purpose Examination (SPEX) or the Comprehensive Osteopathic Medical Variable Purpose Examination for the United States of America (COMVEX-USA) within 3 years prior to the date of application. To be successful an applicant must receive a passing score as determined by the Federation of State Medical Boards and the National Board of Medical Examiners or the National Board of Osteopathic Medical Examiners. Any applicant for reinstatement who fails Step 3 of the USMLE, the SPEX or the COMBEX-USA 3 times shall be required to furnish proof of 12 months of remedial education in an approved postgraduate clinical training program prior to taking the exam an additional time. If an applicant for reinstatement is unable to complete Step 3 of the USMLE due to unavailability of the examination, the applicant shall take the Special Purpose Examination and must receive a score of 75 or better.

6. For individuals with a chiropractic license, proof of completion of 30 credit hours (academic hours) in an accredited chiropractic program within 3 years from the date of application or the Special Examination for Chiropractic (SPEC) or its equivalent as approved by the Board.

d) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is reasonably questioned by the Division because of discrepancies or conflicts in information, information needing further clarification, and/or missing information, the licensee seeking reinstatement of a license will be requested to:

1. Provide information as may be necessary; and/or

2. Explain the relevance or sufficiency during an oral interview; or

3. Appear for an oral interview before the Medical Licensing Board designed to determine the individual's current competency to practice under the Act. Upon the recommendation of the Medical Licensing Board, an applicant shall have his or her license reinstated.

e) Placement of a license into inactive status does not preclude the Division from proceeding with any action pursuant to Section 22 of the Act.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.135 Restoration from Disciplinary Status

a) Prior to filing a petition for restoration, a licensee seeking restoration of a license that has been in refuse to renew status, suspended, revoked, or otherwise barred from the practice of medicine for less than two years shall comply with the requirements of Section 1285.130(a).

b) Prior to filing a petition for restoration, a licensee seeking restoration of a license that has been in refuse to renew status, suspended, revoked, or otherwise barred from the practice of medicine for more than two years shall submit to the Department one or more of the following to be considered as a factor in determining professional competency:

1. Proof of successful completion (evidenced by Certification of Clinical Training) of an approved specialty residency program of at least 12 months in length within two years from the date of application.

2. Proof of completion evidenced by Certification of Medical Education of a course of study of at least 30 credit hours (one academic year) that includes no more than 25 clock hours of basic sciences and 40 clock hours of clinical sciences in a college approved by the Division under the Act within two years from the date of application.

3. Successful completion of Step 3 of the United States Medical Licensing Examination (USMLE) or a Board approved assessment program within two years prior to the date of the petition for restoration. Any licensee who fails any portion or all portions of the USMLE shall be required to furnish proof of remedial education in an approved program. Proof of additional remedial education in an approved program shall also be furnished each time the applicant fails the USMLE after undergoing remedial education (i.e., after the sixth, ninth exam, etc.).

4. For individuals applying for a chiropractic license, proof of completion of 30 credit hours (academic hours) in an accredited chiropractic program within two years from the date of application or the Part IV of the National Board of Chiropractic Examiners (NBCE) Exam or its equivalent as approved by the Board.

History

• Source: Added at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.140 Granting Variances

The Director may grant variances from this Part in individual cases where the Director finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.200 Illinois State Medical Board

The Illinois State Medical Board (the "Medical Board"), whose powers and duties are set forth in Section 7 of the Act, shall be responsible for all discipline for physicians licensed under the Medical Practice Act of 1987 and physician assistants licensed under the Physician Assistant Practice Act of 1987 [225 ILCS 95].

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.205 Complaint Committee

a) There shall be a Complaint Committee of the Board composed of the Medical Coordinators established by Section 7(g) of the Act, the Chief of Medical Investigations (person employed by the Division who is in charge of investigating complaints against physicians and physician assistants), and at least two voting members of the Board (at least two of whom shall be physicians) designated by the Chairperson of the Board with the approval of the Board. The Chief of Medical Prosecutions, or their designee, shall participate in the Complaint Committee to fulfill the duties under subsection (c)(3).

b) The Complaint Committee shall meet at least twice a month to exercise its functions and duties set forth in subsection (c). At least two members of the Board shall be in attendance in order for any business to be transacted by the Complaint Committee. The Complaint Committee shall make every effort to consider expeditiously and take prompt action on each item on its agenda.

c) The Complaint Committee shall have the following duties and functions:

1. To recommend to the Medical Board that a complaint file be closed.

2. To refer a complaint file to the office of the Chief of Medical Prosecutions for review.

3. To make a decision in conjunction with the Chief of Medical Prosecutions regarding action to be taken on a complaint file.

4. In determining what action to take or whether to proceed with prosecution of a complaint, the Complaint Committee shall consider the following factors, but not be limited to: sufficiency of the evidence presented, prosecutorial merit under Section 22 of the Act, and insufficient cooperation from complaining parties.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.210 The Medical Coordinator

The Medical Coordinator shall be responsible for reviewing complaints and investigations of complaints and for making recommendations to the Complaint Committee and the Board regarding the investigation and disposition of complaints. He or she shall also serve as a member of the Complaint Committee. The Medical Coordinator shall be responsible for consulting with the Probation Compliance Unit, established by the Division, to monitor physicians and physician assistants who have been disciplined to assure compliance with the terms of their probation and/or other disciplinary action and for making status reports to the Board regarding such compliance. The Medical Coordinator shall also be responsible for administering programs of care, counseling, or treatment for enrolled physicians and physician assistants. The Medical Coordinator shall also testify on behalf of the Department within his/her expertise regarding the standards of the profession when requested by the Chief of the Medical Prosecutions and/or his/her designee.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.215 Complaint Handling Procedure

a) The following definitions shall apply to this Part:

1. "Initial claim" shall mean an allegation made against a physician or physician assistant that results in a preliminary analysis to determine whether the Division should conduct a further investigation.

2. "Complaint" shall mean the initial claim made against a physician or physician assistant that results in further inquiry or investigation. To become a complaint, an initial claim must present a potential violation of Section 22 of the Act, or Section 21 of the Physician Assistant Practice Act of 1987 (PA Act) [225 ILCS 95] and must not be barred by the statute of limitations or be precluded by some other inherent defect that would prevent the Division from being able to prove a violation of the Act or PA Act. An inherent defect is the absence of something necessary for something to be complete. An inherent defect includes, but is not limited to, complainants' refusal to provide necessary medical records so that an investigation may be conducted or completed.

3. "Formal Complaint" shall mean the filing by the Division conforming to the rules of practice before the Division alleging facts that would constitute grounds for the revocation or other disciplinary action of the license of a physician or physician assistant under Section 22 of the Act or Section 21 of the PA Act, respectively.

b) Initial claims against physicians and physician assistants may be made in writing, via email or internet submission, by telephone, or in person. All initial claims shall be recorded by the Division and forwarded to the Chief of Medical Investigations for review. Upon receipt of an initial claim, the Division shall provide to complainants a brochure that provides information about the complaint process, the role of the Division, the reasons for disciplinary action, and other commonly asked questions, to be included in the first mailing sent to the complainant, along with verification that an initial claim was received and forwarded to the Chief of Medical Investigations.

c) After review, the Chief of Medical Investigations, in conjunction with the Chief Medical Coordinator and the Chief of Medical Prosecutions, will recommend to the Complaint Committee whether an initial claim should become a complaint. If the recommendation to the Complaint Committee is for the initial claim to be closed, then the Chief of Medical Investigations shall submit his/her determination and any accompanying analysis of the initial claim to the Complaint Committee with a recommendation for closure except as allowed in Section 7.5(e) of the Act.

d) If, after review the Chief of Medical Investigations, in conjunction with a Medical Coordinator, recommends an initial claim should not be closed it should be referred to the Complaint Committee for consideration.

e) No initial claim or complaint shall be deemed closed except upon recommendation of the Complaint Committee and approval by the Medical Board except as allowed by Section 7.5(e). An initial claim or complaint considered by the Complaint Committee may be:

1. Closed;

2. Deferred pending further action;

3. Referred to medical investigations for further investigations, thereby becoming a complaint; or

4. Referred to medical prosecutions for further action.

f) At any time during an investigation the Division may enter into negotiations to resolve issues informally by way of a consent order. Factors to be considered in deciding whether to enter into a consent order shall include, but not be limited to sufficient investigation of the case; whether there was physical harm or injury to a patient; relative severity of the respondent's alleged conduct; and past practices of the Division.

g) Recusal of a Medical Board Member

1. A Medical Board member shall recuse themself from consideration of a complaint or formal complaint when the member determines that conflict of interest or prejudice exists that would prevent the member from being fair and impartial.

2. Participation in the initial stages of the handling of a complaint, including participation on the Complaint Committee and in informal conferences, does not bar a Medical Board member from future board participation or decision-making relating to that complaint.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.220 Informal Conferences (repealed)

History

• Source: Repealed at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.225 Consent Orders

a) In the event the Chief of Medical Prosecutions or designee recommends that a consent order be entered into, every reasonable effort shall be made to forward the consent order within 15 days to the respondent. The respondent shall sign and return the consent order to the Division within 30 days. If the respondent does not return the consent order within 30 days, it shall be presumed that the respondent does not wish to enter into the consent order and the consent order shall be rescinded.

b) The consent order may include, but not be limited to, the following:

1. Disciplinary Actions

A) Reprimand

B) Suspension

C) Revocation

D) Probation

E) Fines

F) Permanent Inactive Status

G) Voluntary Surrender of License

2. Non-Disciplinary Actions

A) Remedial continuing medical education

B) Referral to treatment

C) Administrative fees

D) Permanent Inactive Status

E) Voluntary Surrender of License

c) Medical Board Action

1. Upon receipt of the properly executed proposed consent order, the Medical Board shall make every reasonable effort to take action on the consent order at the next scheduled Medical Board meeting (but in no event later than 120 days after receipt of the executed consent order) either to:

A) Sign the consent order; or

B) Reject the consent order with or without recommendations.

2. Every effort shall be made to send any consent order signed by the Medical Board to the Director for action within 10 days.

d) Director Action

1. Upon receipt of the properly executed proposed consent order, the Director shall make every reasonable effort to take one of the following actions on the consent order within 15 days:

A) Sign the consent order;

B) Return the consent order to the Medical Board or Chief of Prosecutions with recommended changes or alternative action; or

C) Enter into a consent order different from that recommended by the Medical Board, as deemed proper by the Director.

2. A copy of any consent order executed by the Director pursuant to subsection (d)(1)(A) shall be sent to the respondent within 30 days.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.230 Emergency and/or Temporary Suspension

a) Upon receipt by the Division of a certified copy of any order or judgment that a person licensed under this Act is in need of mental treatment, the Director shall issue an order suspending the license. The order shall:

1. Set forth the statutory section of the Act upon which it is based;

2. Incorporate a certified copy of the judicial order or judgment that the person is in need of mental treatment;

3. Notify the licensee that the suspension order takes effect on the date signed by the Director; and

4. Notify the licensee that practice may resume only upon the entry of a Departmental order based upon a finding by the Medical Board that the licensee has been determined to be recovered from mental illness by the court and upon the Medical Board's recommendation that the licensee be permitted to resume his or her practice.

b) Emergency or temporary suspension of a license based upon an immediate danger to the public posed by a person's continuation in practice, pursuant to Section 25 or Section 37 of the Act, or upon failure to comply with terms, conditions, or restrictions or to complete a required program of care, counseling, or treatment pursuant to Section 22 of the Act, shall be as follows:

1. A petition for emergency or temporary suspension shall:

A) State the statutory basis for the action petitioned;

B) Allege facts, supported by evidence or affidavit sufficient for emergency or temporary action;

C) State that the Medical Coordinator or the Deputy Medical Coordinator has been consulted;

D) Be signed by the Chief of Medical Prosecutions; and

E) Be presented to the Director either in person, by telephone, or by videoconferencing technology.

2. An order for emergency or temporary suspension shall:

A) Contain findings of fact sufficient to support imposition of an emergency or temporary suspension;

B) Recite the statutory basis for the action;

C) Provide a date for a formal hearing;

D) Notify the respondent their license has been suspended and they are prohibited from further practice; and

E) Be signed by the Director.

3. A notice of emergency or temporary suspension shall accompany the order and shall set a hearing date within 15 days of the date on which the order takes effect.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.235 Mandatory Reporting of Impaired Physicians by Health Care Institutions

a) Section 23 of the Act requires that the chief administrator or executive officer of any health care institution licensed by the Department of Public Health report to the Disciplinary Board concerning impaired persons. All instances in which a person licensed under the Medical Practice Act of 1987 is impaired by reason of age, drug, or alcohol abuse or physical or mental impairment, is under supervision and, where appropriate, is in a program of rehabilitation, must be reported to the Medical Board. The reports must contain sufficient current information to enable the Medical Board to evaluate the impairment and determine the appropriateness of the supervision of the program of rehabilitation.

b) Contents of Reports. Reports of impaired persons shall be submitted in writing, on forms provided by the Division, that shall include but not be limited to the following information:

1. The name, address, telephone number and title of the person making the report;

2. The name, address, telephone number and type of health care institution where the maker of the report is employed;

3. The name, address, telephone number, and professional license number of the person who is the subject of the report;

4. The name and date of birth of any patient or patients whose treatment is a subject of the report, if available, or other means of identification if such information is not available; identification of the hospital or other healthcare facility where the care at issue in the report was rendered, provided, however, no medical records may be revealed;

5. The nature of the impairment and brief description of the facts that gave rise to the issuance of the report, including the dates of any occurrences deemed to necessitate the filing of the report;

6. The terms and conditions of the supervision under which the subject of the report is conducting activities or practice, including the date supervision commenced; the term of the supervision; and the name, address, and telephone number of the person in charge of the subject's supervision. Upon the request of the Medical Board, the Medical Coordinators or other designated representatives of the Disciplinary Board, the person in charge of the subject's supervision shall provide requested information, including written documentation, in order to evaluate the progress of the subject's supervision (pursuant to subsection (g)(2)), in accordance with State and federal law;

7. If the subject of the report is in a program of rehabilitation, the name, address, and telephone number of the program and the name and position of any individual in charge of the program; and

8. Any other information deemed by the reporting person to be of assistance to the Medical Board and the Medical Coordinators in evaluating the report, including but not limited to the following items: drug screens being used and their status; relapses and actions taken; attendance at work; observations of recovery status and level of cooperation in recovery; other psychopathology, known and related physical and mental illnesses; involvement of the family and others in treatment or supervision; and a copy of the aftercare agreement.

c) Reports of impaired persons shall be submitted to the Disciplinary Board in a timely manner. The initial report shall be submitted on forms provided by the Division within 60 days after it is determined that a report is necessary under the Act and this Part. Periodic reports that evidence written documentation of the progress of suspension or rehabilitation shall be submitted to the Medical Board every 6 months, commencing with the time of the filing of the initial report. A copy of each report shall be sent by the person making the report to the impaired person.

d) The contents of any report shall be strictly confidential, except as otherwise provided in this subsection (d), and exempt from public disclosure, but may be reviewed by:

1. Members of the Medical Board or their designees;

2. The Medical Board's designated attorneys;

3. The Medical Coordinators or their designees;

4. Administrative personnel assigned to open mail containing reports and to process and distribute reports to authorized persons, and to communicate with senders of reports;

5. The person who is the subject of the report or that person's attorney or authorized representative (as evidenced by a written authorization signed by the person who is the subject of the report); or

6. Other persons otherwise permitted by law.

e) Upon a determination by the Medical Board that reports on an impaired person no longer require review and consideration, the Medical Board shall notify the maker of the reports to cease sending the reports and the Medical Board and Division records shall be purged of information contained in the reports. These determinations shall be based on, but not be limited to: the type of impairment and the type of rehabilitation program, length of supervision, occurrence of any relapses and present status of license.

f) Whenever any chief administrative or chief executive officer of any health care institution makes a report or provides other information to the Disciplinary Board, or assists the Disciplinary Board concerning an impaired person, acts in good faith, and not in a willful and wanton manner, the chief administrative or chief executive officer, and the health care institution employing him, shall not, as a result of such actions, be subject to criminal prosecution or civil damages (Section 23(c) of the Act).

g) The following definitions shall apply to this Section:

1. "Impaired" means the inability to practice medicine with reasonable skill and safety due to physical and mental disabilities as evidenced by a written evaluation or clinical evidence that reveals a deterioration of the physician's ability to deliver competent care, due to problems related to aging, loss of motor skill, abuse of drugs or alcohol, or mental illness.

2. "Under supervision" means that the performance of the impaired person's clinical privileges and status of the person's impairment is being observed and monitored under the authority of a written directive issued in accordance with a health care institution's or medical staff's bylaws or rules and regulations.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.240 Standards

a) Dishonorable, Unethical or Unprofessional Conduct

1. In determining what constitutes dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud or harm the public, the Medical Board shall consider whether the questioned activities:

A) Violate the standards as set forth for physicians promulgated by national associations and/or societies regarding the practice of medicine;

B) Cause actual harm to any member of the public; or

C) Are reasonably likely to cause harm to any member of the public in the future.

2. Questionable activities include, but are not limited to:

A) Being convicted of any crime an essential element of which is dishonesty, fraud, misstatement or moral turpitude;

B) Delegating patient care responsibility to any individual when the physician has reason to believe that the person may not be competent;

C) Misrepresenting educational background, training, credentials, competence, or medical staff memberships;

D) Failing to properly supervise subordinate health professional and paraprofessional staff under the licensee's supervision and control in patient care responsibilities;

E) Committing of any other act or omission that breaches the physician's responsibility to a patient according to accepted medical standards of practice;

F) Adverse action taken by an entity listed in this subsection (a)(2)(F) that proper documentation of any adverse action by that entity will be used as prima facie evidence. Entities that may find adverse actions include any:

i) peer review body;

ii) health care institution;

iii) professional society or association related to practice under the Act;

iv) governmental agency;

v) law enforcement agency; or

vi) court for acts or conduct similar to acts or conduct which would constitute grounds for discipline under the Act;

G) Surrender of a license or authorization to practice as a medical doctor, a doctor of osteopathy, a doctor of osteopathic medicine, or doctor of chiropractic medicine in another state or jurisdiction, or surrender of membership on any medical staff or in any medical or professional association or society, while under disciplinary investigation by any of those authorities or bodies, for acts or conduct similar to acts or conduct which would constitute grounds for discipline under the Act. Proper documentation of the action taken by the respective entity will be used as prima facie evidence;

H) Restriction, suspension, or revocation of, or any other adverse action taken against clinical, hospital or practice privileges relating to patient care. Proper documentation of the action taken by the respective entity will be used as prima facie evidence;

I) Termination, restriction, suspension, exclusion, or revocation of, or any other adverse action taken against, provider status from any health care program, including but not limited to private insurance carriers, Medicare, Medicaid, and Tricare. Proper documentation of the action taken by the respective entity will be used as prima facie evidence;

J) Adverse action taken against Federal Drug Enforcement Administration (DEA) Registration, including but not limited to voluntary surrender, consent decree, and revocation. Proper documentation of the action taken by DEA will be used as prima facie evidence;

K) Making gross or deliberate misrepresentations or misleading claims as to professional qualifications or of the efficacy or value of the licensee's treatments or remedies, or those of another practitioner;

L) Practicing or offering to practice beyond one's competency or qualifications (for example, providing services or using techniques for which one is not qualified by education, training, and experience);

M) Submission of fraudulent claims for services to any health insurance company or health service plan or third-party payor;

N) If practicing at an Ambulatory Surgical Treatment Center, failure to maintain privileges as required by the Ambulatory Surgical Treatment Center Act and its rules;

O) Failing to maintain proper sanitary conditions in any facility or place a physician has direct responsibility for sanitations (e.g., owning a practice); or

P) Failing to generate medical records for any patient encounter and/or care as specified by accepted medical standards, the presumption being that proper documentation should occur with each encounter.

3. The Division hereby incorporates by reference the "Strategies for Prescribing Opioids for the Management of Pain", Federation of State Medical Boards, April 2024, 400 Fuller Wiser Road, Suite 300, Euless TX 76039. No later amendments or editions are included.

b) Immoral Conduct

1. Immoral conduct in the commission of any act related to the licensee's practice means conduct that:

A) Abuses the physician/patient relationship by taking unfair advantage of a patient's vulnerability; and

B) Is committed in the course of the practice of medicine.

2. In determining immoral conduct in the commission of any act related to the licensee's practice, the Medical Board shall consider, but not be limited to, the following standards:

A) Taking advantage of a patient's vulnerability by committing an act that violates established codes of professional behavior expected on the part of a physician;

B) Unethical conduct with a patient that results in the patient engaging in unwanted personal, financial, or sexual relationships with the physician;

C) Conducting human experimentation or utilizing unproven drugs, medicine, surgery, or equipment to treat patients, except as authorized for use in an approved research program pursuant to rules of the Illinois Department of Public Health authorizing research programs (77 Ill. Adm. Code 250.130) or as otherwise expressly authorized by law;

D) Committing an act, in the practice of persons licensed under the Act, of a flagrant, glaringly obvious nature, that constitutes conduct of such a distasteful nature that accepted codes of behavior or codes of ethics are breached;

E) Committing an act in a relationship with a patient so as to violate common standards of decency or propriety; or

F) Any other behavior that violates established codes of physician behavior or that violates established ethical principles commonly associated with the practice of medicine.

c) In determining what constitutes gross negligence, the Medical Board shall consider gross negligence to be an act or omission that is evidence of recklessness or carelessness toward or a disregard for the safety or well-being of the patient, and that results in injury to the patient.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.245 Advertising

a) Advertising shall contain all information necessary to make the communication informative and not misleading. Advertising shall identify the type of license or academic credential, including, but not limited to, M.D., D.O., or D.C., held by the licensee whose services are being promoted. The form of advertising shall be designed to communicate the information contained in the advertisement to the public in a direct, dignified and readily comprehensible manner.

b) Any advertisement shall be retained for at least 3 years by the physician or licensee.

c) Advertising shall otherwise comply with Section 26 of the Act.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.250 Monitoring of Probation and Other Discipline and Notification

a) The Chief Medical Coordinator, in addition to providing other status reports to the Medical Board, shall be responsible for providing status reports on physicians or physician assistants who have been placed on probation or who are otherwise being monitored by the Division.

b) When disciplinary action is taken by the Division against a physician or physician assistant, the Division shall make reasonable efforts to notify the appropriate professional associations of the disciplinary action as soon as practicable after notification to the physician or physician assistant. Any professional association or other interested person who wishes to receive such information may request to be placed on the Division's mailing list.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.255 Rehabilitation

Upon written application to the Medical Board for restoration of a license or permit from a term of probation, suspension, revocation, other disciplinary action, or for any other relief, the Medical Board shall consider, but is not limited to, the following in determining if the person is to be deemed sufficiently rehabilitated to warrant the public trust:

a) The seriousness of the offense that resulted in the disciplinary action being considered or being taken;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the applicant has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the applicant;

e) Continuing medical education courses or other types of courses taken to correct the grounds for the disciplinary action being considered or having been taken;

f) The results of a clinical competency examination, designated by the Disciplinary Board, and paid for by the petitioner;

g) Written reports and oral testimony by peer review committees or other persons relating to the skill, knowledge, honesty, integrity, and contriteness of the applicant;

h) Restitution to injured parties;

i) Future plans of the applicant;

j) Involvement of the applicant's family and friends in his or her rehabilitation process;

k) A written report of a physical or mental examination given by a physician selected by the Disciplinary Board and paid for by the person being examined;

l) Any other information evidencing rehabilitation that would bear upon the applicant's request for relief or restoration of a license;

m) Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

n) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

o) Whether there has been compliance with any probationary terms imposed.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.260 Fines

All fines or fees imposed pursuant to Section 22 of the Act shall be paid in full within 60 days of imposition unless otherwise additional time is specified in the applicable Director's order.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.265 Subpoena Process of Medical and Hospital Records

a) Upon a showing by the Division that probable cause exists that a violation of one or more of the grounds for discipline listed in Section 22 of the Act has occurred or is occurring, the Medical Board may subpoena the medical and hospital records of individual patients of any physician licensed under the Act. Probable cause exists upon a showing that there is a reasonable basis for believing that a violation has occurred or is occurring.

1. A request for subpoena of individual medical and hospital records from a Department prosecutor, investigator, or other appropriate staff shall:

A) Be in writing;

B) Be signed by the Medical Coordinator or Deputy Medical Coordinator;

C) Allege one or more grounds for discipline under the Act;

D) Identify with reasonable specificity the records requested; and

E) Include an affidavit of a person having knowledge of facts upon which the request is based.

2. A request for subpoena of individual medical or hospital records received by the Chief Administrative Law Judge, or another Administrative law Judge designated by the Chief, by any Respondent or Petitioner shall:

A) Be in writing;

B) Set forth facts to demonstrate that the documents or testimony sought are relevant to the issues contained in the Complaint, Notice of Intent to Deny, Notice of Intent to Refuse to Renew, or Petition pending before the Division and are not otherwise excludable by law or by rule;

C) Identify with reasonable specificity the records requested; and

D) Include an affidavit of a person having knowledge of facts upon which the request is based.

3. Upon receipt of a request for a subpoena under a subsection (a)(2), the Chief Administrative Law Judge, or another Administrative Law Judge designated by the Chief, shall transfer the request to the Medical Board for the Medical Board's consideration. The Chief Administrative Law Judge, or another Administrative Law Judge designated by the Chief, shall opine on the relevancy of the requested records in writing to the Medical Board. The Medical Board shall determine whether to issue the subpoena within 45 days after receipt of the request.

4. A subpoena for individual medical and hospital records shall:

A) Be served during reasonable business hours;

B) Require that, prior to the submission of such records to the Medical Board, adequate steps are taken to safeguard the confidentiality of individual patients by removing any information that would indicate the identity of individual patients and by encoding the records for use only by authorized persons;

C) Direct that an inventory of all records produced, and a copy of encoding information be left with the caretaker of the records; and

D) Provide a compliance date of 30 days to produce the subpoenaed records or another date specified in the subpoena.

b) The Division or Medical Board may, pursuant to Section 23 of the Act, subpoena copies of hospital and medical records in mandatory report cases filed with the Division pursuant to Section 22(A)(34), (35) and (36) and Section 23 of the Act when the patient or legal representative has failed to provide written consent to the Division to obtain copies of the hospital and medical records and the mandatory report alleges death or permanent bodily injury. Permanent bodily injury is defined as a bodily injury that causes serious disfigurement or protracted loss or impairment of the function of any bodily member or organ that, according to every reasonable probability, will continue throughout the remainder of one's life.

1. The request for subpoena shall:

A) Be in writing;

B) Be signed by the Medical Coordinator or Deputy Medical Coordinator;

C) State that the mandatory report alleges death or permanent bodily injury;

D) Identify with reasonable specificity the records requested; and

E) Include an affidavit that the patient or legal representative would not consent to release records.

2. The subpoena shall:

A) Be served during reasonable business hours;

B) Require that, prior to the submission of such records to the Medical Board, adequate steps are taken to safeguard the confidentiality of individual patients by removing any information that would indicate the identity of individual patients and by encoding the records for use only by authorized persons;

C) Direct that an inventory of all records produced, and a copy of encoding information be left with the caretaker of the records; and

D) Provide a compliance date of 30 days to produce the subpoenaed records or another date specified in the subpoena.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.270 Inspection of Physical Premises

a) Upon a showing by the Division that probable cause exists that a violation of one or more of the grounds for discipline listed in Section 22 of the Act has occurred or is occurring on the business premises of a physician licensed under the Act, the Medical Board may issue an order authorizing the Division to enter upon the business premises of a physician licensed under the Act to inspect the physical premises and equipment and furnishings on the premises.

b) Probable cause exists upon a showing that there is a reasonable basis for believing that a violation has occurred or is occurring. A request for an order authorizing entry upon a business premises shall:

1. Be in writing;

2. Be signed by the Medical Coordinator or Deputy Medical Coordinator;

3. Allege one or more grounds for discipline under the Act;

4. Identify the premises to be entered; and

5. Include an affidavit of a person having knowledge of facts upon which the request is based.

c) An order to enter business premises shall:

1. Be executed during the normal business hours of the facility or office to be inspected;

2. Identify the specific investigators employed by the Division who are authorized by the order;

3. Be valid only upon the date of issuance and for five business days thereafter;

4. State that the order does not authorize the right of inspection of business, medical, or personnel records located on the premises and identify with specificity the equipment and furnishings to be inspected.

5. State that entry upon the business premises be done with due consideration for patient care of the subject of the investigation.

d) Nothing contained in this Section prohibits entry upon the business premises of any physician for inspection of the premises or seizure of property without an order, so long as the physician who is the subject of the inspection or seizure consents.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.275 Failing to Furnish Information

In cases alleging a violation of Section 22(A)(38) of the Act, evidence will be present that:

a) A written request for information was sent to the physician at the physician's address of record as evidenced by a Certificate of Service or other verification of mailing or emailing;

b) The written request was signed by the Chief Medical Coordinator or Deputy Medical Coordinator;

c) The request for information was accompanied by a notice that sanctions are provided by Section 22(A)(38) of the Act for a failure to provide the information;

d) The recipient was allowed at least 10 days to provide the information; and

e) The recipient failed to provide the information that was within the recipient's possession or control.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.280 Mandatory Reporting of Persons Engaged in Post-Graduate Clinical Training Programs

a) Section 23(A)(1.5) of the Act requires the program director of any post-graduate clinical training program to report to the Medical Board if a person engaged in a post-graduate clinical training program at the institution, including, but not limited to, a residency or fellowship, separates from the program for any reason prior to its conclusion.

b) "Separation", as used in this Section, means any absence from a post-graduate clinical training program exceeding 45 days, whether continuous or in the aggregate, in any 365-day period; any suspension from a post-graduate clinical training program, regardless of length or reason; or any termination from a post-graduate clinical training program. Separation includes a program's decision not to renew a person's contract to participate in the program prior to the conclusion of the full term for which the person was originally engaged. Separation does not include approved leaves of absence for training, maternity or paternity leave, or vacation, sick or personal leave.

c) Contents of Reports. Reports of persons who have separated or will separate from a post-graduate clinical training program shall be submitted in writing, and that shall include, but not be limited to, the following information:

1. The name of the post-graduate clinical training program;

2. The name, address, telephone number, email address and title of the director of the program;

3. The name, address, and telephone number of the institution where the program operates;

4. The name, address, telephone number, email address and license number of the person who is the subject of the report;

5. The nature of, and reasons for, the person's separation from the program; and

6. Any other information deemed by the reporting person to be of assistance to the Medical Board and the Medical Coordinators in evaluating the report.

d) Deadline to Report. Reports of persons who have separated from a post-graduate clinical training program shall be submitted by the program director to the Disciplinary Board in a timely manner. The initial report shall be submitted on forms provided by the Division within 60 days after the separation.

e) Additional Documentation. The program director shall provide all documentation relating to the separation if, after review of the report, the Medical Board determines that those documents are necessary to determine whether a violation of the Act occurred. [225 ILCS 60/23(A)(1.5)]

f) Confidentiality. The contents of any report shall be strictly confidential, except as otherwise provided in this subsection (f) and exempt from public disclosure, but may be reviewed by:

1. Members of the Medical Board or their designees;

2. The Medical Board's designated attorneys;

3. The Medical Coordinators or their designees;

4. Administrative personnel assigned to open mail containing reports and to process and distribute reports to authorized persons, and to communicate with senders of reports; and

5. The person who is the subject of the report or that person's attorney or authorized representative (as evidenced by a written authorization signed by the person who is the subject of the report).

g) Whenever a program director makes a report to the Disciplinary Board concerning a person who has separated from a post-graduate clinical training program, acting in good faith and not in a willful and wanton manner, the program director, and the institution employing him or her, shall not, as a result of making the report, be subject to criminal prosecution or civil damages. [225 ILCS 60/23(C)]

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.305 Physician Profiles

a) Upon the issuance of a physician license, the Division shall make available to all physicians as defined in Section 5 of the Patients' Right to Know Act [225 ILCS 61/5] a copy of their physician profile. Notification and instructions concerning their profile shall be sent to the physician's address of record with the Division. Physicians shall review their profile as it appears on the Division's website, confirm the listed information, and input all additional information required as indicated on the website. Any questions or corrections regarding information contained in the profile shall be sent to the Division in writing by the physician.

b) It is the responsibility of the physician to assure that the information the physician enters into the profile is accurate. Delegation of this task to an employee or designee shall not waive this responsibility.

c) All physicians shall verify and complete their profile within 60 days after the notification provided for in subsection (a). Failure to comply with this Section is a violation of the Act.

d) The Division shall make available to the public all physician profiles regardless of whether the physician has provided verification of the profile content. The Division shall include the following statement in boldface type on any profiles when a physician has failed to verify his or her profile: "This physician has not verified the information in this profile."

e) No renewal application shall be processed unless a physician is in compliance with this Section.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.310 Public Access to Records and Meetings (repealed)

History

• Source: Repealed at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.320 Response to Hospital Inquiries

The Division shall respond to inquiries from hospitals, pursuant to the Hospital's obligation under the Hospital Licensing Act [210 ILCS 85], within 30 days after receipt of correctly submitted information.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.330 Rules of Evidence (repealed)

History

• Source: Repealed at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.335 Physician Delegation of Authority

Physicians licensed to practice medicine in all its branches may delegate patient care tasks and duties in accordance with Sections 54.2 and 54.5 of the Act.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.336 Use of Lasers and Related Technology

a) Definitions

For the purposes of this Section, the following definitions apply.

1. "An ablative treatment is expected to excise, burn, or vaporize the skin below the dermo-epidermal junction. Non-ablative treatments are those that are not expected or intended to excise, burn, or vaporize the epidermal surface of the skin." (The Bulletin of the American College of Surgeons, Vol. 92, No. 4, April 2007)

2. Lasers include, but are not limited to, Class 3b and Class 4 lasers required to be registered with the Illinois Emergency Management Agency, Division of Nuclear Safety, under 32 Ill. Adm. Code 315, intense pulsed-light, radiofrequency, and medical microwave devices used for the treatment of dermatologic conditions or cosmetic procedures that disrupt the epidermal surface of the skin, whether ablative or non-ablative, is considered to be the practice of medicine, which shall only be performed by a physician licensed to practice medicine unless delegated in accordance with this Section.

b) A physician must examine the patient and determine a course of treatment appropriate to the patient prior to any procedure utilizing a laser. If the established course of treatment requires multiple procedures, a subsequent examination shall not be required prior to the performance of each individual procedure.

1. An ablative or non-ablative procedure that can potentially disrupt the eye (cornea to retina) may only be performed by a physician licensed to practice medicine in all of its branches and may not be delegated pursuant to this Section.

2. A physician licensed to practice medicine in all of its branches may delegate the performance of ablative procedures to a licensed practical nurse, a registered professional nurse, or other persons, with on-site supervision by the physician.

3. A physician licensed to practice medicine in all of its branches may delegate the performance of non-ablative procedures to a licensed practical nurse, a registered professional nurse or other persons, with on-site supervision by the physician or the physician must be available by telephone or other electronic means to respond promptly to any question or complication that may occur.

4. A licensed practical nurse, registered professional nurse or other person delegated the authority to perform any ablative or non-ablative procedures must have received appropriate, documented training and education in the safe and effective use of each system utilized.

c) Nothing in this Section shall be deemed or construed to prevent any person licensed in this State under the Illinois Dental Practice Act [225 ILCS 25] as a dentist, the Podiatric Medical Practice Act of 1987 [225 ILCS 100], the Nurse Practice Act [225 ILCS 65] as an advanced practice nurse as specifically authorized by a written collaborative agreement with a physician licensed to practice medicine in all its branches, or the Physician Assistant Practice Act of 1987 as specifically authorized by written guidelines with a physician licensed to practice medicine in all its branches from engaging in the practice for which the person is licensed. Nothing in this Section shall be deemed or construed to restrict the use of any device used for therapeutic treatment or procedures that cannot cut, excise, burn or vaporize the skin by a physician licensed to treat human aliments without the use of drugs and without operative surgery. Nothing in this Section shall be deemed or construed to restrict any person licensed under the Electrologist Licensing Act [225 ILCS 412] from performing electrology, defined as the practice or teaching of services for permanent hair removal utilizing only solid probe electrode type epilation, which may include thermolysis (shortwave, high frequency), electrolysis (galvanic), or a combination of both (superimposed or sequential blend [225 ILCS 412/10].

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

68 Ill. Adm. Code 1285.340 Anesthesia Services in an Office Setting

a) In a physician's office, the operating physician shall have training and experience in the delivery of anesthesia services in order to administer anesthesia or to enter into a practice agreement with a certified registered nurse anesthetist (CRNA) to provide anesthesia services in the office pursuant to Section 54.5 of the Medical Practice Act and Section 65-35 of the Nurse Practice Act [225 ILCS 65]. When an anesthesiologist is administering anesthesia in a physician's office, the operating physician is not required to have the training and experience set forth in subsection (b). A physician's office is any practice location not regulated by Section 10.7 of the Hospital Licensing Act [210 ILCS 85] or Section 6.5 of the Ambulatory Surgical Treatment Center Act [210 ILCS 5].

b) The training and experience requirements may be met in the manner specified in either subsection (b)(1) or (2):

1. The physician maintains clinical privileges to administer anesthesia services in a hospital licensed in accordance with the Hospital Licensing Act or an ambulatory surgical treatment center licensed in accordance with the Ambulatory Surgical Treatment Center Act; or

2. Completion of continuing medical education:

A) For conscious sedation only, the physician shall complete a minimum of 8 hours of continuing medical education (CME) within each 3 year license renewal period in delivery of anesthesia, including the administration of conscious sedation.

B) For deep sedation, regional anesthesia and/or general anesthesia, a physician shall complete a minimum of 34 hours of continuing medical education in the delivery of anesthesia services within each 3 year license renewal period. Fulfillment of this requirement shall satisfy the requirement of subsection (b)(2)(A) for the administration of conscious sedation.

C) A continuing medical education program shall be conducted by a university, professional association, or hospital as a formal CME program under 68 Ill. Adm. Code 1285.110(b)(2).

c) In a physician's office where anesthesia services are being administered, all operating physicians and anesthesiologists shall obtain Advanced Cardiac Life Support (ACLS) certification prior to administering anesthesia services and shall maintain current ACLS certification. If the physician enters into a practice agreement with the CRNA, the CRNA shall also have a current ACLS certification pursuant to 68 Ill. Adm. Code 1300.450.

d) The ACLS certification and the physician training and experience required by this Section shall be documented in the written practice agreement between the physician and CRNA.

e) The continuing medical education required in subsection (b) and the ACLS training required in subsection (c) may be applied to fulfillment of the 150 hours continuing medical education required for renewal of a license.

f) Definitions of Anesthesia

1. Moderate Sedation Analgesia (Conscious Sedation) is a drug-induced depression of consciousness during which patients respond purposefully to verbal commands, either alone or accompanied by light tactile stimulation. No interventions are required to maintain a patent airway and spontaneous ventilation is adequate. Cardiovascular function is usually maintained.

2. Deep Sedation/Analgesia is a drug-induced depression of consciousness during which patients cannot be easily aroused but respond purposefully following repeated or painful stimulation. The ability to independently maintain ventilatory function may be impaired. Patients may require assistance in maintaining a patent airway and spontaneous ventilation may be inadequate. Cardiovascular function is usually maintained.

3. Regional Anesthesia is the administration of local anesthetic agents to a patient to interrupt nerve impulses in a major region of the body without loss of consciousness and include epidural, caudal, spinal and brachial plexus anesthesia.

4. General Anesthesia is a drug-induced loss of consciousness during which patients are not arousable, even by painful stimulation. The ability to independently maintain ventilatory function is often impaired. Patients often require assistance in maintaining a patent airway, and positive pressure ventilation may be required because of depressed spontaneous ventilation or drug-induced depression of neuromuscular function. Cardiovascular function may be impaired.

g) Physicians who perform procedures in an office setting utilizing anesthesia in the following manner are not required to comply with this Section:

1. The use of local anesthesia in which the total dose of local anesthesia does not exceed 50% of the commonly accepted toxic dose on a weight adjusted basis.

2. The use of topical anesthesia in which the total dose of topical anesthesia does not exceed 50% of the commonly accepted toxic dose on a weight adjusted basis.

3. The use of minimal sedation (anxiolysis). Minimal sedation (anxiolysis) is a drug-induced state during which patients respond normally to verbal commands. Although cognitive function and coordination may be impaired, respiratory and cardiovascular functions are unaffected.

History

• Source: Amended at 48 Ill. Reg. 18129, effective December 13, 2024

Part 1290 Rules for Administration of the Compassionate Use of Medical Cannabis Pilot Program

68 Ill. Adm. Code 1290.10 Definitions

Definitions for this Part can be located in Section 10 of the Compassionate Use of Medical Cannabis Pilot Program Act. The following definitions shall also apply to this Part:

"Act" means the Compassionate Use of Medical Cannabis Pilot Program Act [410 ILCS 130].

"ADA" means the Americans With Disabilities Act of 1990 (42 USC 12101).

"Address of record" means the address recorded by the Division in the applicant's or registrant's application file or the registration file maintained by the Division.

"Administratively complete" means that a dispensary registration application meets all requirements of the Act and this Part.

"Applicant" means any person who is applying with the Department for authorization to register a dispensary under the Act.

"Area zoned for residential use" means an area zoned exclusively for residential use; provided that, in municipalities with a population over 2,000,000, "an area zoned for residential use" means an area zoned as a residential district or a residential planned development.

"Application date" is the date the application for authorization or registration was delivered to and received by the Division, and the applicant received a receipt noting that date.

"Authorization notice" means the notice sent by the Division to the applicant that has been awarded an authorization. The authorization notice will include a registry identification number to be used on all future communication with the Division.

"Batch" means a specific harvest of cannabis or cannabis-infused products that are identifiable by a batch number, every portion or package of which is uniform within recognized tolerances for the factors that were subject to a laboratory test and that appear in the labeling.

"Batch number" means a unique numeric or alphanumeric identifier assigned to a batch by a cultivation center when the batch is first planted.

"Cannabis Control Act" means 720 ILCS 550.

"Cannabis" means marihuana, hashish and other substances which are identified as including any parts of the plant Cannabis sativa and including derivatives or subspecies, such as Indica, of all strains of cannabis, whether growing or not; the seeds thereof, the resin extracted from any part of such plant; and any compound, manufacture, salt, derivative, mixture, or preparation of such plant, its seeds, or resin, including tetrahydrocannabinol (THC) and all other cannabinol derivatives, including its naturally occurring or synthetically produced ingredients, whether produced directly or indirectly by extraction, or independently by means of chemical synthesis or by a combination of extraction and chemical synthesis; but shall not include the mature stalks of such plant, fiber produced from such stalks, oil or cake made from the seeds of such plant, any other compound, manufacture, salt, derivative, mixture, or preparation of such mature stalks (except the resin extracted therefrom), fiber, oil or cake, or the sterilized seed of such plant which is incapable of germination. (Section 3 of the Cannabis Control Act)

"CPA" means certified public accountant.

"Damaged" shall have its common meaning and include medical cannabis that is unusable, unused, expired, spoiled, contaminated, deteriorated, mislabeled, undesired, excess, adulterated, misbranded, deteriorated or in containers or packaging that was tampered with or opened.

"Department" means the Illinois Department of Financial and Professional Regulation.

"Director" means the Director of the Illinois Department of Financial and Professional Regulation-Division of Professional Regulation or his or her designee.

"Dispensing organization" or "dispensary organization" means a medical cannabis dispensing organization as defined in the Act.

"Dispensary" means the physical premises where medical cannabis is dispensed by a dispensing organization.

"Dispensing organization agent" or "dispensary agent" means a medical cannabis dispensing organization agent as defined in the Act.

"Dispensing organization agent-in-charge" or "dispensary agent-in-charge" means the person who has day to day control and management over the dispensary.

"Dispensing Organization District" or "District" means one of the 43 geographically dispersed areas identified in the Act and this Part where one or more dispensing organizations may be located.

"Dispensing organization registration authorization" or "Authorization" is the permission given by the Division to an applicant for a dispensing organization allowing it to file documents to obtain a dispensary registration.

"Dispensing organization registration" or "Registration" authorizes the applicant to open and operate a dispensing organization within the District designated by the Division.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation with the authority delegated by the Secretary.

"DOA" means the Illinois Department of Agriculture.

"DPH" means the Illinois Department of Public Health.

"Excluded offense" means:

a violent crime defined in Section 3 of the Rights of Crime Victims and Witnesses Act or a substantially similar offense that was classified as a felony in the jurisdiction where the person was convicted; or

a violation of a state or federal controlled substance law that was classified as a felony in the jurisdiction where the person was convicted, except that the Department may waive this restriction if the person demonstrates to the Department's satisfaction that his or her conviction was for the possession, cultivation, transfer, or delivery of a reasonable amount of cannabis intended for medical use.

This exception does not apply if the conviction was under state law and involved a violation of an existing medical cannabis law. (Section 10 of the Act)

"Financial interest" means any actual or future right to ownership, investment or compensation arrangement, either directly or indirectly, through business, investment, spouse, parent or child, in the dispensing organization. Financial interest does not include ownership of investment securities in a publicly-held corporation that is traded on a national securities exchange or over-the-counter market in the United States, provided the investment securities held by the person and the person's spouse, parent or child, in the aggregate, do not exceed five percent ownership in the dispensing organization.

"Fingerprint-based criminal history records check" means a fingerprint-based criminal history records check conducted by the ISP in accordance with the Act, 20 Ill. Adm. Code 1265.30 (Electronic Transmission of Fingerprint Requirements) or the Uniform Conviction Information Act (UCIA) [20 ILCS 2635].

"Good standing" means the dispensing organization's registration is not under investigation, is not on probation and is not subject to disciplinary or other restrictions by the Division as defined in the Act or this Part.

"HIPAA" means the Health Insurance Portability and Accountability Act (45 CFR 164).

"Illinois Cannabis Tracking System" means a web-based system established and maintained by the Department of Public Health that is available to the Department of Agriculture, the Department of Financial and Professional Regulation, the Illinois State Police, and registered medical cannabis dispensing organizations on a 24-hour basis to upload written certifications for Opioid Alternative Pilot Program participants, to verify Opioid Alternative Pilot Program participants, to verify Opioid Alternative Pilot Program participants' available cannabis allotment and assigned dispensary, and the tracking of the date of sale, amount, and price of medical cannabis purchased by an Opioid Alternative Pilot Program participant. (Section 10(l-10) of the Act)

"ISP" means Illinois Department of State Police.

"Limited access area" means a room or rooms under the control of the dispensing organization and on the registered dispensary premises with access limited to qualifying patients, provisional registration patients, Opioid Alternative Pilot Program Participants, designated caregivers, dispensary agents, service professionals working on jobs at the dispensary, or persons authorized by the Act and this Part.

"Livescan" means an inkless electronic system designed to capture an individual's fingerprint images and demographic data in a digitized format that can be transmitted to ISP, for processing. The data is forwarded to the ISP Bureau of Identification (BOI) over a virtual private network (VPN) and then processed by ISP's Automated Fingerprint Identification System (AFIS). Once received at the BOI for processing, the inquiry may then be forwarded to the Federal Bureau of Investigation (FBI) electronically for processing.

"Livescan vendor" means an entity licensed by the Department to provide commercial fingerprinting services under the Private Detective, Private Alarm, Private Security, Fingerprint Vendor, and Locksmith Act of 2004 [225 ILCS 447].

"Medical cannabis" means cannabis and its constituent cannabinoids, such as tetrahydrocannabinol (THC) and cannabidiol (CBD), used as an herbal remedy or therapy to treat disease or alleviate symptoms. Medical cannabis can be administered in a variety of ways, including, but not limited to: vaporizing or smoking dried buds; using concentrates; ingesting tinctures or tonics; applying topicals such as ointments, balms; or consuming medical cannabis-infused food products.

"Medical cannabis container" means a sealed, traceable, food compliant, tamper resistant, tamper evident container or package used for the purpose of containment of medical cannabis from a cultivation center to a dispensing organization. (Section 10(n) of the Act)

"Medical cannabis-infused products" means food, oils, ointments, or other products containing cannabis that are not smoked (e.g., sodas, teas or capsules) as defined in the Act. (Section 10(q) of the Act)

"Monitoring" means continuous and uninterrupted video surveillance of dispensary activities and oversight for potential suspicious actions. Monitoring through video surveillance includes the purpose of summoning a law enforcement officer to the premises during alarm conditions. The Division and law enforcement agencies shall have the ability to access a dispensing organization's monitoring system in real-time via a secure web-based portal.

"Notify" means to send via regular United States mail or email and United States certified mail.

"OAPP" means the Opioid Alternative Pilot Program.

"Opioid" means a narcotic drug or substance that is a Schedule II controlled substance under Section 206(b)(1), (2), (3), or (5), or (c) of the Illinois Controlled Substances Act. (Section 10(r-5) of the Act)

"Opioid Alternative Pilot Program participant" or "OAPP participant" means an individual who has received a valid written certification to participate in the Opioid Alternative Pilot Program for a medical condition for which an opioid has been or could be prescribed by a physician based on generally accepted standards of care. (Section 10(r-10) of the Act)

"Ownership structure" means a description of the business type, structure and identity of each person with ownership, control or financial interest in the dispensing organization.

"Person" includes, but is not limited to, a natural person, sole proprietorship, partnership, joint venture, limited liability company, corporation, association, agency, business entity, not-for-profit or organization.

"Point of sale" means a web-based system maintained by the dispensing organization to track cannabis inventory, sales and currency. The dispensary's point of sale equipment interfaces in real-time with the State verification system and Illinois Cannabis Tracking System to record all sales.

"Principal officer" includes a dispensing organization applicant or registered dispensing organization's board member, owner with more than one percent interest of the total dispensing organization or more than five percent interest of the total dispensing organization of a publicly traded company, president, vice president, secretary, treasurer, partner, officer, member, manager member, shareholder or person with a profit sharing, financial interest or revenue sharing arrangement. The definition includes a person with authority to control the dispensing organization, a person who assumes responsibility for the debts of the dispensing organization and a person who is further defined in this Part.

"Promptly" means as soon as reasonably practicable, but not later than five days.

"Provisional registration" means a document issued by the Department of Public Health to a qualifying patient who has submitted:

an online application and paid a fee to participate in the Compassionate Use of Medical Cannabis Pilot Program pending approval or denial of the patient's application; or

a completed application for terminal illness. (Section 10(s-5) of the Act)

"Public access area" is the dispensary's entrance, vestibule or waiting room area accessible to the public and under the control of the registered dispensing organization. Persons in the public access area must be present in furtherance of the Act.

"Registered" or "Registration" means a dispensing organization licensed by the Division to operate a medical cannabis dispensary as defined in the Act.

"Restricted access area" means a room or rooms, or other contiguous area under control of the dispensing organization and on the registered premises with access limited to dispensary agents, the Division, ISP, emergency personnel and service professionals as described in this Part, where cannabis is stored, held, packaged, sold or processed for sale.

"Registration packet" is the information and documents submitted by a dispensing organization authorized by the Division to register a dispensing organization.

"Secretary" means the Secretary of the Department.

"Service professional" means a person who must be present at the dispensary to perform work, including but not limited to those installing or maintaining security devices, delivering cannabis, or providing construction services.

"State verification system" means a web-based system established and maintained by the Department of Public Health that is available to the Department of Agriculture, the Department of Financial and Professional Regulation, law enforcement personnel, and registered medical cannabis dispensing organization agents on a 24-hour basis for the verification of registry identification cards, the tracking of delivery of medical cannabis to medical cannabis dispensing organizations, and the tracking of the date of sale, amount, and price of medical cannabis purchased by a registered qualifying patient. (Section 10(x) of the Act)

"Trust" means a fiduciary relationship in which one party, known as a trustor, gives another party, the trustee, the right to hold title to property or assets for the benefit of a third party, the beneficiary.

"Veteran" means person who served in one of the five active-duty Armed Services or their respective Guard or Reserve units, and who was discharged or released from service under conditions other than dishonorable.

"Visitor" means a person authorized by the Division and the dispensary to enter a dispensary's limited access area, as defined in this Part, and is not a qualifying patient, designated caregiver, dispensary agent, emergency personnel or service professional.

"Written certification" means a document dated and signed by a physician, stating:

that the qualifying patient has a debilitating medical condition and specifying the debilitating medical condition the qualifying patient has; and

that:

the physician is treating or managing treatment of the patient's debilitating medical condition; or

an Opioid Alternative Pilot Program participant has a medical condition for which opioids have been or could be prescribed.

A written certification shall be made only in the course of a bona fide physician-patient relationship, after the physician has completed an assessment of either a qualifying patient's medical history or OAPP participant, reviewed relevant records related to the patient's debilitating condition, and conducted a physical examination. (Section 10(y) of the Act)

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.20 Dispensing Organization Districts

a) To geographically disperse 60 dispensing organizations throughout the State, the following Dispensing Organization Districts are created with the accompanying allocation of registrations.

1. That part of the State, outside of the Chicago metropolitan area, shall be allocated 22 registrations as follows:

A) Illinois State Police Districts 1, 6, 7, 12, 13, 14, 17, 18, 19, 20, 21 and 22 shall each be a Dispensing Organization District and shall be allocated one registration each.

B) Illinois State Police Districts 8, 9, 10, 11 and 16 shall each be a Dispensing Organization District and shall be allocated two registrations each.

2. That part of the State within the Chicago metropolitan area but outside of Cook County shall be allocated 14 registrations as follows:

A) DeKalb County shall be a Dispensing Organization District and shall be allocated one registration.

B) DuPage County shall be a Dispensing Organization District and shall be allocated three registrations.

C) Grundy and Kendall Counties combined shall be a Dispensing Organization District and shall be allocated one registration.

D) Kane County shall be a Dispensing Organization District and shall be allocated two registrations.

E) Lake County shall be a Dispensing Organization District and shall be allocated three registrations.

F) McHenry County shall be a Dispensing Organization District and shall be allocated one registration.

G) Will County shall be a Dispensing Organization District and shall be allocated three registrations.

3. That part of Cook County outside of the City of Chicago shall be allocated 11 registrations as follows:

A) Barrington, Hanover and Palatine Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

B) Elk Grove and Schaumburg Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

C) Maine and Wheeling Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

D) New Trier and Northfield Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

E) Evanston and Niles Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

F) Leyden, Norwood Park and Proviso Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

G) Berwyn, Cicero, Oak Park, River Forest and Riverside Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

H) Lemont, Lyons and Palos Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

I) Calumet, Stickney and Worth Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

J) Bremen, Orland and Rich Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

K) Bloom and Thornton Townships combined shall be a Dispensing Organization District and shall be allocated one registration.

4. The City of Chicago shall be allocated 13 registrations as follows:

A) Jefferson Township shall be a Dispensing Organization District and shall be allocated two registrations.

B) Hyde Park Township shall be a Dispensing Organization District and shall be allocated two registrations.

C) Lake Township shall be a Dispensing Organization District and shall be allocated two registrations.

D) Lakeview Township shall be a Dispensing Organization District and shall be allocated two registrations.

E) North Township shall be a Dispensing Organization District and shall be allocated one registration.

F) Rogers Park Township shall be a Dispensing Organization District and shall be allocated one registration.

G) South Township shall be a Dispensing Organization District and shall be allocated one registration.

H) West Township shall be a Dispensing Organization District and shall be allocated two registrations.

b) The Division has the authority to reallocate registrations by rule based on patient populations, geography, zoning, location or other reasonable criteria.

68 Ill. Adm. Code 1290.30 Dispensing Organization Principal Officers

a) In addition to the individuals identified in the dispensing organization's by-laws as principal officers, the following individuals are considered principal officers:

1. If a corporation, the officers of the corporation;

2. If a partnership, the partners;

3. If a limited liability company, the members and managers of the limited liability company;

4. If an association or cooperative, the members of the association or cooperative;

5. If a joint venture, the individuals who signed the joint venture agreement; and

6. If a business organization other than the types listed in subsections (a)(1) through (5), the members of the business organization.

b) A dispensing organization may not be established as a trust. A trust may not have an ownership interest in a registered dispensing organization.

c) If a dispensing organization parent company, holding company or any other entity exerts management or control over the dispensing organization, that entity is a dispensing organization principal officer, including the officers, board members and the individuals with an ownership interest in it that have more than a one percent ownership interest in the dispensing organization.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.40 Dispensing Organization Authorization Process

a) The Division shall review applications and issue authorizations according to the requirements of the Act and this Part.

1. An applicant shall file an application with the Division for authorization to register a dispensing organization.

2. Applications for authorizations shall be made on forms furnished by the Division. The application shall be signed by all principal officers certifying under penalty of perjury that all information contained in the application is true and accurate.

3. An applicant is limited to one application for authorization per District.

4. The instructions on the application will reflect the total maximum number of points available for each required criteria and bonus point category. The instructions and application will also identify the minimum number of points necessary from the required criteria to be eligible for consideration of the bonus point categories. All applications will be reviewed and points awarded based upon the same point system in a fair and unbiased manner.

5. An applicant may submit separate applications for authorization in up to five Districts.

6. Each application requires one application fee (see Section 1290.80). Applications for authorization will be scored in five required categories. Should the applicant meet the minimum percentage in the five required categories, it may be eligible to be scored in the bonus category. The required five categories and the bonus category will be scored based on the following point structure:

A) The suitability of the proposed dispensary category is 150 points.

B) The business and operation plan category is 200 points.

C) The security plan category is 200 points.

D) The recordkeeping and inventory plan category is 200 points.

E) The financial disclosure category is 150 points.

F) The bonus category is 100 points.

7. If submitting an application in more than one District, the applicant shall identify the Districts it has applied in or Districts where it is registered.

8. Each applicant must submit to and qualify through a fingerprint-based criminal history records check as set forth in Section 1290.230.

9. The Division shall review each application to determine whether it meets the minimum criteria and shall determine qualified applicants.

10. The Division may consider the location of a proposed dispensary relevant to other proposed or existing dispensaries, in the same or adjacent Districts, to ensure that dispensaries are geographically dispersed.

11. If the Division determines that the number of qualified applicants exceeds the number of authorizations available, the Division will select the most qualified applicant in that District using the selection process established in Section 1290.60.

12. Qualified applicants chosen through the selection process will receive an authorization issued by the Division.

13. If the Division determines that a District has no qualified applicants or fewer qualified applicants than authorized registrations, the Division shall post a notification on the Division's website detailing the dates of the next open application period.

14. No person or entity shall have a financial interest in more than five registrations or hold itself out as an owner of more than five registrations. No person shall be a principal officer in more than five registered dispensing organizations. If a qualified applicant has been granted more than five authorizations or registrations by the Division, the applicant shall promptly notify the Division.

15. If a dispensing organization's registration is void or invalid for any reason, including but not limited to revocation, suspension or nonrenewal, the Division will post a notification on the Division's website detailing the dates of the next open application period.

b) Upon receipt of the authorization notice, the applicant may submit for registration approval.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.50 Dispensing Organization - Application Requirements for Authorization

a) Applications must be submitted on Division-provided forms and include the following information:

1. The legal name of the proposed dispensing organization.

2. The name, address, telephone number, date of birth, social security number and e-mail address of the proposed dispensing organization's principal officers. A post office box may not be used.

3. The name of the proposed dispensary.

4. If the entity applying is a sole proprietorship, a copy of creation documents.

5. If the entity applying is a business organization other than a sole proprietorship, the following information for the entity applying:

A) The type of business organization.

B) If a partnership, a copy of any partnership or joint venture documents, and if there is no written agreement, a statement signed by all principal officers affirming there is no agreement.

C) If a limited liability company, a copy of the Articles of Organization, operating agreement, and certificate of good standing issued by the Secretary of State or obtained from the Secretary of State's website dated within seven days prior to the date the application is filed with the Division. Limited liability company applicants shall include a listing of all affiliated persons or business entities holding an ownership interest in the company.

D) If a corporation, the name of the registered agent, a copy of the Articles of Incorporation, Corporate Resolutions if any, and a certificate of good standing issued by the Secretary of State or obtained from the Secretary of State's website within seven days prior to the date the application is filed with the Division. If using an assumed name, a copy of the assumed name registration issued by the Secretary of State. Corporate applicants shall include a listing of all persons or businesses holding an ownership interest in the corporation.

E) If an unincorporated association, organization or not-for-profit organization, documents or agreements relevant to its creation, ownership, profit sharing and liability. If there are no documents as detailed in this subsection (a)(5)(E), a statement signed by all principal officers stating so.

6. From each principal officer, a statement indicating whether that person:

A) Has held an ownership interest in a dispensing organization, other cannabis-related business, or its equivalent in another state or territory of the United States that had the dispensary registration or license suspended, revoked, placed on probationary status or subjected to other disciplinary action.

B) Is a physician that will be on the dispensing organization's board of directors or an employee, pursuant to Section 35(b)(5) of the Act.

C) Is a registered qualified patient, designated caregiver, provisional patient or OAPP patient.

7. Disclosure of whether any principal officer has ever:

A) Filed for bankruptcy; or

B) Defaulted on alimony or child support obligation.

8. A resume for each principal officer, including whether that person has an academic degree, certification or relevant experience with a medical cannabis business or in a related industry.

9. A patient education plan detailing the benefits or drawbacks of cannabis strains or products in connection with the debilitating conditions identified in the Act and an OAPP participant education plan detailing the benefits or drawbacks of cannabis strains or products in connection with medical conditions for which opioids can be, or are, prescribed for, and initiatives to keep product costs reasonable.

10. A description of the training and education that will be provided to dispensary agents.

11. A copy of the proposed operating by-laws.

12. A copy of the proposed business plan that complies with the requirements in this Part, including, at a minimum, the following:

A) A description of products intended to be offered;

B) A description of services to be offered; and

C) A description of the process of dispensing cannabis from a restricted access area to a limited access area.

13. A copy of the proposed security plan that complies with the requirements in this Part, including:

A) A description of the delivery process by which cannabis will be received from a cultivation center, including receipt of manifests and protocols that will be used to avoid diversion, theft or loss at the dispensary acceptance point;

B) The process or controls that will be implemented to monitor the dispensary, secure the premises, agents, patients, opioid participants and currency, and prevent the diversion, theft or loss of cannabis; and

C) The process to ensure that access to the limited access areas is restricted to qualifying patients, provisional registration patients, OAPP participants, designated caregivers, registered agents, service professionals or persons authorized by the Act and this Part.

14. A proposed inventory control plan that complies with this Part.

A) The process for integrating the dispensary's point of sale with the State verification system and Illinois Cannabis Tracking System using a program interface to record sales and patients, provisional patients, designated caregivers and OAPP participants in real time;

B) A description of the medical cannabis order fulfillment process for patients, provisional patients and OAPP participants;

C) A description of the patient, provisional patient and OAPP participant sale process;

D) A description of the process of dispensing cannabis from the restricted access area to the limited access area.

15. A proposed recordkeeping plan and State verification system for patients, provisional patients, designated caregivers and OAPP participants that complies with this Part.

16. A copy of the current local zoning ordinance sections relevant to dispensary operations. Documentation, if any, of the approval, the conditional approval or the status of a request for zoning approval from the local zoning office that the proposed dispensary location is in compliance with the local zoning rules and the zoning provisions in Section 130 of the Act.

17. For the building or land to be used as the proposed dispensary:

A) If the property is not owned by the applicant, a written statement from the property owner and landlord, if any, certifying consent that the applicant may operate a dispensary on the premises; or

B) If the property is owned by the applicant, confirmation of ownership.

18. A copy of any proposed marketing or advertising plan or materials.

19. A map of the area surrounding the proposed dispensary, extending a minimum of 1,000 feet from the property line in all directions. The map must clearly demonstrate that the property line of the proposed dispensary is not located within 1,000 feet of the property line of a pre-existing public or private preschool or elementary or secondary school or day care center, day care home, group day care home or part day child care facility. The map must clearly demonstrate that the dispensary is not in an area zoned for residential use and identify the existing adjacent businesses. For purposes of this subsection (a)(19), "pre-existing" means existing as of the date the proposed dispensing organization submitted its application to the Division.

20. A plot plan of the dispensary drawn to scale. The applicant shall submit general specifications of the building exterior and interior layout.

21. A statement that the dispensing organization agrees to respond to the Division's supplemental requests for information.

b) Financial Disclosure

The applicant shall provide a statement disclosing relevant business transactions and financial information connected with the application. Financial disclosures include:

1. A Table of Organization, Ownership and Control, including the ownership structure and names of the principal officers of the dispensing organization.

2. A current organization chart that includes position descriptions and the names and resumes of each person holding each position. The resumes shall establish specific skills, education, experience or significant accomplishments that are relevant to owning or operating a dispensing organization.

3. Depending on business type as applicable, agreements between any two or more principal officers that relate to the assets, liabilities, property, revenue, royalties, profit or future profit of the dispensing organization or comparable documents that establish the legal structure of the applicant, operations, management and control.

4. A copy of compensation agreements among any persons having a financial interest in the dispensing organization.

5. The nature, type, terms, covenants and priorities of all outstanding debts, including but are not limited to bonds, loans, mortgages, trust deeds, lines of credit, notes issued or executed, or to be issued or executed, in connection with the proposed dispensary.

6. Audited financial statements for the previous fiscal year, which shall include, but are not limited to, an income statement, balance sheet, statement of retained earnings or owners' equity, statement of cash flows, and all notes to those statements and related financial schedules, prepared in accordance with generally accepted accounting principles, with the accompanying independent auditor's report. The audit must be compiled by and certified by an auditor or CPA. If the applicant was formed within the year preceding the application, provide certified financial statements for the period of time the applicant has been in existence.

7. Complete copies of all federal, state and foreign (with translation) tax returns filed by the principal officers of the proposed dispensing organization for the last three years, or for the period each principal officer has filed tax returns if less than three years.

8. Disclosure of all funding sources used for the proposed dispensing organization, including documentation verifying the source of the funds and copies of closing documents in connection with the purchase of a registered business.

9. The applicant has a continuing duty to promptly disclose material changes in the financial information provided to the Division. If an applicant is issued a registration, this duty of ongoing disclosure shall continue throughout the registered period.

c) Documentation acceptable to the Division that the applicant has at least $400,000 in liquid assets under its control for each application. Documentation acceptable to the Division includes:

1. A signed statement from an Illinois Licensed CPA or financial institution attesting to proof of $400,000 in liquid assets under the control of a principal officer or the entity applying.

2. The signed statement must be dated within 10 calendar days before the application is submitted.

3. Documentation otherwise requested by the Division in writing.

d) An attestation under penalty of perjury signed and dated by each principal officer identified in subsection (a)(2):

1. That the person has not been convicted of an excluded offense;

2. That the information provided to the Division is true and correct;

3. That, if the proposed organization is issued an authorization, the applicant will not operate until the Division approves the applicant's registration packet, the dispensary is inspected and the applicant obtains a registration from the Division;

4. That the applicant acknowledges receipt and advisement of the notices contained in the application and agrees to and accepts the limitations of liability and the requirement to indemnify, hold harmless and defend the State of Illinois, including:

A) Limitation of Liability − the State of Illinois shall not be liable to the dispensing organization, dispensing organization employees, family members or guests, qualifying patients or caregivers, qualifying patient's or caregiver's employer or employees, family members or guests for any damage, injury, accident, loss, compensation or claim, based on, arising out of or resulting from the registrant's participation in the Compassionate Use of Medical Cannabis Pilot Program, including, but not limited to, the following: arrest, seizure of persons or property, prosecution pursuant to federal laws by federal prosecutors, any fire, robbery, theft, mysterious disappearance or any other casualty; or the actions of any other registrants or persons. This limitation of liability provision shall survive expiration or the early termination of the registration if the registration is granted; and

B) The Division requires each registrant to include a signed statement in the registration packet that, at minimum, certifies that the applicant has actual notice that, notwithstanding any State law:

i) Cannabis is a prohibited Schedule I controlled substance under federal law;

ii) Participation in the Compassionate Use of Medical Cannabis Pilot Program (program) is permitted only to the extent provided by the strict requirements of the Act and this Part;

iii) Any activity not sanctioned by the Act or this Part may be a violation of State law;

iv) Growing, distributing or possessing cannabis in any capacity, except through a federally-approved research program, is a violation of federal law;

v) Use of medical cannabis may affect an individual's ability to receive federal or state licensure in other areas;

vi) Use of medical cannabis, in tandem with other conduct, may be a violation of State or federal law;

vii) Participation in the medical cannabis program does not authorize any person to violate federal law or State law and, other than as set out in Section 25 of the Act, does not provide any immunity from or affirmative defense to arrest or prosecution under federal law or State law; and

viii) Applicants shall indemnify, hold harmless and defend the State of Illinois for any and all civil or criminal penalties resulting from participation in the program.

C) The Division has the authority to include additional certifications in the application that would be sufficient to ensure compliance with the program and all other applicable laws.

e) All proposed principal officers must be natural persons. The Division will communicate with the proposed dispensing organization's principal officers. The Division will not communicate exclusively with a consultant or attorney working on behalf of the proposed dispensing organization.

f) The non-refundable application fee (see Section 1290.80).

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.60 Selection Process

a) The Division will conduct a comprehensive, fair and impartial evaluation of the applications timely received. It will award dispensing organization authorizations on a competitive basis.

b) Applications will be assessed to determine whether they meet the mandatory minimum qualification criteria. Application items are mandatory unless otherwise indicated. An applicant that fails to submit the information required by this Part may be disqualified prior to the review and scoring process.

c) The Division will accept applications, assigning each one a unique identification number. During the selection process, the application will be reviewed and referred to by its unique identification number.

d) An application will be disqualified if one or more of the prospective principal officers has been convicted of an excluded offense.

e) When the Division receives more than one complete and timely filed application for an authorization in a District, the Division will choose the applicant through a selection and scoring process (see Section 1290.70).

f) The Division will rank each complete application based on its total score.

g) Authorizations will be issued to the applicants meeting at least the minimum criteria in each category and with the highest total score overall per District and based on the number of allocated registrations per District.

h) In the event that two or more applicants receive the same total high score, the Division will select the applicant that received the highest score in the security and recordkeeping categories. In the event that the applicants received the same score in the security and recordkeeping categories, the tied applicants will be interviewed by a panel of three Department employees selected by the Director. The panel will interview the applicants based on the information gathered during the application process. The panel will make a written recommendation to the Director, and the Director will review the recommendation and make a final written determination.

i) The Division may issue up to 60 dispensing organization authorizations. If the Division concludes that, during the first request for applications, no qualified applications are timely received for a District or Districts, the Division reserves the right to award fewer than 60 authorizations. If a second round of applications is required, the second round will be conducted in the same manner as the first.

j) An authorization notice will be sent to a successful applicant. The authorization notice will include a registry identification number to be used on all future communication with the Division.

k) Notwithstanding Section 1290.620, nothing in this Part is intended to confer a property or other right, duty, privilege or interest entitling an applicant to an administrative hearing upon denial of an application.

l) To reassign a registration, the Division will publish on its website, and in such other places as the Division deems appropriate, a notice of open applications for dispensary registration. The notice shall include:

1. The number of registrations anticipated to be awarded;

2. Information on how to obtain an application;

3. The deadline for receipt of applications;

4. Acceptable methods for submitting an application; and

5. The available District.

68 Ill. Adm. Code 1290.70 Selection Criteria

a) Applicants must submit all required information, including that required in Section 1290.50. Failure by an applicant to submit all required information may result in the application being disqualified.

b) If the Division receives an application with missing information, the Division may issue a deficiency notice to the applicant. The applicant shall have seven calendar days from the date of the deficiency notice to resubmit the incomplete information. Applications that are still incomplete after this opportunity to cure will not be scored and will be disqualified.

c) The Division will award points to administratively complete applications based on the clarity, organization and quality of the applicant's responses to required information. Applicants will be awarded points according to the following categories:

1. Suitability of the Proposed Dispensary

A) A demonstration that the proposed location is suitable for public access, the layout promotes safe dispensing of medical cannabis, it is sufficient in size, power allocation, lighting, parking, handicapped accessible parking spaces, ADA accessible entry and exits, product handling, and storage.

B) A statement of reasonable assurance that the issuance of a registration will not have a detrimental impact on the community.

2. Security and Recordkeeping

A) The security plan will demonstrate the capability for the prevention of the theft or diversion of medical cannabis. The security plan will demonstrate safety procedures for dispensary employees, patients, provisional patients, OAPP participants and caregivers, and safe delivery and storage of cannabis and currency. It will demonstrate compliance with all security requirements in this Part.

B) A plan for recordkeeping, tracking and monitoring inventory, quality control and other policies and procedures that will promote standard recordkeeping and discourage unlawful activity. This plan will include the applicant's strategy to communicate with the Division and ISP on the destruction and disposal of cannabis.

3. Applicant's Business Plan, Financials and Operating Plan

A) The business plan shall describe, at a minimum, how the dispensing organization will be managed on a long-term basis. This shall include a description of the State verification system, dispensing organization's point of sale system, Illinois Cannabis Tracking System, purchases and denials of sale, confidentiality, and products and services to be offered.

B) The financial plan shall describe, at a minimum, the source of the $400,000 liquid asset requirement and the amount and source of the organization's equity and debt commitment to ensure financial stability, including a demonstration of the immediate and long-term financial health and resources for the design, development and operation of the dispensary.

C) The operating plan shall include, at a minimum, a timetable that provides an estimated time from authorization through year one of registration and the assumptions used as the basis for those estimates. It will include best practices for day-to-day dispensary operation and staffing.

4. Knowledge and Experience

A) The applicant's principal officers must demonstrate experience and qualifications in business management or experience with the medical cannabis industry. This includes ensuring optimal safety and accuracy in the dispensing and sale of cannabis.

B) The applicant must demonstrate knowledge of various cannabis product strains or varieties, and describe the types and quantities of products planned to be sold. This includes confirmation of whether the dispensary plans to sell medical cannabis paraphernalia or edibles.

d) The Division will award bonus points for preferred, but not required, initiatives based on the applicant's ability to meet requirements in the following categories:

1. Labor and Employment Practices: The applicant may describe plans to provide a safe, healthy and economically beneficial working environment for its agents, including, but not limited to, codes of conduct, healthcare benefits, educational benefits, retirement benefits, and living wage standards.

2. Research Plan: The applicant may provide the Division with a detailed proposal to conduct, or facilitate, a scientific study or studies related to the medicinal use of cannabis. The applicant may include in its proposal a detailed description of:

A) The methodology of the study to accurately assess the effects of cannabis;

B) The issues to be studied;

C) The methods that will be used to identify and select study participants;

D) The identity of each person or organization associated with the study, including the role of each;

E) The duration of the study and anticipated peer review; and

F) The intended use of the study results.

3. Community Benefits Plan: The applicant may provide a description of plans the applicant has to support the local community, the class of citizens served, or a plan for reduction in product costs for indigent patients that qualify.

4. Substance Abuse Prevention Plan: The applicant may provide a detailed description of any plans it will take to combat substance abuse in its District, including the extent to which the applicant will partner or work with existing substance abuse programs.

5. Local Community/Neighborhood Report: The applicant may provide comments, concerns or support received regarding the potential impact of the proposed location on the local community and neighborhood.

6. Environmental Plan: The applicant may demonstrate an environmental plan of action to minimize the carbon footprint, environmental impact, and resource needs for the dispensary.

7. Verification of Minority-Owned, Female-Owned, Veteran-Owned or Disabled Person-Owned Business: The minority, female, veteran or disabled applicants must own at least 51% of the entity applying for registration. The percentage totals may include any combination of minority, female, veteran or disabled applicants. The minority, female, veteran or disabled applicant must also share in control of management and day-to-day operations of the dispensary. Documentation must be submitted at the time of application that demonstrates the respective status of the applicant, including, but not limited to, certification under the Business Enterprise for Minorities, Females, and Persons with Disabilities Act [30 ILCS 575] for minority, female or disabled person applicants, or a DD214 for veteran applicants. For purposes of this subsection, minority, female, and disabled shall be defined as found in Section 2 of the Business Enterprise for Minorities, Females, and Persons with Disabilities Act [30 ILCS 575/2].

8. Illinois Based Applicants: Documentation that the applicant's principal place of business is headquartered in Illinois, including the names, addresses and verification of the applicant's proposed agents that reside in Illinois. The applicant may also provide a plan for generating Illinois-based jobs and economic development.

e) The Division may verify information contained in each application and accompanying documentation to assess the applicant's character and fitness to operate a dispensary. In addition to the qualifications required in the Act and this Part, the Division may not grant an authorization or registration unless it is satisfied that the applicant is:

1. A person of good character, honesty and integrity;

2. A person whose background, including criminal record, reputation, habits and social or business associations, does not discredit or tend to discredit public confidence and trust in the Illinois medical cannabis industry or the State of Illinois, or pose a threat to the public health, security, safety, morals, good order and general welfare of the State of Illinois;

3. A person who does not create or enhance the dangers of unsuitable, unfair or illegal practices, methods and activities in the conduct of owning a medical cannabis dispensary;

4. A person who does not present questionable business practices and financial arrangements incidental to the conduct of owning a medical cannabis dispensary or otherwise;

5. A person who, either individually or through employees, demonstrates business ability and experience to establish, operate and maintain a business for the type of license for which application is made; and

6. A person who does not associate with, either socially or in business affairs, or employ, persons of notorious or unsavory reputation or who have extensive police records, or who have failed to cooperate with an officially constituted investigatory or administrative body.

f) The Division may, in its discretion, refuse to issue an authorization to any applicant:

1. Who is unqualified to perform the duties required of the applicant;

2. Who fails to disclose or states falsely any information called for in the application;

3. Who has been found guilty of a violation of the Act, or whose medical cannabis dispensary or cultivation center license was suspended, restricted, revoked or denied for just cause in any other state; or

4. For any other just cause.

g) Should the applicant be awarded an authorization, the information and plans provided in the application become a condition of the authorization. Dispensing organizations have a duty to disclose any material changes to the application. All changes shall be equal to or better than the original information or plans. Failure to comply with the conditions or requirements in the application may subject the dispensing organization to discipline, up to and including suspension or revocation of its authorization by the Division. Revocation of an authorization shall serve as a final administrative decision by the Division.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.80 Fees

The following non-refundable fees shall be paid to the Division.

a) Application Fees:

1. The authorization application fee is $5,000. One application fee is to be submitted with each application.

2. The registration fee is $30,000. One registration fee is required for each registration.

3. The application fee for a dispensing organization agent is $100. This fee includes the agent identification card.

4. The fee for a request to change the Division approved location of a dispensing organization within its assigned District is $5,000.

b) Renewal Fees:

1. The annual renewal fee for a dispensing organization registration is $25,000.

2. The annual renewal fee for a dispensing organization agent identification card is $50.

c) General Fees:

1. The fee for the issuance of a replacement dispensing organization Registration is $50.

2. The fee for the issuance of a replacement dispensing organization agent identification card is $50.

d) All monies collected under the Act shall be deposited in the Compassionate Use of Medical Cannabis Fund in the State treasury.

68 Ill. Adm. Code 1290.100 Dispensing Organization - Registration Process

a) No person may own, operate or act as a dispensing organization or represent that the person or organization is a registered dispensing organization unless first obtaining a registration from the Division.

b) The registration process shall include the following:

1. If the Division issues an authorization to an applicant, the Division will notify the applicant that it may file for a registration with the Division.

2. Only an applicant granted an authorization is permitted to register a dispensing organization.

3. A dispensing organization shall submit to the Division all supporting information and documents in a registration packet. The registration packet shall include all required registration materials in accordance with this Section and this Part. All registration materials shall be submitted together.

4. A dispensing organization must file the registration packet with the Division within 120 days after the date of the authorization notification, unless otherwise authorized by the Division.

5. The Division may identify incomplete or missing information from the registration packet, may request additional information from the applicant or may deny the registration packet.

6. If a registration packet is denied by the Division, the dispensing organization may refile it within 10 business days with the information or documents that caused its denial. If the registration packet is denied by the Division more than three times, the Division may withdraw the authorization. A letter withdrawing an authorization shall serve as a final administrative decision by the Division.

c) Once all required information and documents have been submitted, the Division will review the registration packet. The Division may request revisions and retains final approval over dispensary features. Once the registration packet is complete and meets the Division's approval, the Division will conditionally approve the registration. Final approval is contingent on the build-out and Division inspection.

d) Upon completion of the dispensary, the dispensing organization shall request an inspection. The Division will inspect the dispensary to confirm compliance with the registration packet, the Act and this Part.

e) A registration will be issued only after the completion of a successful inspection.

f) Once the Division has issued a registration, the dispensary organization shall notify the Division of the proposed opening date.

g) A dispensing organization is not prohibited from applying for a cultivation center permit in connection with DOA's rules.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.110 Dispensing Organization - Registration Requirements

a) The registration packet shall be equal to or better than the information contained in the application, and shall provide additional detail on construction, start-up, operation, security measures and dispensing procedures.

b) A person granted an authorization shall submit a registration packet to the Division that includes the following registration requirements:

1. The legal name of the dispensing organization;

2. The name of the dispensary;

3. The registry identification number for the dispensing organization;

4. The proposed physical address of the dispensary facility;

5. The address, telephone number and e-mail address of the applicant's principal place of business, if different from the location where the medical cannabis will be dispensed. A post office box is not permitted;

6. The name, address, date of birth and social security number for each proposed dispensing organization agent;

7. The proposed hours of operation;

8. Any proposed text or graphic materials to be shown on the exterior of the proposed dispensary;

9. The distance from the proposed dispensary's property line to the property line of the closest pre-existing public or private preschool or elementary or secondary school or day care center, day care home, group day care home and part day child care facility. For purposes of this subsection (b)(9), "pre‑existing" means existing as of the date the proposed dispensing organization submitted its application to the Division.

10. The anticipated date the dispensing organization will be ready for a Division inspection;

11. An attestation under penalty of perjury that the information provided to the Division for registration is true and correct;

12. Certification issued by the local jurisdiction's zoning office authorizing the use of the proposed plot as a dispensary;

13. A site plan drawn to scale of the proposed dispensary showing streets, traffic direction, sidewalks, trees, alleys, property lines, additional buildings on-site, parking areas and handicapped parking spaces, fences, exterior walled areas, garages, vehicle delivery access doors, hangars, security features and outdoor areas as applicable.

14. A floor plan or blueprint drawn to scale of the dispensary building that shall, at a minimum, show and identify:

A) Layout and square footage of each room;

B) Overall square footage of the dispensary facility;

C) Name and function of each room;

D) Doorways or pathways between rooms;

E) Means of ingress and egress;

F) Location of restricted, limited and public access areas. All limited and restricted access areas shall be clearly described in the floor plan of the premises, in the form and manner determined by the Division, reflecting walls, partitions, counter heights, and all areas of entry and exit. The floor plan shall show all storage, disposal and retail sales areas;

G) Location of cannabis storage areas while the dispensary is open for business;

H) Location of cannabis storage areas while the dispensary is closed for business;

I) Location of the patient, provisional patient or OAPP participant counseling area;

J) Location of all safes and/or vaults that will be used to store cannabis, cannabis-infused products or currency, identifying day storage and night storage;

K) Location of each computer used to check qualifying patient cards, designated caregiver registry cards, provisional registrations and verify OAPP participants;

L) Location of each computer and cash register used for point of sale transactions and to access the State verification system and Illinois Cannabis Tracking System;

M) Location of bullet-proof glass, if any;

N) Location of drawer, grate or conduit through the bullet-proof glass, if any;

O) Location of bullet-proof walls, if any;

P) Location of fire exits;

Q) Location of each toilet facility;

R) Location of a break room and personal storage lockers, if any;

S) Location of each video camera;

T) Location of each panic button; and

U) Location of natural windows or skylights.

15. Policies and procedures that comply with the requirements in this Part, outlined in an Operation and Management Practices Plan, including:

A) Inventory control and recordkeeping using the State verification system and Illinois Cannabis Tracking System;

B) Qualifying patient, designated caregiver, provisional patient and OAPP participant recordkeeping;

C) Dispensing medical cannabis to patients, designated caregivers, provisional patients, and OAPP participants that comply with the requirements in Sections 1290.430 and 1290.435;

D) Inventory control and recordkeeping using the dispensary's point of sale recordkeeping;

E) Security;

F) Patient care education and support;

G) Accessible business hours and safe dispensing; and

H) A staffing plan that ensures adequate staffing, training and education.

16. An explanation of related products or services to be offered, if any, other than cannabis.

17. A plan for working with cultivation centers to acquire medical cannabis and ensure the dispensary has a continuous supply for registered qualifying patients, designated caregivers, provisional patients and OAPP participants.

18. The estimated volume of cannabis it plans to store at the dispensary.

19. A detailed description of air treatment systems that will be installed to reduce odors.

20. A description of the features that will provide accessibility to qualifying patients, designated caregivers, provisional patients and OAPP participants as required by the ADA.

21. A plan detailing how the dispensing organization will perform a physical daily inventory of all medical cannabis to ensure inventory is balanced in the State verification system, Illinois Cannabis Tracking System and point of sale system.

22. An attestation that the dispensing organization will have a reinforced vault room with dimensions sufficient for storage of cannabis, cash and currency.

23. Documentation that the building meets State and local building and fire codes, and that all local ordinances are met for the proposed location.

24. A reasonable assurance that the issuance of a registration will not have a detrimental impact on the community.

25. A plan to prevent patient, provisional patient, designated caregiver and OAPP participant overflow in waiting rooms and patient care areas.

26. A signed statement by each principal officer or agent that they will not divert medical cannabis.

27. The registration fee (see Section 1290.80).

28. Any additional information requested by the Division.

c) The registration packet shall be signed and dated by each principal officer.

d) Upon Division approval of the registration packet, the information and plans in the registration packet become a condition of the registration. Dispensing organizations have a duty to disclose any material changes to the information contained in the registration packet.

e) Once all registration documentation is complete, reviewed, confirmed, and meets the Division's approval, the Division may issue a conditional approval.

f) After receipt of a conditional approval, and when the dispensing organization is ready to open, it shall contact the Division for an inspection. The dispensary shall not open until it has passed inspection and the Division has issued a registration.

g) Prior to opening, the dispensing organization shall notify the Division of the proposed opening date.

h) The Division may refuse to issue a registration or a registration must be denied pursuant to Section 115(f) of the Act for a violation of this Part for any of the following reasons:

1. The applicant failed to submit the materials required by the Act and this Part;

2. The applicant selected a location that is not in compliance with local zoning rules and cannot cure the zoning deficiency in a reasonable time;

3. The applicant does not meet the requirements of Section 130 or 140 of the Act;

4. One or more of the principal officers has been convicted of an excluded offense;

5. One or more of the principal officers has served as an owner or officer of a registered medical cannabis dispensing organization that had its registration revoked;

6. One or more of the principal officers is under 21 years of age;

7. One or more of the principal officers is a registered qualifying patient or a designated caregiver.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.120 Dispensing Organization - Financial Responsibility

Evidence of financial responsibility is a requirement for the issuance of a registration, maintenance of a registration, or reactivation of a registration. Evidence of financial responsibility shall be used to guarantee that the dispensing organization timely and successfully completes dispensary construction, operates in a manner that provides an uninterrupted supply of cannabis, faithfully pays registration renewal fees, keeps accurate books and records, makes regulatorily required reports, complies with State tax requirements, and conducts the dispensary in conformity with the Act and this Part. Evidence of financial responsibility shall be provided by one of the following:

a) Establishing and maintaining an escrow or surety account in a financial institution in the amount of $50,000, with escrow terms, approved by the Division, that it shall be payable to the Division in the event of circumstances outlined in this Section.

1. A financial institution may not return money in an escrow or surety account to the dispensing organization that established the account or a representative of the organization unless the organization or representative presents a statement issued by the Division indicating that the account may be released.

2. The escrow or surety account shall not be canceled on less than 30 days' notice in writing to the Division, unless otherwise approved by the Division. If an escrow or surety account is canceled and the registrant fails to secure a new account with the required amount on or before the effective date of cancellation, the registrant's registration may be revoked. The total and aggregate liability of the surety on the bond is limited to the amount specified in the escrow or surety account.

b) Providing a surety bond in the amount of $50,000, naming the dispensing organization as principal of the bond, with terms, approved by the Division, that the bond defaults to the Division in the event of circumstances outlined in this Section.

1. The business name and registration number on the bond must correspond exactly with the business name and registration number in the Division's records.

2. The bond must be written on a form approved by the Department.

3. A copy of the bond must be received by the Division within 90 days after the effective date.

4. The bond shall not be canceled by a surety on less than 30 days' notice in writing to the Division. If a bond is canceled and the registrant fails to file a new bond with the Division in the required amount on or before the effective date of cancellation, the registrant's registration may be revoked. The total and aggregate liability of the surety on the bond is limited to the amount specified in the bond.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.130 Changes to a Dispensing Organization Registration

a) A registration shall be issued to the specific dispensing organization identified on the application and for the specific location proposed. The registration is valid only for the owner, premises and name designated on the registration and the location for which it is issued.

b) A dispensing organization may not transfer or assign a registration.

c) A dispensing organization shall provide written notice to the Division of the addition or removal of persons or entities listed as principal officers. Notice shall be provided to the Division a minimum of 10 business days prior to the change, unless impracticable and the Division approves a different time in writing.

d) All proposed new principal officers shall be subject to the requirements of the Act and this Part.

e) The Division may prohibit the addition of a principal officer to a dispensing organization for failure to comply with the Act or this Part.

f) A dispensing organization shall provide written notice to the Division of a change in more than 49% of the dispensary ownership. The Division will review the ownership structure to determine whether the change in ownership has had the effect of a transfer of the registration. The dispensing organization shall supply all ownership documents and change of ownership documents requested by the Division.

g) The dispensing organization shall provide the Division with the personal information for all new dispensary agents as required in this Part and all new dispensary agents shall be subject to the requirements of this Part. A dispensing organization agent must obtain an agent card from the Division before beginning work at a dispensary.

h) A principal officer not in compliance with the requirements of the Act and this Part shall be removed from his or her position with the dispensing organization or shall otherwise terminate his or her affiliation. Failure to do so may subject the dispensing organization to discipline, suspension or revocation of its registration by the Division.

i) Prior to remodeling, expansion, reduction or other physical, non-cosmetic alteration of a dispensary, the dispensing organization must notify the Division and confirm the alterations are in compliance with the Act and this Part.

j) It is the responsibility of the registered dispensing organization and its principal officers to promptly notify the Division of any change of the principal place of business address.

68 Ill. Adm. Code 1290.140 Request to Relocate a Dispensary

a) A dispensing organization may relocate a dispensary in the District where the dispensary is registered or awarded an authorization. To relocate a registered dispensary, the dispensing organization shall submit an application requesting the change and the relocation fee (see Section 1290.80) to the Division.

b) The new dispensary location shall meet all the requirements of the Act and this Part.

c) If the information and documents submitted by the dispensing organization comply with the Act and this Part and the proposed location is equal to or better than the prior location, the Division will issue a conditional approval to relocate. The dispensary organization may continue to operate at the existing location, until the new location is ready. The dispensary organization may not operate two locations under the same registration number.

d) Once the new dispensary is finished, the dispensing organization shall notify the Division and request an inspection.

e) Prior to issuing a registration and approval to operate, the Division will inspect the dispensary to confirm compliance with the Act and this Part. Final approval for the dispensing organization to operate will be issued by the Division only after the completion of a successful inspection.

f) A dispensing organization shall not dispense medical cannabis at the new location until the Division approves the dispensary and issues an amended registration noting the new location.

g) Once the Division has issued an amended registration, the dispensing organization shall notify the Division of the proposed dispensary opening date.

h) The registration that includes the new address shall retain the expiration date of the previously issued registration.

i) An application for a relocation of a dispensary may not be combined with an application for renewing a dispensing organization registration. The Division shall process each application separately.

j) Should the dispensing organization relocate, it shall inform its existing patients of the new dispensary location.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.150 Dispensing Organization Renewals

a) Every dispensing organization registration issued under the Act shall expire annually, on the date it was issued. A registered dispensing organization shall receive written notice 90 days prior to the expiration of its registration that the registration will expire.

b) The Division will accept renewal applications within 45 days before the date a registration expires. Provided the dispensing organization is in compliance with the Act and this Part, and the renewal fee is paid, the Division shall renew the registration within 45 days after the renewal request submission. (See Section 1290.80.)

c) If the dispensary premises is leased, when submitting for renewal the dispensing organization must provide documentation that the registered premises has been leased for the following calendar year.

d) Upon a dispensing organization's request for a renewal, the Division shall consider the dispensing organization's history of compliance with regulations promulgated under the Act, the number and severity of any violations, and the correction of violations, penalties or other enforcement actions.

e) The Director of the Division may deny a dispensing organization's request to renew a registration due to poor compliance history or if it has been disciplined under the Act or this Part.

f) If a renewal fee is not paid before the registration's expiration date, and the dispensing organization has not requested an extension of time to renew, the registration expires on the registration expiration date.

g) Dispensing medical cannabis on an expired registration is unlawful under the Act, unlicensed activity and grounds for discipline.

h) If the Division, after notice to the dispensing organization, denies the request to renew a registration and the registrant contests the non-renewal, it shall be entitled to an administrative hearing in accordance with the hearing rights prescribed in the Act and this Part.

68 Ill. Adm. Code 1290.200 Dispensing Organization Agent-in-Charge

a) Every dispensing organization shall designate, at a minimum, one agent-in-charge for each registered dispensary. The designated agent-in-charge must hold a dispensing organization agent identification card. Maintaining an agent-in-charge is a continuing requirement for the registration, except as provided in subsection (g).

b) The agent-in-charge shall be a principal officer or a full-time agent of the dispensing organization and shall manage the dispensary. Managing the dispensary includes, but is not limited to, responsibility for opening and closing the dispensary, delivery acceptance, oversight of sales and dispensary agents, recordkeeping, inventory, dispensary agent training, and compliance with the Act and this Part. Participation in affairs also includes the responsibility for maintaining all files subject to inspection by the Division at the dispensary.

c) The agent-in-charge is responsible for promptly notifying the Division of any change of information required to be reported to the Division.

d) In determining whether an agent-in-charge manages the dispensary, the Division may consider the responsibilities identified in this Section, the number of dispensary agents under the supervision of the agent-in-charge, and the employment relationship between the agent-in-charge and the dispensing organization, including the existence of a contract for employment and any other relevant fact or circumstance.

e) The agent-in-charge is responsible for notifying the Division of a change in the employment status of all dispensing organization agents within five business days after the change, including notice to the Division if the termination of an agent was for diversion of product or theft of currency.

f) In the event of the separation of an agent-in-charge due to death, incapacity, termination or any other reason and if the dispensary does not have an active agent-in-charge, the dispensing organization shall immediately contact the Division and request a temporary certificate of authority allowing the continuing operation. The request shall include the name of an interim agent-in-charge until a replacement is identified, or shall include the name of the replacement. The Division shall issue the temporary certificate of authority promptly after it approves the request. If a dispensing organization fails to promptly request a temporary certificate of authority after the separation of the agent-in-charge, its registration shall cease until the Division approves the temporary certificate of authority or registers a new agent-in-charge. No temporary certificate of authority shall be valid for more than 90 days. The succeeding agent-in-charge shall register with the Division in compliance with this Part. Once the permanent succeeding agent-in-charge is registered with the Division, the temporary certificate of authority is void. No temporary certificate of authority shall be issued for the separation of an agent-in-charge due to disciplinary action by the Division related to his or her conduct on behalf of the dispensing organization.

g) The dispensing organization agent-in-charge registration shall expire annually on the date it was issued. The agent-in-charge's registration shall be renewed annually. The Division shall review the dispensary's compliance history when determining whether to grant the request to renew.

h) Upon termination of an agent-in-charge's employment, the dispensing organization shall immediately reclaim the dispensary agent identification card. The dispensing organization shall promptly return the identification card to the Division.

i) The Division may deny an application for, or renewal of, or revoke an agent-in-charge identification card, or discipline an agent-in-charge, for any of the following reasons:

1. Submission of misleading, incorrect, false or fraudulent information in the application or renewal application;

2. Violation of the requirements of the Act or this Part;

3. Fraudulent use of the agent-in-charge identification card;

4. Selling, distributing, transferring in any manner, or giving medical cannabis to any unauthorized person;

5. Tampering with, falsifying, altering, modifying or duplicating an agent-in-charge identification card;

6. Tampering with, falsifying, altering or modifying the surveillance video footage, point of sale system, Illinois Cannabis Tracking System, or the State verification system;

7. Tampering with, falsifying, altering or modifying patient, provisional patient, designated caregiver or OAPP participant applications;

8. Failure to notify the Division immediately upon discovery that the agent-in-charge identification card has been lost, stolen or destroyed;

9. Failure to notify the Division within five business days after a change in the information provided in the application for an agent-in-charge identification card;

10. Conviction of an excluded offense or any incident listed in Section 1290.200 or 1290.510 following the issuance of an agent-in-charge identification card;

11. Overdispensing; or

12. For any unethical, dishonorable and unprofessional conduct.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.210 Dispensing Organization Agents

a) All principal officers, agents-in-charge and agents of the dispensing organization are dispensing organization agents and shall hold an agent identification card. No person shall enter a dispensary to begin work at a dispensary prior to holding an agent identification card.

b) Only a dispensing organization principal officer or an agent-in-charge may apply for an agent identification card for himself or herself or other dispensary agents.

c) A dispensing organization agent shall visibly display an agent identification card issued by the Division at all times while at the dispensary.

d) An agent registration application shall be submitted by a dispensing organization principal officer or agent-in-charge on forms provided by the Division, along with the following:

1. The name of the dispensing organization employing the agent, and the address of the dispensary;

2. A full set of fingerprints submitted to ISP as outlined in this Part;

3. A copy of the applicant's valid driver's license or State issued identification;

4. Electronic picture of applicant;

5. A document verifying the applicant's place of residency, such as a bank statement, cancelled check, insurance policy, etc. The document must contain the applicant's full residence address;

6. A sworn statement that the applicant has not been convicted of an excluded offense in any jurisdiction;

7. The applicant's social security number;

8. The registration fee (see Section 1290.80); and

9. Any additional information requested by the Division in the verification process.

e) The Division will deny an application or renewal of an agent identification card for a person convicted of an excluded offense.

f) If no excluded offense is found relating to the fingerprints, the applicant has submitted all required information and the applicant is otherwise qualified under the Act, the Division may approve the application or renewal. Within 15 days after approving an application or renewal, the Division shall issue an agent identification card that will be valid for the period specified on the face of the card and will be renewable upon the conditions set forth in this Part.

g) Dispensing organization agents have access to restricted access areas. They are responsible for the sale of cannabis and dispensary operations. Agents may accept deliveries from cultivation centers, and must document sales in compliance with the Act and this Part.

h) It is the responsibility of each registered dispensing organization to notify the Division of an agent's change of address.

i) Dispensing organization agents must promptly report any diversion or theft, or suspicion of diversion or theft, of cannabis or currency to the Division.

j) At least 30 days prior to the expiration of an agent identification card, the dispensing organization or the agent shall request the Division renew the annual agent identification card, include any information requested by the Division, and authorize ISP to conduct a criminal background check.

k) No dispensing organization shall, after the expiration of an agent identification card, employ or retain the holder of the card in any capacity. Upon expiration of an agent registration, the agent shall not enter the dispensary.

l) Upon termination of employment, the agent identification card shall be immediately returned to the dispensing organization. The dispensing organization shall promptly return the agent identification card to the Division.

m) The agent identification card is not transferable. It is the property of the State of Illinois and shall be surrendered upon demand of the Director.

n) A dispensing organization agent shall promptly report an arrest and any subsequent conviction of an excluded offense to the dispensing organization and to the Division.

o) Should the Division not be able to obtain the State or federal criminal records check from ISP as required by the Act and this Part, the Division may contract with a private detective or investigating agency licensed under the Private Detective, Private Alarm, Private Security, Fingerprint Vendor, and Locksmith Act of 2004 [225 ILCS 447] and in good standing with the Department for the purpose of conducting the records checks.

p) The Division may deny an application for, or a renewal of, or revoke an agent identification card, or discipline an agent, for any of the following reasons:

1. Submission of misleading, incorrect, false or fraudulent information in the application or renewal application;

2. Violation of the requirements of the Act or this Part;

3. Fraudulent use of the agent identification card;

4. Selling, distributing, transferring in any manner, or giving medical cannabis to any unauthorized person;

5. Tampering with, falsifying, altering, modifying or duplicating an agent identification card;

6. Tampering with, falsifying, altering or modifying the surveillance video footage, point of sale system, Illinois Cannabis Tracking System, or the State verification system;

7. Tampering with, falsifying, altering or modifying patient, provisional patient, designated caregiver or OAPP participant applications;

8. Failure to notify the Division within five business days after becoming aware that the agent identification card has been lost, stolen or destroyed;

9. Failure to notify the Division within five business days after a change in the information provided in the application for an agent identification card or renewal;

10. Conviction of an excluded offense following the issuance of an agent identification card;

11. For conduct that demonstrates incompetence or unfitness to work in a dispensary; or

12. For any unethical, dishonorable or unprofessional conduct.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.220 Persons with Significant Influence or Control; Disassociation

a) Any individual in connection with the dispensing organization who is not a principal officer or agent, and who may significantly influence or control the activities of the dispensing organization, other than a bank or other licensed lending institution holding a mortgage or other lien, may be subject to a background investigation or an examination of the business relationship with the dispensary.

b) The Division may order the disassociation of any person from the dispensing organization if the person fails to cooperate with the Division's investigation or if the person would be prohibited from being a principal officer pursuant to the Act and this Part. The order issued by the Director shall be directed to the applicant or registrant, and non-compliance with the order may result in the revocation, suspension or other discipline of the registration.

68 Ill. Adm. Code 1290.230 State and Federal Criminal History Records Check

a) Persons required to submit to a State and federal criminal history records check for convictions of an excluded offense shall submit to a fingerprint-based criminal history records check by providing a full set of fingerprints in an electronic format to an ISP livescan vendor whose equipment has been certified by ISP or a fingerprint vendor agency licensed by the Department. Out-of-state residents unable to utilize an Illinois fingerprint vendor agency may request an ISP Fee Applicant Card from the Division for out-of-state fingerprint processing.

b) The ISP will act as the Division's agent, receiving electronic fingerprints and conducting background checks of each individual applying for an agent identification card.

c) ISP will conduct background checks for conviction information contained in the ISP and Federal Bureau of Identification criminal history databases, as permitted.

d) For verification of a statutorily imposed duty to conduct background checks pursuant to the Act, ISP will transmit the results of the background check to the Division and the transmittal shall conclude the verification process.

e) The electronic background checks shall be submitted as outlined in either the Uniform Conviction Information Act [20 ILCS 2635] or 20 Ill. Adm. Code 1265.30 (Electronic Transmission of Fingerprint Requirements).

f) Electronic transmission of fingerprint data to ISP shall be accomplished utilizing livescan procedures or other comparable technology approved for use by ISP.

g) Manual fingerprints will not be accepted and shall not be scanned and converted into an electronic format, unless otherwise approved by the Division.

h) Fingerprints shall be taken within one month prior to the application date or renewal date for an agent identification card, unless otherwise approved by the Division.

i) Fingerprint images of the individual being fingerprinted, and related alphanumeric identification data submitted, shall be submitted electronically to ISP.

j) If the fingerprints are rejected by ISP, the dispensary agent shall have his or her fingerprints collected electronically by a live scan fingerprint vendor a second time.

k) In the event of equipment malfunction or other special circumstance that make electronic transmission of fingerprint data impractical, the Division may allow limited use of paper fingerprint records.

l) The dispensing organization shall submit to the Division a copy of the livescan request form, with the agent identification card application or renewal and the receipt provided from the livescan fingerprint vendor containing the Transaction Control Number (TCN), as proof that fingerprints have been collected.

m) Dispensary agent identification card applications submitted without a copy of the livescan request form and receipt will be deemed incomplete and will not be processed until fingerprinting is completed.

n) Fees associated with the livescan fingerprint-based criminal history records check shall be the responsibility of the dispensing organization seeking an agent identification card.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.300 Operational Requirements

a) It is the duty of the Division to enforce the provisions of the Act and this Part relating to the registration and oversight of dispensing organization, unless otherwise provided in the Act.

b) A dispensing organization awarded a registration shall operate in accordance with the representations made in its application and registration packet. It shall be in compliance with the Act and this Part while registered with the Division.

c) Only a dispensing organization that has been issued a registration by the Division shall own and operate a dispensary.

d) A dispensing organization must include the name of the dispensary on the packaging of any cannabis product it sells.

e) All medical cannabis and cannabis-infused products must be obtained from an Illinois registered cultivation center (see 8 Ill. Adm. Code 1000).

f) A dispensing organization shall inspect and count product received from the cultivation center before dispensing it.

g) A dispensing organization may only accept medical cannabis deliveries into a restricted access area. Deliveries may not be accepted through the public or limited access areas unless otherwise approved by the Division.

h) A dispensing organization shall maintain compliance with State and local building, fire and zoning requirements or regulations.

i) A dispensing organization shall submit a list to the Division of the names of all service professionals who will work at the dispensary. The list shall include a description of the type of business or service provided. Changes to the service professional list shall be promptly provided. No service professional shall work in the dispensary until the name is provided to the Division on the service professional list.

j) A registration shall allow the registrant to operate at a single location.

k) A dispensary may operate between 6 a.m. and 8 p.m. local time.

l) A dispensing organization must keep all lighting outside and inside the dispensary in good working order and wattage sufficient for security cameras.

m) A dispensing organization shall not:

1. Produce or manufacture cannabis;

2. Allow consumption of cannabis at the dispensary;

3. Accept a cannabis product from a cultivation center unless it is pre-packaged and labeled in accordance with this Part, 8 Ill. Adm. Code 1000 and 77 Ill. Adm. Code 946;

4. Sell cannabis or cannabis-infused products to a consumer unless the individual presents an active registered qualifying patient, provisional patient, OAPP participant or designated caregiver card issued by DPH;

5. Enter into an exclusive agreement with any cultivation center. Dispensaries shall provide patients, provisional patients and participants an assortment of products from various cultivation centers. The Division may request that a dispensary diversify its products as needed;

6. Refuse to conduct business with a cultivation center that has the ability to properly deliver the product and is permitted by DOA, on the same terms as other cultivation centers with whom it is dealing;

7. Operate drive through windows;

8. Transport cannabis to residences of registered qualifying patients, provisional patients, OAPP participants or designated caregivers;

9. Operate a dispensary if its video surveillance equipment is inoperative;

10. Operate a dispensary if the point of sale equipment is inoperative;

11. Operate a dispensary if the State verification system or the Illinois Cannabis Tracking System is inoperative;

12. Have fewer than two people working at the dispensary at any time while the dispensary is open;

13. Contract with, pay, or have a profit sharing arrangement with third party groups that assist individuals with finding a physician or completing the patient or participant application; or

14. Pay a referral fee to a third-party group for sending patients or participants to a specific dispensary.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.320 Dispensary Access Oversight

a) Access to a dispensary is restricted as defined in the Act and this Part. No persons, except the following, are permitted entry into the restricted access areas in the dispensary:

1. Dispensing organization agents, the Division or the Division's authorized representative, ISP, or other federal or State officials performing duties as required by federal or State law;

2. Cultivation center agents with cultivation center agent identification cards may deliver medical cannabis to a dispensary;

3. Emergency personnel when necessary to perform official duties;

4. In connection with Section 1290.300(i), a dispensing organization may allow service professionals to enter when working on a job that requires their presence at the dispensary, such as installing or maintaining security devices or providing construction services; and

5. Any person, other than a dispensary agent, authorized to be at a dispensary pursuant to this subsection (a) and with access to the restricted access area must be accompanied at all times by a dispensing organization agent.

b) No person, except the following, are permitted entry into the dispensary's limited access areas:

1. Qualified patients, provisional patients, and designated caregivers;

2. OAPP participants;

3. Dispensing organization agents, the Division or the Division's authorized representative, ISP, or other federal, State or local representatives performing duties as required by federal or State law;

4. Emergency personnel when necessary to perform official emergency duties;

5. Cultivation center agents with cultivation center agent identification cards may access dispensaries to perform duties supporting the delivery of medical cannabis, including but not limited to educating dispensary agents and correcting mislabeled product;

6. In connection with Section 1290.300(i), a dispensing organization may allow service professionals to enter when they are working on a job that requires their presence at the dispensary, such as installing or maintaining security devices or providing construction services;

7. Upon a dispensary's prior written request, the Division may approve a request to allow a visitor to enter the limited access area of a dispensary. The written request must include the name of the dispensing organization agent requesting the visit, the name of the visitor, the reason for the visit, and the date and time of the proposed visit. Visits must be for a purpose in furtherance of the Act. The Division must issue written approval before the dispensing organization allows a visitor access to the dispensary. Visitors are prohibited from entering the restricted access area.

8. Any person, other than a dispensary agent, authorized to be at a dispensary by this subsection (b) shall be monitored, while in the limited access area, at all times by a dispensing organization agent.

d) All persons authorized to be at a dispensary pursuant to subsection (a) or (b) must present valid government issued identification with a picture prior to entry.

1. Once the person is verified, a dispensing organization agent shall record the person in a log with the date, time and purpose of the visit. The log shall be maintained at the dispensary and made available to the Department, at any time, for a period of five years.

2. A dispensing organization agent shall issue a numbered identification badge to persons authorized to be in a dispensary. Identification badges shall be worn while in the dispensary. All visitor identification badges shall be returned to a dispensing organization agent upon exit.

3. The dispensing organization shall institute best practices to preserve confidentiality of patient and OAPP participant identity and patient and OAPP participant sales.

History

• Source: Added at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.400 Inventory Control System

a) A dispensing organization agent-in-charge shall have primary oversight of the dispensing organization's State verification system, its point of sale system, and Illinois Cannabis Tracking System. The inventory point of sale system shall be real-time, web-based and accessible by the Division 24 hours a day, seven days a week.

b) A dispensing organization shall establish an account with the State verification system and Illinois Cannabis Tracking System that documents:

1. Each sales transaction at the time of sale and each day's beginning inventory, acquisitions, sales, disposal and ending inventory.

2. Acquisition of medical cannabis and medical cannabis-infused products from a permitted cultivation center, including:

A) A description of the products including the quantity, strain, variety and batch number of each product received;

B) The name and registry identification number of the permitted cultivation center providing the medical cannabis;

C) The name and registry identification number of the permitted cultivation center agent delivering the medical cannabis;

D) The name and registry identification number of the dispensing organization agent receiving the medical cannabis; and

E) The date of acquisition.

3. The disposal of medical cannabis, including:

A) A description of the products, including the quantity, strain, variety, batch number and reason for the cannabis being disposed;

B) The method of disposal; and

C) The date and time of disposal.

c) A dispensing organization shall use a point of sale system that establishes and maintains a real time interface with the State verification system to track, consistent with the Act and this Part, patient and provisional patient limits, patient and provisional patient sales at the time of sale, inventory, currency and destruction.

d) A dispensing organization shall use a point of sale system that establishes and maintains a real time interface with the Illinois Cannabis Tracking System to track OAPP participant's limits, OAPP participant sales at the time of sale, inventory, currency, OAPP participant's chosen dispensary and written certification.

e) Upon medical cannabis delivery, a dispensing organization shall confirm the product's name, strain name, weight and identification number on the manifest matches the information on the medical cannabis product label and package. The product name listed and the weight listed in the State verification system and Illinois Cannabis Tracking System shall match the product packaging.

f) The agent-in-charge shall conduct daily inventory reconciliation documenting and balancing medical cannabis inventory by confirming the State verification system and Illinois Cannabis Tracking System matches the dispensing organization's point of sale system and the amount of physical product at the dispensary.

1. A dispensing organization must receive Division approval prior to completing an inventory adjustment. It shall provide a detailed reason for the adjustment. Inventory adjustment documentation shall be kept at the dispensary for two years from the date performed.

2. If, after the daily inventory reconciliation, the dispensing organization identifies an imbalance in the amount of medical cannabis due to mistake, the dispensing organization shall determine how the imbalance occurred and, immediately upon discovery, take and document corrective action. If the dispensing organization cannot identify the reason for the mistake within two calendar days after first discovery, it shall inform the Division immediately in writing of the imbalance and the corrective action taken to date. The dispensing organization shall work diligently to determine the reason for the mistake.

3. If the dispensing organization identifies an imbalance in the amount of medical cannabis after the daily inventory reconciliation or through other means due to theft, criminal activity or suspected criminal activity, the dispensing organization shall immediately determine how the reduction occurred and take and document corrective action. Within 24 hours after the first discovery of the reduction due to theft, criminal activity or suspected criminal activity, the dispensing organization shall inform the Division and ISP in writing in connection with Section 1290.445.

4. The dispensing organization shall file an annual compilation report with the Division, including a financial statement that shall include, but not be limited to, an income statement, balance sheet, profit and loss statement, statement of cash flow, wholesale cost, and sales, and any other documentation requested by the Division in writing. The financial statement shall include any other information the Division deems necessary in order to effectively administer the Act and all rules, orders and final decisions promulgated under the Act. Statements required by this subsection (f)(4) shall be filed with the Division within 60 days after the end of the calendar year. The compilation report shall include a letter authored by a licensed CPA that it has been reviewed and is accurate based on the information provided. The dispensing organization, financial statement and accompanying documents are not required to be audited unless specifically requested by the Division.

g) A dispensing organization shall:

1. Maintain the documentation required in this Section in a secure locked location at the dispensing organization for five years from the date on the document;

2. Provide any documentation required to be maintained in this Section to the Division for review upon request; and

3. If maintaining a bank account, retain for a period of five years a record of each deposit or withdrawal from the account.

h) A dispensing organization shall not accept returns of medical cannabis. If cannabis is abandoned at the dispensary, it shall be accounted for and destroyed in compliance with this Part.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.405 Storage Requirements

a) Authorized On-Premises Storage. A dispensing organization must store inventory on the registered premises. All inventory stored on the registered premises must be secured in a restricted access area and tracked consistently with the inventory tracking rules.

b) A dispensary shall be of suitable size and construction to facilitate cleaning, maintenance and proper operations.

c) A dispensary shall maintain adequate lighting, ventilation, temperature, humidity control and equipment.

d) Containers storing medical cannabis that have been tampered with or opened shall be labeled with the date opened and quarantined from other medical cannabis products in the vault until they are disposed of.

e) Medical cannabis that was tampered with or damaged shall not be stored at the registered premises for more than seven calendar days.

f) Medical cannabis samples shall be in a sealed container. Samples shall be maintained in the restricted access area.

g) The dispensary storage areas shall be maintained in accordance with the security requirements (see Section 1290.410).

h) Medical cannabis must be stored at appropriate temperatures and under appropriate conditions to help ensure that its packaging, strength, quality and purity are not adversely affected.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

Part 1290 Rules for Administration of the Compassionate Use of Medical Cannabis Program

68 Ill. Adm. Code 1290.410 Security Requirements

a) A dispensing organization shall implement security measures to deter and prevent entry into and theft of cannabis or currency.

b) A dispensing organization shall submit changes to the floor plan or security plan to the Division for pre-approval. All cannabis shall be maintained and stored in a restricted access area during construction.

c) The dispensing organization shall implement security measures to protect the premises, registered qualifying patients, provisional patients, designated caregivers, OAPP participants and dispensing organization agents including, but not limited to the following:

1. Establish a locked door or barrier between the facility's entrance and the limited access area;

2. Prevent individuals from remaining on the premises if they are not engaging in activity permitted by the Act or this Part;

3. Develop a policy that addresses the maximum capacity and patient flow in the waiting rooms and patient care areas;

4. Dispose of cannabis in accordance with this Part;

5. During hours of operation, store and dispense all cannabis from the restricted access area or a pickup-location in close proximity to the dispensary. For purposes of this subsection (c)(5), "pickup-location in close proximity to the dispensing organization" means an area contiguous to the real property of the dispensary, such as a sidewalk or parking lot; additionally, during operational hours, cannabis shall be stored in an enclosed locked room or cabinet and shall be accessible only to specifically authorized agents;

6. When the dispensary is closed, store all cannabis and currency in a reinforced vault room in the restricted access area and in a manner as to prevent diversion, theft or loss;

7. Keep the reinforced vault room and any other equipment or cannabis storage areas securely locked and protected from unauthorized entry;

8. Keep an electronic daily log of dispensary agents with access to the reinforced vault room and knowledge of the access code or combination;

9. Keep all locks and security equipment in good working order;

10. The security and alarm system shall be operational at all times.

11. Prohibit keys, if applicable, from being left in the locks, or stored or placed in a location accessible to persons other than specifically authorized personnel;

12. Prohibit accessibility of security measures, including combination numbers, passwords or electronic or biometric security systems to persons other than specifically authorized agents;

13. Ensure the dispensary interior and exterior premises are sufficiently lit to facilitate surveillance;

14. Ensure that trees, bushes and other foliage outside of the dispensary premises do not allow for a person or persons to conceal themselves from sight;

15. Develop emergency policies and procedures for securing all product and currency following any instance of diversion, theft or loss of cannabis, and conduct an assessment to determine whether additional safeguards are necessary; and

16. Develop sufficient additional safeguards in response to any special security concerns, or as required by the Division.

d) The Division may request or approve alternative security provisions that it determines are an adequate substitute for a security requirement specified in this Part. Any additional protections may be considered by the Division in evaluating overall security measures.

e) A dispensing organization shall provide additional security as needed and in a manner appropriate for the community where it operates.

f) Restricted Access Areas

1. All restricted access areas must be identified by the posting of a sign that shall be a minimum of 12" x 12" and that states "Do Not Enter – Restricted Access Area – Authorized Personnel Only" in lettering no smaller than one inch in height.

2. All restricted access areas shall be clearly described in the floor plan of the registered premises, in the form and manner determined by the Division, reflecting walls, partitions, counters and all areas of entry and exit. The floor plan shall show all storage, disposal and retail sales areas.

3. All restricted access areas must be secure, with locking devices that prevent access from the limited access areas.

g) Security and Alarm

1. A dispensing organization shall have an adequate security plan and security system to prevent and detect diversion, theft or loss of cannabis, currency or unauthorized intrusion using commercial grade equipment installed by an Illinois licensed private alarm contractor or private alarm contractor agency that shall, at a minimum, include:

A) A perimeter alarm on all entry points to the premises and glass break protection on perimeter windows;

B) Security shatterproof tinted film on exterior of perimeter windows;

C) A failure notification system that provides an audible, text or visual notification of any failure in the surveillance system, including, but not limited to, panic buttons, alarms and video monitoring system. The failure notification system shall provide an alert to designated dispensing organization agents within five minutes after the failure, either by telephone or text message;

D) A duress alarm, panic button and alarm, or holdup alarm and after-hours intrusion detection alarm that by design and purpose will directly or indirectly notify, by the most efficient means, the Public Safety Answering Point (PSAP) for the law enforcement agency having primary jurisdiction;

E) Security equipment to deter and prevent unauthorized entrance into the dispensary, including electronic door locks on the limited and restricted access areas that include devices or a series of devices to detect unauthorized intrusion that may include a signal system interconnected with a radio frequency method, cellular, private radio signals or other mechanical or electronic device.

2. All security system equipment and recordings shall be maintained in good working order, in a secure location so as to prevent theft, loss, destruction or alterations.

3. Access to surveillance monitoring recording equipment resides shall be limited to persons that are essential to surveillance operations, law enforcement authorities acting within their jurisdiction, security system service personnel and the Division. A current list of authorized dispensary agents and service personnel that have access to the surveillance equipment must be available to the Division upon request.

4. All security equipment shall be inspected and tested at regular intervals, not to exceed one month from the previous inspection and test to ensure the systems remain functional.

5. The security system shall provide protection against theft and diversion that is facilitated or hidden by tampering with computers or electronic records.

6. The dispensary shall ensure all access doors are not solely controlled by an electronic access panel to ensure that locks are not released during a power outage.

h) To monitor the dispensary, the dispensing organization shall incorporate continuous electronic video monitoring, including the following:

1. Monitors of 19-inches or greater;

2. Unobstructed video surveillance of all enclosed dispensary areas, unless prohibited by law, including all points of entry and exit that shall be appropriate for the normal lighting conditions of the area under surveillance. The cameras shall be directed so all areas are captured, including, but not limited to, safes, vaults, sales areas and areas where cannabis is stored, handled, dispensed or destroyed. Cameras shall be:

A) angled to allow for facial recognition, the capture of clear and certain identification of any person entering or exiting the dispensary area; and

B) in lighting sufficient during all times of night or day;

3. Unobstructed video surveillance of outside areas, the storefront and the parking lot, that shall be appropriate for the normal lighting conditions of the area under surveillance. Cameras shall be angled so as to allow for the capture of facial recognition, clear and certain identification of any person entering or exiting the dispensary, the immediate surrounding area, and license plates of vehicles in the parking lot;

4. Twenty-four-hour recordings from all video cameras available for immediate viewing by the Division upon request. Recordings shall not be destroyed or altered and shall be retained for at least 90 days. Recordings shall be retained as long as necessary if the dispensing organization is aware of the loss or theft of cannabis; a pending criminal, civil or administrative investigation; or a legal proceeding for which the recording may contain relevant information;

5. The ability to immediately produce a clear, color still photo from the surveillance video, either live or recorded;

6. A date and time stamp embedded on all video surveillance recordings. The date and time shall be synchronized and set correctly and shall not significantly obscure the picture;

7. The ability to remain operational during a power outage and ensure all access doors are not solely controlled by an electronic access panel to ensure that locks are not released during a power outage;

8. Exporting of still images in an industry standard image format, including JPG, BMP and GIF. Exported video shall have the ability to be archived in a proprietary format that ensures authentication of the video and guarantees that no alteration of the recorded image has taken place. Exported video shall also have the ability to be saved in an industry standard file format that can be played on a standard computer operating system. All recordings shall be erased or destroyed prior to disposal;

9. A video surveillance system that is operational during a power outage with a four-hour minimum battery backup;

10. A video printer capable of immediately producing a clear still photo from any video camera image;

11. A video camera or cameras recording at each point of sale terminal allowing for the identification of the dispensary agent distributing the cannabis and any qualifying patient or designated caregiver purchasing medical cannabis. The camera or cameras shall capture the sale, the individuals and the computer monitors used for the sale;

12. Storage of video recordings from the video cameras for at least 90 calendar days; and

13. A failure notification system that provides an audible and visual notification of any failure in the electronic video monitoring system.

i) All electronic video surveillance monitoring must record at least the equivalent of eight frames per second and be available to the Division and ISP 24 hours a day in real-time via a secure web-based portal with reverse functionality.

j) The dispensing organization shall maintain policies and procedures that include:

1. Security plan with protocols for patient, provisional patient, OAPP participant, caregiver and agent safety, and management and security of cannabis and currency, as outlined in the Act and this Part;

2. Restricted access to the areas in the dispensary that contain cannabis to authorized agents;

3. Identification of authorized agents;

4. Controlled access and prevention of loitering both inside and outside the dispensary;

5. Conducting electronic monitoring; and

6. Use of a panic button.

History

• Source: Amended at 47 Ill. Reg. 17846, effective November 20, 2023

Part 1290 Rules for Administration of the Compassionate Use of Medical Cannabis Pilot Program

68 Ill. Adm. Code 1290.415 Recordkeeping

a) Dispensing organization records must be maintained electronically and be available for inspection by the Division upon request. The dispensing organization shall develop recordkeeping policies and procedures consistent with this Part.

b) Required written records include, but are not limited to, the following:

1. Operating procedures;

2. Inventory records, policies and procedures;

3. Security Records;

4. Audit records;

5. Staffing plan; and

6. Business records that shall include manual or computerized records of:

A) Assets and liabilities;

B) Monetary transactions;

C) Written or electronic accounts that shall include bank statements, journals, ledgers and supporting documents, agreements, checks, invoices, receipts and vouchers; and

D) Any other financial accounts reasonably related to the dispensary operations.

7. Storage and transfer of records. If a dispensary closes due to insolvency, revocation, bankruptcy or for any other reason, all records must be preserved at the expense of the dispensing organization for at least three years in a form and location in Illinois acceptable to the Division. The dispensing organization shall keep the records longer if requested by the Division. The dispensing organization shall notify the Division of the location where the dispensary records are stored or transferred.

8. All other records, policies and procedures required by the Act and this Part.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.420 Cleaning and Sanitation

a) A dispensing organization shall ensure that any building or equipment used by a dispensing organization for the storage or sale of medical cannabis is maintained in a clean and sanitary condition.

b) The dispensary shall be free from infestation by insects, rodents or pests.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.425 Administration

a) A dispensing organization shall operate continuously and maintain an uninterrupted supply of medical cannabis for qualifying patients, provisional patients, OAPP participants and designated caregivers.

b) A dispensary shall be open for a minimum of 35 hours a week, except as otherwise authorized by the Division.

c) A dispensing organization shall establish, maintain and comply with written policies and procedures as submitted in an Operations and Management Practices Plan, approved by the Division, for the security, storage, inventory and distribution of cannabis. These policies and procedures shall include methods for identifying, recording and reporting diversion, theft or loss, and for correcting errors and inaccuracies in inventories. At a minimum, dispensing organizations shall ensure the written policies and procedures provide for the following:

1. Conduct mandatory and voluntary recalls of cannabis products. The procedure shall be adequate to deal with recalls due to any action initiated at the request of the Division and any voluntary action by the dispensing organization to remove defective or potentially defective cannabis from the market or any action undertaken to promote public health and safety;

2. Prepare for, protect against, and handle any crises that affects the security or operation of a dispensary in the event of strike, fire, flood or other natural disaster, or other situations of local, State or national emergency;

3. Ensure that outdated, damaged, deteriorated, misbranded or adulterated cannabis is segregated from other cannabis and destroyed. This procedure shall provide for written documentation of the cannabis disposition;

4. Ensure the oldest stock of a cannabis product is distributed first. The procedure may permit deviation from this requirement, if such deviation is temporary and appropriate;

5. Training of Agents

A) Train agents:

i) in the provisions of the Act and the Division's administrative rules;

ii) to effectively operate the point of sale system, the State verification system, Illinois Cannabis Tracking System, and proper inventory handling and tracking;

iii) to adhere to patient, provisional patient, OAPP participant and caregiver confidentiality requirements;

iv) in specific uses of cannabis or cannabis-infused products;

v) in regulatory inspection preparedness and law-enforcement interaction;

vi) in awareness of the legal requirements for maintaining status as an agent; and

vii) in other topics specified by the dispensing organization or the Division.

B) The dispensing organization shall maintain evidence of all training provided for every agent in its files and subject to inspection and audit by the Division. The dispensing organization shall ensure agents receive a minimum of eight hours of training annually, unless otherwise approved by the Division;

6. Develop and maintain business records consistent with industry standards, including by-laws, consents, manual or computerized records of assets and liabilities, audits, monetary transactions, journals, ledgers and supporting documents, including agreements, checks, invoices, receipts and vouchers. These records shall be retained for five years;

7. Inventory control, including:

A) Tracking qualifying patient and provisional patient records, including purchases, denials of sale and confidentiality;

B) Tracking OAPP participant records, including purchases, denials of sale, verification of written certification, selected dispensary, and confidentiality; and

C) Disposal of unusable or damaged cannabis as required by the Act and this Part; and

8. Patient and participant education and support, including:

A) Updated information about the purported effectiveness of various forms and methods of medical cannabis administration;

B) Updated information about the purported effectiveness of strains of medical cannabis on specific conditions;

C) Current educational information issued by DPH about the health risks associated with the use or abuse of cannabis;

D) Whether possession of cannabis is illegal under federal law;

E) Information about possible side effects;

F) Prohibition on smoking medical cannabis in public places; and

G) Offer any other appropriate patient education or support materials.

d) A dispensing organization shall maintain copies of the policies and procedures on the dispensary premises and provide copies to the Division upon request.

e) A dispensing organization shall review dispensing organization policies and procedures at least once every 12 months from the issue date of the registration and update as needed or as requested by the Division.

f) A dispensing organization shall ensure that each principal officer and each dispensary agent has a current agent identification card in the agent's immediate possession when the agent is at the dispensary.

g) A dispensing organization shall ensure that any identifying information about a qualifying patient, provisional patient, OAPP participant or caregiver is kept in compliance with the privacy and security rules of HIPAA (45 CFR 164).

h) A dispensing organization shall provide prompt written notice to the Division, including the date of the event, when a dispensing organization agent no longer is employed by the dispensing organization;

i) A dispensing organization shall promptly document and report any loss or theft of medical cannabis from the dispensary to ISP and the Division. It is the duty of any agent who becomes aware of the loss or theft to report it as provided in this Part. If the dispensing organization knows that a principal officer or dispensary agent has been arrested for or convicted of an excluded offense, the dispensing organization shall promptly notify the Division.

j) A dispensing organization shall post the following information in a conspicuous location in an area of the dispensary accessible to consumers:

1. The dispensing organization's registration; and

2. The hours of operation.

k) A dispensing organization shall not:

1. Allow a physician to conduct a physical examination of a patient for purposes of diagnosing a debilitating medical condition or a medical condition for which opioids have been or could be prescribed at the dispensary;

2. Allow a physician to hold a direct or indirect economic interest in the dispensary if the physician recommends the use of medical cannabis to patients or OAPP participants or is in a partnership or other fee or profit-sharing relationship with a physician who recommends medical cannabis;

3. Accept referral of patients or OAPP participants from a physician; or

4. Allow a physician to advertise at the dispensary.

l) A physician may work as an independent contractor with a dispensing organization, provided that the physician's involvement is limited exclusively to designing, implementing or conducting non-proprietary medical research or studies.

m) Violation of any requirement under this Section may subject the dispensing organization to discipline, up to and including revocation of its registration.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

Part 1290 Rules for Administration of the Compassionate Use of Medical Cannabis Program

68 Ill. Adm. Code 1290.430 Dispensing Medical Cannabis to Patients and Provisional Patients

a) A person provided a written certification for a debilitating medical condition who has submitted a valid completed online application to the Department and his or her designated caregiver shall receive a provisional registration and shall be entitled to purchase medical cannabis from a specified licensed dispensing organization for a period of 90 days or until his or her application has been denied or he or she receives a registry identification card, whichever is earlier. (Section 55(b) of the Act)

b) Before a dispensing organization allows a qualifying patient or designated caregiver into the limited access area or prior to dispensing medical cannabis or medical cannabis infused products through a pickup-location, it must verify the person's identity by comparing the DPH issued patient identification card or designated caregiver card with an Illinois driver's license or State identification card or federally issued identification.

c) Before a dispensing organization allows a provisional patient into the limited access area or prior to dispensing through a pickup-location, it must verify the person's identity by comparing the provisional patient's provisional registration along with State or federally issued identification.

d) Before a dispensing organization agent dispenses medical cannabis to a qualifying patient, provisional patient or a designated caregiver, the agent shall:

1. Verify the validity of the qualifying patient or designated caregiver's DPH patient registry identification card or verify the validity of the provisional patient's provisional registration;

2. Confirm the qualifying patient, provisional patient or designated caregiver's registry identification number in the State verification system;

3. Verify that the qualifying patient or designated caregiver has a current authorization by DPH to purchase medical cannabis;

4. Verify that the provisional patient's provisional registration has not expired and is authorized by DPH to purchase medical cannabis;

5. Verify that the amount of medical cannabis the qualifying patient, provisional patient or designated caregiver is requesting would not cause the qualifying patient or provisional patient to exceed the limit on obtaining no more than two and one-half ounces of medical cannabis during any 14-calendar-day period, unless approved by DPH; and

6. Enter the following information into the State verification system for the qualifying patient, provisional patient or designated caregiver:

A) The dispensing organization agent's registry identification number;

B) The dispensing organization's identification number;

C) The amount, type and strain of medical cannabis dispensed;

D) Identity of the individual to whom the medical cannabis was dispensed, whether the qualifying patient, provisional patient or qualifying patient's designated caregiver; and

E) The date and time the medical cannabis was dispensed.

e) A dispensary may not dispense more than the DPH approved amount of usable cannabis to a qualifying patient, provisional patient or designated caregiver during a period of 14 days.

f) In the event a dispensing organization dispenses in excess of a patient's usable amount, it shall notify the Division in writing within 48 hours. The notification shall include the date and time of the transaction that caused the overage, the name of the agent in charge on duty, the amount of the overage, the patient or provisional patient's registry identification number and a detailed narrative of the circumstances surrounding the overage. The notification report shall outline the methods the dispensary will use to self-correct and prevent this type of over-dispensing from reoccurring.

g) A dispensing organization shall notify DPH if it determines a person is attempting to submit or did submit a fraudulent written certification in the patient application.

h) A dispensary that sells edible cannabis-infused products must do so in compliance with the Act, 77 Ill. Adm. Code 946, and this Part.

i) Dispensing organizations licensed under Section 15-15 of the Cannabis Regulation and Tax Act may dispense medical cannabis or medical cannabis infused products through a pickup-location only to qualifying patients and designated caregivers registered under the Compassionate Use of Medical Cannabis Program Act.

History

• Source: Amended at 47 Ill. Reg. 17846, effective November 20, 2023

Part 1290 Rules for Administration of the Compassionate Use of Medical Cannabis Pilot Program

68 Ill. Adm. Code 1290.431 Dispensing Medical Cannabis to Oapp Participants

a) Before a dispensing organization allows an OAPP participant into the limited access area, it must verify the person's identity by comparing the OAPP participant's name and date of birth in the Illinois Cannabis Tracking System with a State or federally issued identification.

b) Before a dispensing organization agent dispenses medical cannabis to an OAPP participant, the agent shall:

1. Confirm the OAPP participant is in the Illinois Cannabis Tracking System and is authorized by DPH to purchase medical cannabis;

2. Verify the OAPP participant's identity by confirming the following:

A) Name, phone number, and participant's identity using a State or federal identification card;

B) Date of birth and that the participant is not under 21 years of age;

C) Original written certification was submitted in the application and includes the name of the issuing physician;

D) The written certification was issued within 90 days prior to registering in the Opioid Participant Pilot Program; and

E) The start and expiration date the OAPP participant can purchase medical cannabis;

3. Confirm the OAPP participant is not a registered qualifying patient or provisional patient;

4. Verify that the amount of medical cannabis the OAPP participant is requesting would not cause the OAPP participant to exceed the limit of obtaining more than two and one-half ounces of medical cannabis during any 14-calendar day period; and

5. Enter the following information into the Illinois Cannabis Tracking System for the OAPP participant:

A) The dispensing organization agent's identification number;

B) The dispensing organization's registry identification number;

C) The amount, type, strain, weight and usable weight of medical cannabis dispensed;

D) Identity of the individual to whom medical cannabis was dispensed; and

E) The date and time the medical cannabis was dispensed.

c) In the event a dispensing organization dispenses in excess of an OAPP participant's usable amount, it shall notify the Division in writing within 48 hours. The notification shall include the date and time of the transaction that caused the overage, the name of the agent-in-charge on duty, the amount of the overage, the OAPP participant's registry identification number, and a detailed narrative of the circumstances surrounding the overage. The notification report shall outline the methods the dispensary will use to self-correct and prevent this type of over-dispensing from reoccurring.

d) A dispensing organization shall notify DPH if it determines a person is attempting to submit or did submit a fraudulent written certification in an OAPP application.

History

• Source: Added at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.435 Signage

Any dispensing organization that sells edible cannabis-infused products must display a placard that states the following: "Edible cannabis-infused products were produced in a kitchen not subject to public health inspections that may also process common food allergens." The placard shall be no smaller than 24 inches tall by 36 inches wide, with typed letters no smaller than 2 inches. The placard shall be clearly visible and readable by customers and shall be written in English. (Section 80(a) of the Act) The signage shall be placed in the area where edible cannabis-infused products are sold, and may be translated into additional languages as needed.

68 Ill. Adm. Code 1290.440 Recall of Medical Cannabis

a) A dispensing organization must establish a policy for communicating a recall for cannabis or a cannabis-derived product that has been shown to present a reasonable or a remote probability that use of or exposure to the product will cause serious adverse health consequences. This policy should include:

1. A mechanism to contact all patients, provisional patients, OAPP participants, and designated caregivers who have, or likely have, obtained the product from the dispensary. The communication must include information on the policy for return of the recalled product;

2. A mechanism to contact the cultivation center or vendor that manufactured the cannabis;

3. Communication with the Division, DOA and DPH within 24 hours; and

4. Outreach via media, as necessary and appropriate.

b) Any recalled cannabis product must be disposed of by the dispensing organization.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.445 Report of Loss or Theft of Cannabis

a) A dispensing organization shall promptly document and report any loss or theft of cannabis, criminal activity or suspected criminal activity to ISP and the Division.

b) The dispensing organization shall promptly make the report to the Division by phone, and in writing by email, within 24 hours after having reasonable cause to believe that cannabis has been lost or stolen from the dispensary or of the discovery of the loss or theft.

c) The report to the Division shall include the name and address of the dispensary, the amount and type of cannabis lost or stolen, the circumstances surrounding the loss or theft, the date and time of the loss or theft, the date the loss or theft was discovered, the person who discovered the loss or theft and the person responsible for the loss or theft if known and any other information that the reporter believes might be helpful in establishing the cause of the loss or theft.

d) Persons required to make reports or cause reports to be made under this Section include dispensing organization agents and employees of the State of Illinois who are involved in investigating or regulating dispensaries if the report has not been made by the dispensary organization.

e) In addition to the persons required to report loss or theft of cannabis, any other person may make a report to the Division, or to any law enforcement officer, if the person has reasonable cause to suspect loss or theft of cannabis.

f) A person required to make reports or cause reports to be made under this Section who fails to comply with the requirements of this Section is guilty of, at a minimum, a Class A misdemeanor.

g) The Division shall initiate an administrative investigation of each report of loss or theft under the Act and this Part.

h) If, during the investigation of a report made pursuant to this Section, the Division obtains information indicating possible criminal acts, the Division shall refer the matter to the appropriate law enforcement agency for further investigation or prosecution.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.450 Destruction and Disposal

a) Cannabis and cannabis-infused products must be destroyed by rendering it unusable following the methods set forth in this Section.

b) Any product to be destroyed shall be destroyed on the same day and time weekly unless otherwise approved by the Division on a case-by-case basis. A dispensing organization shall notify the Division and ISP of this day and time at the initial registration inspection. Any change in the day and time must be communicated to the Division and ISP at least three days before implementation.

c) The allowable method to render cannabis waste unusable is by grinding and incorporating the cannabis waste with other ground materials so the resulting mixture is at least 50% non-cannabis waste by volume. Other methods to render cannabis waste unusable must be approved by the Division before implementation. Material used to grind with the cannabis falls into two categories, compostable waste and non-compostable waste.

1. Compostable Mixed Waste: Cannabis waste to be disposed as compost feedstock or in another organic waste method (for example, anaerobic digester) may be mixed with the following types of waste materials:

A) Food waste;

B) Yard waste; or

C) Other wastes as approved by the Division (e.g., agricultural material, biodegradable products and paper, clean wood, fruits and vegetables, plant matter).

2. Non-compostable Mixed Waste: Cannabis waste to be disposed in a landfill or by another disposal method may be mixed with the following types of waste materials:

A) Paper waste;

B) Cardboard waste;

C) Plastic waste;

D) Soil; or

E) Other wastes as approved by the Division (e.g., non-recyclable plastic, broken glass, leather).

d) Cannabis waste rendered unusable following the methods described in this Section can be disposed. Disposal of the cannabis waste rendered unusable may be delivered to a permitted solid waste facility for final disposition. Examples of acceptable permitted solid waste facilities include:

1. Compostable Mixed Waste: Compost, anaerobic digester or other facility with approval of the jurisdictional health department.

2. Non-compostable Mixed Waste: Landfill, incinerator or other facility with approval of the jurisdictional health department.

e) All waste and unusable product shall be weighed, recorded and entered into the State verification system prior to rendering it unusable. This event shall be performed by an agent-in-charge, or under the supervision of the agent-in-charge, and conducted under video surveillance.

f) Electronic documentation of destruction and disposal shall be maintained for a period of at least five years.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.455 Dispensary Advertisements

a) No registered dispensing organization shall place or maintain, or cause to be placed or maintained, an advertisement of cannabis or a cannabis-infused product in any form or through any medium:

1. Within 1,000 feet of the perimeter of a school grounds, playground, recreation center or facility, child care center, public park or library, or any game arcade admission to which is not restricted to persons age 21 years or older;

2. On or in a public transit vehicle or public transit shelter; or

3. On or in a publicly-owned or-operated property.

b) This Section does not apply to a noncommercial message.

68 Ill. Adm. Code 1290.460 Closure of a Dispensary

If a dispensing organization decides not to renew its registration or decides to close its business, it shall promptly notify the Division, not less than three months prior to the effective date of the closing date or as otherwise authorized by the Division.

68 Ill. Adm. Code 1290.465 Zoning Rules Related to Dispensary

No local municipality or jurisdiction shall impose zoning ordinances, special use permits, conditions or requirements that conflict with the Act or this Part, that concern or address issues or subject matters that are within the regulatory jurisdiction of the Division, or that would otherwise place unreasonable restrictions on the location of dispensaries contrary to the mandate of the Act that dispensing organizations shall be geographically dispersed throughout the State to allow all registered qualified patients reasonable proximity and access to a dispensing organization. (Section 115(a) of the Act.)

68 Ill. Adm. Code 1290.500 Investigations

a) Dispensing organizations are subject to random and unannounced dispensary inspections and cannabis testing by the Division and ISP.

b) The Division and its authorized representatives may enter any place, including a vehicle, in which cannabis is held, stored, dispensed, sold, produced, delivered, transported, manufactured or disposed of and inspect in a reasonable manner, the place and all pertinent equipment, containers and labeling, and all things including records, files, financial data, sales data, shipping data, pricing data, personnel data, research, papers, processes, controls and facility, and inventory any stock of cannabis and obtain samples of any cannabis or cannabis product, any labels or containers for cannabis, or paraphernalia.

c) The Division may conduct an investigation of an applicant, application, dispensing organization, principal officer, dispensary agent, service professional or any other party associated with a dispensing organization for an alleged violation of the Act or this Part or to determine qualifications to be granted a registration by the Division.

d) The Division may require an applicant or dispensing organization to produce documents, records or any other material pertinent to the investigation of an application or alleged violations of the Act or this Part. Failure to provide the required material may be grounds for denial or discipline.

e) Every person charged with preparation, obtaining or keeping records, logs, reports or other documents in connection with the Act and this Part, and every person in charge, or having custody, of those documents shall, upon request by the Division, make the documents immediately available for inspection and copying by the Division, the Division's authorized representative or others authorized by law to review the documents.

f) All information collected by the Division in the course of an examination, inspection or investigation of a registrant or applicant, including, but not limited to, any complaint against a registrant filed with the Division and information collected to investigate a complaint, shall be maintained for the confidential use of the Division and shall not be disclosed, except as otherwise provided in the Act.

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.510 Grounds for Discipline

a) The Division, after notice to the applicant or registrant, may refuse to issue or renew, place on probation, temporarily suspend, suspend, or revoke a dispensing organization registration or agent identification card in any case in which the Division finds any of the following:

1. Material misstatement in furnishing information to the Division;

2. Violations of the Act or this Part;

3. Obtaining an authorization or registration by fraud or misrepresentation;

4. A pattern of conduct that demonstrates incompetence or unfitness to work in or operate a dispensary;

5. Aiding or assisting another person in violating any provision of the Act or this Part;

6. Failing to respond to a written request for information by the Division within 30 days;

7. Engaging in unprofessional, dishonorable or unethical conduct of a character likely to deceive, defraud or harm the public;

8. Discipline by another U.S. jurisdiction or foreign nation;

9. A finding by the Division that the registrant, after having his or her registration placed on suspended or probationary status, has violated the terms of the suspension or probation;

10. Conviction, entry of a plea of guilty, nolo contendere or the equivalent in a state or federal court of an excluded offense, a felony, or of two or more misdemeanors involving moral turpitude during the previous five years as shown by a certified copy of a court record;

11. Excessive use or addiction to alcohol, narcotics, stimulants or any other chemical agent or drug;

12. A finding by the Division of a discrepancy in a Division audit of medical cannabis;

13. A finding by the Division of a substantial discrepancy in a Division audit of capital or funds;

14. A finding by the Division of acceptance of medical cannabis from a source other than a cultivation center registered by DOA;

15. An inability to operate using reasonable judgment, skill or safety due to physical or mental illness or other impairment or disability, including without limitation, deterioration through the aging process or loss of motor skills or mental incompetence;

16. Failing to report to the Division within the timeframes established, or if not identified, 14 days, of any adverse final action taken against the dispensing organization or an agent by a licensing jurisdiction in any state or any territory of the United States or any foreign jurisdiction, any governmental agency, any law enforcement agency or any court defined in this Section;

17. Failing to comply with a subpoena issued by the Division;

18. Failure to promptly inform the Division of any change of address;

19. Disclosing customer names, personal information or protected health information in violation of any State or federal law;

20. Operating a dispensary before obtaining a registration from the Division;

21. Dispensing cannabis to any person other than a qualifying patient, provisional patient, designated caregiver, or OAPP participant with a valid registry identification card, provisional registration, or confirmation in the Illinois Cannabis Tracking System;

22. A principal officer or agent-in-charge failing to report to the Division when he or she knows or should have known that an agent was using medical cannabis when the agent does not have a qualifying patient registry identification card, or provisional registration, or is not an OAPP participant;

23. Dispensing cannabis when prohibited by the Act or this Part;

24. Any fact or condition which, if it had existed at the time of the original application for the registration, would have warranted the denial of the registration;

25. Permitting a person without a valid agent identification card to be employed by the dispensing organization;

26. Failure to assign an agent-in-charge as required by this Part;

27. Personnel insufficient in number or unqualified in training or experience to properly operate the dispensary business;

28. Any pattern of activity that causes a harmful impact on the community;

29. Failing to prevent diversion, theft or loss of medical cannabis; or

30. For any unethical, dishonorable or unprofessional conduct.

b) If the Division determines that the dispensing organization committed a violation, the Division may take any disciplinary or non-disciplinary action as the Division may deem proper, including fines not to exceed $10,000 for each violation.

c) If the Division determines that a person or entity is a principal officer or holds a financial interest in more than five dispensary registrations in violation of this Part, the Division will suspend the registrations of all dispensaries held by that person until the person is divested from all dispensing organizations that exceed the limit provided for in this Part. If the person or persons does not divest from all dispensing organizations that exceed the limit provided for in this Part within 30 days, the Division will revoke the registration for the dispensaries, based on date acquired, that exceed the limit.

d) A notice of violation issued by the Division shall include a clear and concise statement of each violation, the statute or rule violated, the discipline sought and a notice of opportunity for hearing.

e) If a dispensing organization contests the violation, it shall provide written notice to the Division requesting a hearing within 10 days after service of the notice of violation.

f) Upon receipt of the request for hearing, the Division shall confirm receipt of the notice and hold an administrative hearing as provided in the Act and this Part.

g) If a dispensing organization does not contest a revocation notice, it may surrender its registration by written notice to the Division and return its registration.

h) The effective date of nonrenewal or revocation of a registration by the Division shall be any of the following:

1. Until otherwise ordered by the circuit court, revocation is effective on the date set by the Division in the revocation notice, or upon final action after hearing under the Act and this Part, whichever is later;

2. Until otherwise ordered by the circuit court, nonrenewal is effective on the date of expiration of the existing registration, or upon final action after hearing under the Act and this Part, whichever is later; however, a registration shall not be deemed to have expired if the Division fails to respond to a timely request for renewal under this Act or for a hearing to contest nonrenewal under this Part.

i) All fines imposed under this Section shall be paid within 60 days after the effective date of the order imposing the fine or as otherwise specified in the order.

j) A circuit court order establishing that an agent-in-charge or principal officer holding a registration is a person in need of mental health treatment may operate as a suspension of the registration.

k) In a contested case, administrative hearings conducted under the jurisdiction of the Department will be subject to 68 Ill. Adm. Code 1110 (DFPR hearing rules).

History

• Source: Amended at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.520 Temporary Suspension

a) The Director may temporarily suspend a registration or an agent registration without a hearing if the Director finds that public safety or welfare requires emergency action. The Director shall cause the temporary suspension by issuing a suspension notice in connection with the institution of proceedings for a hearing.

b) If the Director temporarily suspends a registration or an agent registration without a hearing, the registrant is entitled to a hearing within 45 days after the suspension notice has been issued. The hearing shall be limited to the issues cited in the suspension notice, unless all parties agree.

c) If the Division does not hold a hearing within 45 days after the date the suspension notice was issued, then the suspended registration shall be automatically reinstated and the suspension vacated.

d) The suspended registrant may seek a continuance of the hearing date, during which time the suspension remains in effect and the registration shall not be automatically reinstated.

e) Subsequently discovered causes of action by the Division after the issuance of the suspension notice, may be filed as a separate notice of violation. The Division is not precluded from filing a separate cause of action against the suspended registrant.

68 Ill. Adm. Code 1290.530 Consent to Administrative Supervision Order

In appropriate cases, the Division may resolve a complaint against a registrant through the issuance of a consent order for administrative supervision. A registrant subject to a consent order shall be considered by the Division to hold a registration in good standing.

68 Ill. Adm. Code 1290.540 Subpoenas; Oaths; Attendance of Witnesses (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.550 Request for Hearing (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6593, effective May 20, 2019

68 Ill. Adm. Code 1290.560 Findings and Recommendations

a) At the conclusion of a hearing, the hearing officer shall present the Director with a written report of the findings of fact, conclusions of law and recommendations. The report shall state whether the hearing officer finds the respondent liable or not liable. If the hearing officer finds the respondent liable, the hearing officer shall specify the violations. The hearing officer shall promptly serve a copy of the written report on the respondent.

b) The report of findings of fact, conclusions of law and recommendation of the hearing officer shall be a basis for the Director's order refusing to issue, restore or renew a registration, or otherwise discipline a registrant. If the Director disagrees with the recommendations of the hearing officer, the Director may issue an order in contravention of the hearing officer's recommendations. The finding is not admissible as evidence against the person in a criminal prosecution brought for a violation of this Act, but the hearing and finding is not a bar to a criminal prosecution brought for a violation of this Act.

68 Ill. Adm. Code 1290.570 Restoration of Registration from Discipline

At any time after the successful completion of a term of indefinite probation, suspension or revocation of a registration, the Division may restore the registration to active status, unless, after an investigation, the Director determines that restoration is not in the public interest. No person or entity whose registration has been revoked may apply for restoration, unless provided for in the Civil Administrative Code of Illinois.

68 Ill. Adm. Code 1290.575 Appointment of a Hearing Officer

The Director has the authority to appoint any attorney licensed to practice law in the State of Illinois to serve as the hearing officer in any action for refusal to issue, restore or renew a registration or to discipline a registrant. The hearing officer has full authority to conduct the hearing.

68 Ill. Adm. Code 1290.580 Transcript; Record of Proceedings

The Division shall preserve a record of proceedings at the hearing of any case. The notice of hearing, notice of violation and all other documents in the nature of pleadings and written motions filed in the proceedings, the transcript of testimony, the report of the hearing officer, and the orders of the Division shall be the record of the proceedings.

68 Ill. Adm. Code 1290.590 Certification of Record; Receipt

The Division shall not be required to certify any record to the court, to file an answer in court or otherwise to appear in any court in a judicial review proceeding until the Division has received payment of the costs of furnishing and certifying the record from the plaintiff, costs that shall be determined by the Division. Failure on the part of the plaintiff to file a receipt in court is grounds for dismissal of the action.

68 Ill. Adm. Code 1290.600 Intergovernmental Cooperation

a) Whenever the Division revokes or suspends a registration, it shall notify ISP, DOA, DPH and the police department or sheriff's office whose jurisdiction includes the registrant's dispensing location.

b) If ISP, any municipality, township, county or local law enforcement agency takes action relating to the operation of the registrant's dispensing location, it shall notify the Division of the action taken and the reason for the action within five days.

68 Ill. Adm. Code 1290.610 Variances

a) The Director may grant variances from this Part in cases in which:

1. The applicable provision is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) An approval for a variance may be revocable, may be granted for a limited period of time or may be granted subject to the conditions as the Director may prescribe.

68 Ill. Adm. Code 1290.620 Administrative Decisions

Final administrative decisions of the Division are subject to judicial review under the Administrative Review Law [735 ILCS 5/Art III]. The term "administrative decision" is defined as in Section 3-101 of the Code of Civil Procedure.

Part 1291 Cannabis Regulation and Tax Act

68 Ill. Adm. Code 1291.10 Definitions

Terms not defined in this Section shall have the same meaning as in the Cannabis Regulation and Tax Act [410 ILCS 705]. Nothing in this Part is intended to confer a property or other right, duty, privilege or interest entitling an applicant to an administrative hearing upon denial of a dispensing organization application. The denial of a dispensing organization application does not preclude judicial review of the denial. The following definitions are applicable for purposes of this Part:

"Act" means the Cannabis Regulation and Tax Act [410 ILCS 705].

"ADA" means the Americans With Disabilities Act of 1990 (42 U.S.C. 12101).

"Address of record" means the address record by the Department in the applicant’s application file maintained by the Department.

"Adult Use Dispensing Organization License" means a license issued by the Department that permits a person to act as a dispensing organization under this Act and any administrative rule made in furtherance of this Act.

"Affiliate" means a Person who directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, that Person.

"Affiliated entity" means any business entity that directly or indirectly, through one or more intermediaries, controls, is controlled by, or is under common control with, the Person.

"Applicant" means the proposed dispensing organization name as stated on a license application.

"Application date" is the date an application for approval was received by the Department.

"Application points" means the number of points a Dispensary Applicant receives on an application for a Conditional Adult Use Dispensing Organization License.

"Application submission window" means the period between August 1st and August 15th of every odd numbered year during which the Department will receive applications to be approved as a Responsible Vendor Provider unless the date falls on a holiday or weekend in which case the window is extended to the next business day. The application submission window shall close at 5 p.m. central time on the final day on which applications are accepted.

"Approved list" is the list of providers.

"BLS region" means a region in Illinois used by the United States Bureau of Labor Statistics to gather and categorize certain employment and wage data. The 17 regions in Illinois are: Bloomington, Cape Girardeau, Carbondale-Marion, Champaign-Urbana, Chicago-Naperville-Elgin, Danville, Davenport-Moline-Rock Island, Decatur, Kankakee, Peoria, Rockford, St. Louis, Springfield, Northwest Illinois nonmetropolitan area, West Central Illinois nonmetropolitan area, East Central Illinois nonmetropolitan area, and South Illinois nonmetropolitan area. (Section 1-10 of the Act)

"Bulk cannabis inventory" means cannabis and cannabis-infused products stored in the reinforced vault in clear, heat-sealed or taped shrink wrap bags or sheeting that is labeled with the date the inventory is sealed, the last four digits of the batch number, the number of items contained within the wrapping, and the date the inventory was last counted. Bulk Cannabis Inventory is included in the dispensing organization’s total inventory available for sale.

"By lot" means a randomized method of choosing between two or more applicants.

"Cannabis" means marijuana, hashish, and other substances that are identified as including any parts of the plant Cannabis sativa and including:

derivatives or subspecies, such as indica, of all strains of cannabis, whether growing or not;

the seeds thereof, the resin extracted from any part of the plant; and

any compound, manufacture, salt, derivative, mixture or preparation of the plant, its seeds, or resin, including tetrahydrocannabinol (THC) and all other naturally produced cannabinol derivatives, whether produced directly or indirectly by extraction.

"Cannabis" does not include:

the mature stalks of the plant;

fiber produced from the stalks, oil or cake made from the seeds of the plant;

any other compound, manufacture, salt, derivative, mixture, or preparation of the mature stalks (except the resin extracted from it), fiber, oil or cake, or the sterilized seed of the plant that is incapable of germination;

industrial hemp as defined and authorized under the Industrial Hemp Act [505 ILCS 89].

"Cannabis" does include cannabis flower, concentrate, and cannabis-infused products.

"Cannabis business establishment" means a cultivation center, craft grower, processing organization, infuser organization, dispensing organization, or transporting organization.

"Cannabis flower" means marijuana, hashish, and other substances that are:

identified as including any parts of the plant Cannabis sativa and including derivatives or subspecies, such as indica, of all strains of cannabis; and

raw kief, leaves, and buds

"Cannabis flower" does not include resin that has been extracted from any part of a plant, nor any compound, manufacture, salt, derivative, mixture, or preparation of a plant, its seeds, or resin.

"Cannabis-Infused product" means a beverage, food, oil, ointment, tincture, topical formulation, or another product containing cannabis or cannabis concentrate that is not intended to be smoked.

"Conditional license" means a Conditional Adult Use Dispensing Organization License.

"Department" means the Department of Financial and Professional Regulation.

"Dispensary Applicant" means the proposed dispensing organization name as stated on an application for a Conditional Adult Use Dispensing Organization License.

"Dispensing organization" means a facility operated by an organization or business that is licensed by the Department to acquire cannabis from a cultivation center, craft grower, processing organization, or another dispensary for the purpose of selling or dispensing cannabis, cannabis-infused products, cannabis seeds, paraphernalia, or related supplies under the Act to purchasers or to qualified registered medical cannabis patients and caregivers. As used in this Part, “dispensing organization” includes a registered medical cannabis organization as defined in the Compassionate Use of Medical Cannabis Program Act [410 ILCS 130] or its successor Act that has obtained an Early Approval Adult Use Dispensing Organization License. (Section 1-10 of the Act)

"Dispensing Organization License" or "License" means any Early Approval Adult Use Dispensing Organization License, Conditional Adult Use Dispensing Organization License, or Adult Use Dispensing Organization License.

"Dispensing organization agent ID card" or "agent ID card" means a document issued by the Department that identifies a person as a dispensing organization agent, agent-in-charge, or principal officer.

"DOA" means the Illinois Department of Agriculture.

"DPH" means the Illinois Department of Public Health.

"Email address of record" means a primary or alternate contact email address recorded by the Department in the applicant’s application file maintained by the Department.

"Eligible applicant" means a tied applicant eligible to participate in the process by which a remaining available license is distributed by lot.

"Firearm injury" means a gunshot wound or penetrating injury from a weapon that uses a powder charge to fire a projectile. Weapons that use a power charge include handguns, rifles, and shotguns. Injuries from air- and gas-powered guns, BB guns, and pellet guns are not considered firearm injuries as these types of guns do not use a powder charge to fire a projectile.

"HIPAA" means the Health Insurance Portability and Accountability Act of 1996 (P.L. 104-191) and the HIPAA Privacy Rule as found at 45 CFR 164.

"Individual" means a natural person.

"ISP" means the Illinois State Police.

"Laboratory" means an independent laboratory located in Illinois and approved by DOA to have custody and use of controlled substances for scientific and medical purposes and for purposes of instruction, research or analysis.

"Member of an impacted family" or "impacted family member" means an individual who has a parent, legal guardian, child, spouse, or dependent, or was a dependent of an individual who, prior to June 25, 2019, was arrested or convicted of, or adjudicated delinquent for any offense that is eligible for expungement under the Act. (Section 1-10 of the Act)

"Notify" means to send via regular United States mail or email.

"On-site instruction" means class is held at a physical location in-person or remotely by real-time video technology tools.

"Person" means a natural individual, firm, partnership, association, joint stock company, joint venture, public or private corporation, limited liability company, or a receiver, executor, trustee, guardian, or other representative appointed by order of any court. (Section 1-10 of the Act)

"Principal officer" includes a cannabis business establishment applicant or licensed cannabis business establishment's board member, owner with more than 1% interest of the total cannabis business establishment or more than 5% interest of the total cannabis business establishment of a publicly traded company, president, vice president, secretary, treasurer, partner, officer, member, manager member, or person with a profit sharing, financial interest, or revenue sharing arrangement. This definition includes a person with authority to control the cannabis business establishment or a person who assumes responsibility for the debts of the cannabis business establishment. (Section 1-10 of the Act)

"Qualifying Applicant" means an applicant that submitted an application pursuant to Section 15-30 of the Act that received at least 85% of 250 application points available under Section 15-30 as the applicant’s final score and meets the definition of “Social Equity Applicant” as defined in the Act. (Section 1-10 of the Act)

"Reinforced vault" means a room built to the specifications listed in Section 1291.220(g).

"Remaining available license" means a license in a BLS region that has not been awarded by the Department at the conclusion of the scoring process period. There may be more than one remaining available license in a BLS region. For example, if four licenses are available in a BLS region and the five highest scoring Dispensary Applicants receive scores of 245, 240, 235, 235, and 235 points, the applicants receiving 245 and 240 application points will be awarded licenses and the three applicants receiving 235 points may become Eligible Applicants. Likewise, if one license is available in a BLS region and there are five Dispensary Applicants with the highest score, all five Dispensary Applicants may become Eligible Applicants.

"Scoring process period" is the period of time between the conclusion of the submission period for a conditional license application and when the Department publishes the names of tied applicants that may become eligible applicants.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"State verification system" means a web-based system established and maintained by the State of Illinois that is available to the Department, DOA, ISP, and dispensing organizations for the tracking of the date of sale, amount, and price of cannabis purchased by purchasers.

"Tied applicant" means an application submitted by a Dispensary Applicant pursuant to Section 15-30 of the Act that received the same number of application points under Section 15-30 of the Act as the Dispensary Applicant’s final score as one or more top-scoring applications in the same BLS region and would have been awarded a license but for the one or more other top-scoring applications that received the same number of application points. Each application for which a Dispensary Applicant was required to pay a required application fee for the application period ending January 2, 2020 shall be considered an application of a separate Tied Applicant. (Section 1-10 of the Act)

"Top participant" means an applicant drawn by lot in a winning slot such that it has the opportunity to be issued a conditional license.

"Victim" means

a person injured as a result of a firearm injury perpetrated or attempted against them;

the spouse, parent, or child of a person killed or injured as a result of a firearm injury perpetrated or attempted against the person, or anyone living in the household of a person killed or injured in a relationship that is substantially similar to that of a parent, spouse, or child;

a person injured while attempting to assist a person against whom a firearm injury is being perpetrated or attempted, if that attempt of assistance would be expected of a reasonable person under the circumstances;

a person injured while assisting a law enforcement official apprehend a person who has perpetrated a firearm injury or prevent the perpetration of any such crime if that assistance was in response to the express request of the law enforcement official; or

a person who personally witnessed a firearm injury.

The victim must not be the offender in the criminal act and must not have provoked or incited the crime.

History

• Source: Amended at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.50 Tied Applicant

a) A tied applicant may qualify as an eligible applicant subject to the following:

1. A tied applicant is prohibited from becoming an eligible applicant if a principal officer of the tied applicant is a principal officer of more tied applicants than the number of remaining available licenses. For example, if an individual is a principal officer of four tied applicants and there are two remaining available licenses, no more than two of those tied applicants may become eligible applicants.

2. A tied applicant is prohibited from becoming an eligible applicant if a principal officer of a tied applicant resigns after the conclusion of the scoring process period.

3. A tied applicant is prohibited from becoming an eligible applicant if, after the conclusion of the declination period identified in subsection (b), a principal officer of the applicant is a principal officer of more tied applicants than the number of remaining available licenses.

b) A tied applicant may decline to become an eligible applicant by informing the Department within five business days after the conclusion of the scoring process. The declination must be submitted on forms approved by the Department.

c) If, at the conclusion of the scoring process period, there are two or more eligible applicants, the Department may distribute the remaining available licenses by lot subject to the following:

1. The Department shall publish a list of eligible applicants at least five business days before the day the remaining available licenses are distributed.

2. The drawing by lot for all remaining available licenses will occur on the same day.

3. For each BLS region, the Department will draw a number of eligible applicants equal to five times the number of remaining eligible applicants.

4. Within each BLS region, the first eligible applicant drawn will have the first right to a remaining available license. The second eligible applicant drawn will have the second right to a remaining available license. The same pattern will continue for each subsequent eligible applicant drawn.

5. The process for distributing remaining available licenses will be recorded by the Department in a format selected by the Department.

6. If, upon being selected for a remaining available license, the eligible applicant has a principal officer that is a principal officer in more than 10 Early Approval Adult Use Dispensing Organization Licenses, Conditional Adult Use Dispensing Organization Licenses, Adult Use Dispensing Organization Licenses, the licensees and the eligible applicant listing that principal officer must choose which license to abandon pursuant to Section 15-36(d) of the Act, and notify the Department in writing within the timeframe identified in 1291.50(b). If the eligible applicant or licensees do not notify the Department as required, the Department will refuse to issue to the eligible applicants all remaining available licenses obtained by lot in all BLS regions.

7. All remaining available licenses that have been abandoned shall be distributed to the next eligible applicant drawn by lot. If there are no additional eligible applicants, the license shall be awarded to the applicant receiving the next highest number of application points in the BLS region.

68 Ill. Adm. Code 1291.95 Tax Delinquency

a) The Department will deny issuance or renewal of a Conditional Adult Use Dispensing Organization License or Adult Use Dispensing Organization License if any principal officer, board member, and/or person having a financial or voting interest of 5% or greater in the licensee or applicant is delinquent in filing any required tax return or paying any amount owed to the State of Illinois.

b) The Department will notify the applicant or licensee of any determination by the Illinois Department of Revenue that any principal officers, board members, and/or persons having a financial or voting interest of 5% or greater in the licensee or applicant are delinquent in filing any required tax return or paying any amount owed to the State of Illinois.

c) Upon notification of tax delinquency being sent by the Department to the applicant or licensee, the applicant or licensee shall have 60 days to provide the Department proof that the applicant or licensee is no longer delinquent in filing any required tax return or paying any amount owed to the State of Illinois, as determined by the Illinois Department of Revenue.

d) If after 60 days the applicant or licensee has not provided the Department proof that the applicant or licensee is no longer delinquent in filing any tax return or paying any amount owed to the State of Illinois, the Department will deny issuance or renewal of a conditional license or Adult Use Dispensing Organization License.

History

• Source: Added at 45 Ill. Reg. 16320, effective December 7, 2021

68 Ill. Adm. Code 1291.220 Relocation of an Early Approval Adult Use Dispensing Organization

License at a Same Site

a) Early Approval Adult Use Dispensing Organizations ("Same-site Licensee") whose licenses were issued pursuant to Section 15-15 of the Act may submit an application on forms provided by the Department to relocate their dispensary.

1. Same-site Licensees who apply to relocate their dispensaries to a new location pursuant to this Part may be approved, subject to all other statutory and administrative requirements, if:

A) the proposed location is within the same geographic district, as those geographic districts are defined in 68 IAC 1290.20, as the Same-site Licensee’s existing associated medical cannabis dispensing organization registration issued under the Compassionate Use of Medical Cannabis Program Act is authorized to operate; and

B) the Same-site Licensee’s existing location is within the boundaries of a unit of local government that prohibits the retail sales of adult use cannabis; or

C) the Same-site Licensee has obtained a signed statement from a city manager, village president, mayor, corporate counsel, or other official from the unit of local government where it is located approving the Same-site Licensee to relocate to another location within that unit of local government. If the unit of local government is a county, it must obtain signed statements from the county executive, county president, corporate counsel, or other official from the county board where it is located approving the Same-Site Licensee to relocate to another location within that county.

2. The Same-site Licensee shall submit the fee required for the relocation of its existing associated medical registration. This is the only fee required for the Same-site Licensee to relocate under this Section.

b) The Department shall approve or deny an application to relocate under subsection (a) within 30 days after receiving a completed application.

c) If the Department does not approve or deny an application to relocate under subsection (a) within 30 days after receiving a completed application, the application shall be deemed to be approved.

d) If the Department denies an application to relocate pursuant to subsection (a), it shall do so in writing and provide a specific reason for the denial.

e) An application to relocate shall be deemed complete upon submission of all documents (e.g., zoning approval) required by the application form provided by the Department.

f) If, upon reviewing the application, the Department discovers any documentation required by the Department’s application to relocate are missing, the Department may request the missing documentation. In this case, the application is not complete until the missing documentation is submitted.

g) After receiving the Department’s approval to relocate under subsection (a), the Same-site Licensee shall submit floorplans of the new location for the Department’s approval in a form or manner prescribed by the Department and the Act. The Department shall approve or deny the floorplans within 10 business days of the Department's receipt of the floorplans.

h) Prior to the commencement of operations at a new location that was approved by the Department under subsection (a), the Same-site Licensee must also pass a building and site inspection conducted by the Department to ensure compliance with the Act. The Same-site Licensee shall request a building and site inspection of the new site on forms provided by the Department. The Department shall schedule a building and site inspection within 10 business days upon receiving the Same-site Licensee's request for a building and site inspection.

History

• Source: Added at 46 Ill. Reg. 2660, effective January 28, 2022

68 Ill. Adm. Code 1291.400 Conditional License Lottery Under Section 15-35.20(c) of the Act

a) The Department may distribute no more than 55 conditional licenses by lot pursuant to the requirements of Section 15-35.20(c) of the Act and this Part.

b) The requirements contained in Sections 1291.400 through 1291.440 shall only apply to the 55 conditional licenses issued pursuant to Section 15-35.20(c) of the Act.

c) All licenses issued pursuant to this Section shall be drawn by lot on the same day to the extent possible.

d) Prior to conducting any lottery pursuant to this Section, the Department shall publish on its website a list of all applicants eligible to participate in the lottery.

e) After the Department publishes the list of applicants eligible to participate in the lottery, all applicants shall have 5 business days to contest the Department’s list of applicants eligible to participate in the lottery. Any contestation must be filed on the form published on the Department's website and submitted in the manner included on that form.

f) The Department will revise and republish its list of applicants eligible to participate in the lottery if it concludes that any applicants were improperly included or excluded. The republished list of applicants is not subject to contestation under subsection (e). The Department is not required to provide any additional opportunities to contest the list of applicants eligible to participate in the lottery beyond the initial contest period described in subsection (e).

g) The Department may conduct a lottery at any time after the 5-business day period to contest the list of lottery participants has concluded.

h) The publishing of the list of applicants to participate in the lottery, and any revised list, is not a final agency decision. Any opportunity to contest the list shall not be considered a rehearing or an action for administrative review.

i) The Department will publish the certified results of the lottery.

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.405 Conditional License Distribution Under Section 15-35.20(c) of the Act

a) To ensure the geographic dispersion of conditional license holders, the following number of licenses issued as a result of any lottery conducted pursuant to Section 1291.400 shall be awarded in each BLS Region in the following amounts:

1. Bloomington: 1

2. Cape Girardeau: 1

3. Carbondale-Marion: 1

4. Champaign-Urbana: 1

5. Chicago-Naperville-Elgin: 36

6. Danville: 1

7. Davenport-Moline-Rock Island: 1

8. Decatur: 1

9. Kankakee: 1

10. Peoria: 2

11. Rockford: 1

12. St. Louis: 3

13. Springfield: 1

14. Northwest Illinois nonmetropolitan: 1

15. West Central Illinois nonmetropolitan: 1

16. East Central Illinois nonmetropolitan: 1

17. South Illinois nonmetropolitan: 1. (Section 15-35(a) and 15-35.10(a) of the Act)

b) Applicants are prohibited from applying in more than one BLS region and are limited to one application in that BLS region. If an applicant submits more than one application, the applicant forfeits all applications from entry into the lottery and is prohibited from being a top participant.

c) Within each BLS Region, the first applicant drawn will have the first opportunity to a conditional license. The second applicant drawn will have the second opportunity to a conditional license. The same pattern will continue for each subsequent applicant drawn.

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.410 Conditional License Lottery Application Under Section 15-35.20(c) of the Act

a) The Department will publish an online application for applicants on the Department's website. Paper applications will not be accepted.

b) After publishing the online application, the application submission window shall remain open for submissions for a minimum of 10 business days. Applications must be submitted by 5:00 P.M. Central Time on the last day of the application submission window and no applications will be accepted after the application submission window closes.

c) A principal officer cannot be on more than one application. The Department shall require that all applicants provide each of its principal officers’ Social Security Numbers or Individual Taxpayer Identification Number, and any other unique, identifying information, required in the application to ensure that an individual principal officer is not listed as a principal officer on more than one application.

d) All applicants shall pay a non-refundable application fee of $250, to be deposited into the Cannabis Regulation Fund.

e) An application shall be accepted only if it is complete. All incomplete applications shall be denied. A completed application shall include the nonrefundable fee and, at a minimum, the following information:

1. the applicant’s proposed entity name;

2. the name of the persons filling out the application;

3. the BLS Region in which the applicant is applying;

4. the names, Social Security Numbers or Individual Taxpayer Identification Number, home addresses, birthdates, phone numbers, and email addresses, for all proposed principal officers of the proposed entity;

5. the identification of and contact information, including phone number and email address, for a primary and alternate contact of the proposed entity, at least one of whom must also be a principal officer;

6. an acknowledgment that if awarded an opportunity for a conditional license in the lottery, the business entity is 51% or more owned or controlled by one or more individuals who each meet the combination of at least one or the criteria under subsection (e)(6)(A) (Criteria A) and one of the criteria under subsection (e)(6)(B) (Criteria B). This does not mean multiple individuals need to meet identical criteria, but each individual must meet at least one criteria from Criteria A and one criteria from Criteria B.

A) Criteria A (only 1 required):

i) An individual who has resided for at least 5 of the preceding 10 years in a census tract that has a poverty rate of at least 20% according to the latest 5-year American Community Survey (Table S1701: Poverty Status in the Past 12 Months) that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at https://data.census.gov/cedsci/table?q=poverty%20rate&g=0100000US%241400000&tid=ACSST5Y2020.S1701;

ii) An individual who has resided for at least 5 of the preceding 10 years in a census tract where at least 20% of the households receive assistance under the Supplemental Nutrition Assistance Program in the latest 5-year American Community Survey (Table S2201: Food Stamps/Supplemental Nutrition Assistance Program (SNAP)) that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at https://data.census.gov/cedsci/table?q=snap%20participation&g=0100000US%241400000&tid=ACSST5Y2020.S2201;

iii) An individual who has resided for at least 5 of the preceding 10 years in a census tract area classified as "low income and low access" where at least 100 households are more than one-half mile from the nearest supermarket and have no access to a vehicle or a significant number (at least 500 people) or share (at least 33%) of the population is greater than 1 mile from the nearest supermarket, supercenter, or large grocery store for an urban area or greater than 20 miles for a rural area, as classified by the latest United States Department of Agriculture Economic Research Service's Food Access Research Atlas data set that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at the United States Department of Agriculture Economic Research Service's Food Access Research Atlas, is available at https://www.ers.usda.gov/data-products/food-access-research-atlas/go-to-the-atlas;

iv) An individual who has received Medicaid, Supplemental Security Income, Social Security Disability, and/or subsidized housing for at least 5 of the preceding 10 years; and/or,

v) An individual who has resided for at least 5 of the preceding 10 years in a census tract in the top 15th percentile for the percent of residents in the census tract failing to graduate from High School in that state, as classified by the latest 5-year American Community Survey (Table S1501: Educational Attainment) that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at https://data.census.gov/cedsci/table?q=s1501&g=0100000US,%241400000

B) Criteria B (only 1 required);

i) An individual who has been arrested for, convicted of, or adjudicated delinquent for any offense, or substantially similar offense, of Illinois, federal or other state law for:

• possession of not more than 500 grams of cannabis; or

• manufacture, delivery, or possession with intent to deliver, or manufacture of cannabis up to 30 grams;

ii) An individual who has a family member who has been arrested for, convicted of, or adjudicated delinquent for any offense, or substantially similar offense, of Illinois, federal, or other state law for:

• possession of not more than 500 grams of cannabis; or

• manufacture, delivery, or possession with intent to deliver, or manufacture or cannabis up to 30 grams.

iii) An individual who has been a victim of firearm injury, as those terms are defined in this Part. This must be evidenced by either a police report or medical record.

C) As soon a reasonably possible, but no later than 5 business days prior to the acceptance of applications, the Department shall make publicly available the documents applicants may use to establish eligibility under both subsection (e)(6)(A) (Criteria A) and subsection (e)(6)(B) (Criteria B).

7. An acknowledgment that if awarded a conditional license, neither the entity nor any of its principal officers will violate the Act’s license number limitations.

8. The acknowledgement will also include a statement or indication that the applicant understands the timeframes to do so as required in this Part.

f) If an applicant fails to meet and prove the criteria identified in subsection (e)(6)(A) (Criteria A) and subsection (e)(6)(B) (Criteria B) within 45 calendar days after the date of the notice of being a top participant from the Department and any required 10 business day deficiency period or 5 business day intent to deny periods as those periods are set forth in Section 1291.420, the Department shall deny issuance of a conditional license and proceed to the next top participant as described in Section 1291.405(c).

g) If two or more applications include the same principal officer, the Department will notify the applicant at its identified primary and alternate contacts and the principal officer who is listed on two or more applications, via email. Upon this notification, the identified principal officer has 3 business days to notify the Department of its resignation from all but one of the proposed entities. This notification shall be submitted to the Department in writing to FPR.CannabisAdministration@illinois.gov. If the identified principal officer does not notify the Department of the principal officer’s required resignation within the required time period, each applicant notified shall forfeit its application and nonrefundable fee.

h) False Information

1. If the Department determines that any information on an application or in supporting documents is not truthful, the applicant associated with that application will be prohibited from:

A) participating in the lottery;

B) being a top participant; and

C) being issued a conditional license or Adult Use Dispensing Organization License.

2. The Department shall notify the next eligible top participant drawn by lot of its opportunity for the conditional license, in accordance with Section 1291.405(c).

i) If a principal officer identified on an application dies after the applicant has submitted its application but prior to the conducting of any lottery, the applicant does not need to inform the Department unless the applicant becomes a top participant eligible for a conditional license after the lottery is conducted. If the applicant becomes a top participant, the applicant is required to follow the process identified in Section 1291.420.

j) The Department will only communicate with the applicant or top participant’s primary and alternate contact regarding the applicant or top participant’s application. In order to change its primary or alternate contact information, an applicant or a top participant must submit a request to change from the current primary or alternate contact email address the Department has on record.

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.420 Conditional License Post Lottery Proof Requirements Under Section 15-35.20(c) of the Act

a) The Department will publish a list of supporting documents (e.g., mortgage statements, bank statement, government-issued identification) that an applicant must submit in order to prove it meets the criteria required in Section 1291.410(e)(6)(A) (Criteria A) and Section 1291.410(e)(6)(B) (Criteria B) to be issued a conditional license. This list shall be published on the Department’s website on the same day the Department opens the application submission window.

b) Top participants shall have 45 calendar days after the day the lottery is certified to submit all required supporting documents to the Department via FPR.CannabisAdministration@illinois.gov or via the State file share system available upon request to the same email address.

c) After a top participant has submitted its supporting documents, the Department has at least 60 calendar days to review the documentation.

d) If the Department determines that the supporting documents are insufficient, the Department shall issue a deficiency notice to that top participant. The top participant shall have 10 business days after the date that appears on the deficiency notice to submit sufficient documentation.

e) If the top participant fails to provide sufficient documents after this deficiency period, the Department shall inform a top participant of its intent to deny the issuance of a conditional license prior to any denial of a conditional license.

f) Top participants shall have 5 business days after the date that appears on the notice of intent to deny to contest the Department’s decision. Any contestation must be filed in accordance with 68 Ill. Adm. Code 1110.

g) The Department’s final order to either affirm or revoke its intent to deny constitutes a final agency decision and may be appealed under the Administrative Review Law [735 ILCS 5/3-101].

h) If the Department informs a top participant of a deficiency or of its intent to deny the issuance of a conditional license because of one of the applicant’s principal officers has violated the Act or this Part, the principal officer may resign from the top participant (or another licensee) in order for the top participant to remain eligible for a conditional license. Proof of this resignation shall be submitted to the Department on the form published on the Department's website and submitted in the manner included on that form.

i) If a principal officer of a top participant resigns after that top participant has been notified of the Department’s intent to deny, that top participant may not replace the resigned principal officer. If a principal officer of a top participant resigns after that top participant has been notified of the Department’s deficiency notice or intent to deny, and that top participant therefore becomes ineligible to meet the requirements of the Act and this Part, the Department shall deny that top participant a conditional license.

j) If the Department affirms its intent to deny, the Department shall deny issuance of a conditional license and proceed to the next to participant as described in Section 1291.420.

k) If the Department denies issuance of a conditional license to a top participant, the Department shall notify the next eligible top participant drawn by lot of its opportunity for the conditional license, in accordance with Section 1291.405(c).

l) The Department may issue conditional licenses to top participants in the order in which they are received by the Department. Nothing in this subsection (l) prevents the Department from issuing conditional licenses before all top participants have submitted all necessary documentation.

m) If a principal officer of an applicant dies after the submission of any application, and that applicant is then selected as a top participant, the top participant shall present proof of death to the Department. A deceased principal officer may be replaced only if that principal officer was necessary for the top participant to remain eligible to be issued a conditional license. If a necessary principal officer of a top participant dies prior to issuance of the conditional license, the top participant shall have 45 calendar days after the death of that principal officer to submit proof of a replacement principal officer to the Department in order to remain eligible for a conditional license.

n) The Department shall deny issuance of a conditional license if it would result in a single person or entity having a direct or indirect financial interest in more than 10 Early Approval Adult Use Dispensing Organization Licenses, conditional licenses, or Adult Use Dispensing Organization Licenses. Any entity that is awarded a conditional license that results in a single person or entity having a direct or indirect financial interest in more than 10 licenses shall forfeit the most recently issued license and suffer a penalty to be determined by the Department in accordance with section 15-145 of the Act, unless the entity declines the license at the time it is awarded. (Section 15-30(k) of the Act)

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.440 Conditional Licensee Requirements Under Section 15-35.20(c) of the Act

a) A conditional license cannot be sold, transferred, or assigned and the conditional license holder cannot in any way change its ownership structure, including by removing or adding any principal officers, except for in the event of the death of a principal officer.

b) If a principal officer of a conditional license holder dies prior to the issuance of any Adult Use Dispensing Organization License under Section 15-36 of the Act, the conditional license holder shall inform the Department of the death and submit an updated table of organization.

c) A principal officer may be added to the ownership structure of a conditional license holder only in the event of replacing a deceased principal officer, subject to the Department’s approval of that principal officer. The Department will consider, but is not limited to, the proposed principal officer's role, qualifications, and the necessity of adding a principal officer when considering the new principal officer.

d) The death of a principal officer following issuance of a conditional license shall not impact the conditional license holder’s eligibility to be issued an Adult Use Dispensing Organization License under Section 15-36 of the Act.

e) Identifying a Physical Location

1. A conditional license holder who receives a conditional license through any lottery conducted pursuant to Section 1291.400 has 365 calendar days after the date of issuance of the conditional license to identify a physical location for the dispensing organization retail storefront. For purposes of this subsection (e), proof of identifying a physical location includes, but is not limited to, one of the following:

A) proof of building ownership by the top participant;

B) agreement to purchase building or lease that is dependent on zoning or state license approval;

C) signed lease for the term of the initial license; or

D) proof of zoning approval or application for zoning approval.

2. A conditional license holder shall provide evidence that the location is not within 1,500 feet of an existing dispensing organization.

3. If a conditional license holder is unable to find a suitable physical address within 365 calendar days after the issuance of the conditional license, the Department may extend the period for finding a physical address another 180 calendar days if the conditional license holder demonstrates the steps it has taken to secure a location and hardship. If the Department denies the request for an extension or the conditional license holder is unable to become operational within 545 calendar days after being awarded a conditional license, the Department will rescind the conditional license and may proceed to the next applicant drawn in accordance with Section 121.405(c).

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.10 Definitions

Terms not defined in this Section shall have the same meaning as in the Cannabis Regulation and Tax Act [410 ILCS 705]. Nothing in this Part is intended to confer a property or other right, duty, privilege or interest entitling an applicant to an administrative hearing upon denial of a dispensing organization application. The denial of a dispensing organization application does not preclude judicial review of the denial. The following definitions are applicable for purposes of this Part:

"Act" means the Cannabis Regulation and Tax Act [410 ILCS 705].

"Address of record" means the address recorded by the Department in the applicant’s application file maintained by the Department.

"Adult Use Dispensing Organization License" means a license issued by the Department of Financial and Professional Regulation that permits a person to act as a dispensing organization under the Act and any administrative rule made in furtherance of the Act. (Section 1-10 of the Act).

"Affiliate" means a person who directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, that person.

"Affiliated entity" means any business entity that directly or indirectly, through one or more intermediaries, controls, is controlled by, or is under common control with, the person.

"Agent-in-charge" or "AIC" means a person licensed by the Department in charge of managing the dispensing organization.

"Applicant" means any person or entity who is applying to the Department for a Conditional Adult Use Dispensing Organization License, Adult Use Dispensing Organization License or an agent, agent-in-charge, or principal officer identification card issued under the Act or this Part, or to be approved as a Responsible Vendor Provider under the Act or this Part.

"Application points" means the number of points a dispensary applicant receives on an application for a Conditional Adult Use Dispensing Organization License. (Section 1-10 of the Act)

"Approved Vendor List" means a list of service professionals approved by the Department to work or perform services at a specific dispensing organization.

"Assign" or "Assignment" means granting an allocation of ownership interest or control in a dispensing organization to an existing principal officer or to a non-licensed third party.

"BLS region" means a region in Illinois used by the United States Bureau of Labor Statistics to gather and categorize certain employment and wage data. The 17 regions in Illinois are:

Bloomington (DeWitt County; McLean County),

Cape Girardeau (Alexander County),

Carbondale-Marion (Jackson County; Williamson County),

Champaign-Urbana (Champaign County; Ford County; Piatt County),

Chicago-Naperville-Elgin (Cook County; DeKalb County; DuPage County; Grundy County; Kane County; Kendall County; Lake County; McHenry Count; Will County),

Danville (Vermilion County),

Davenport-Moline-Rock Island (Henry County; Mercer County; Rock Island County),

Decatur (Macon County),

Kankakee (Kankakee County),

Peoria (Marshall County; Peoria County; Stark County; Tazewell County; Woodford County),

Rockford (Boone County; Winnebago County),

St. Louis (Bond County; Calhoun County; Clinton County; Jersey County; Madison County; Macoupin County; Monroe County; St. Clair County),

Springfield (Menard County; Sangamon County),

Northwest Illinois nonmetropolitan area (Bureau County; Carroll County; Jo Daviess County; LaSalle County; Lee County; Ogle County; Putnam County; Stephenson County; Whiteside County),

West Central Illinois nonmetropolitan area (Adams County; Brown County; Cass County; Christian County; Fulton County; Greene County; Hancock County; Henderson County; Knox County; Livingston County; Logan County; Mason County; McDonough County; Montgomery County; Morgan County; Moultrie County; Pike County; Schuyler County; Scott County; Shelby County; Warren County),

East Central Illinois nonmetropolitan area (Clark County; Clay County; Coles County; Crawford County; Cumberland County; Douglas County; Edgard County; Effingham County; Fayette County; Iroquois County; Jasper County; Lawrence County; Marion County; Richland County), and

South Illinois nonmetropolitan area (Edwards County; Franklin County; Gallatin County; Hamilton County; Hardin County; Jefferson County; Johnson County; Massac County; Perry County; Pope County; Pulaski County; Randolph County; Saline County; Union County; Wabash County; Wayne County; White County). (Section 1-10 of the Act)

"Bulk cannabis inventory" means cannabis and cannabis-infused products stored in the reinforced vault in clear, heat-sealed or taped shrink wrap bags or sheeting that is labeled with the date the inventory is sealed, the last four digits of the batch number, the number of items contained within the wrapping, and the date the inventory was last counted. Bulk cannabis inventory is included in the dispensing organization's total inventory available for sale.

"Buyer" means a prospective or current dispensing organization intending to buy or receive the license or licenses of a seller in accordance with the change of ownership parameters of this Part.

"By lot" means a randomized method of choosing between two or more applicants.

"Cannabis" means marijuana, hashish, and other substances that are identified as including any parts of the plant Cannabis sativa and including:

derivatives or subspecies, such as indica, of all strains of cannabis, whether growing or not;

the seeds thereof, the resin extracted from any part of the plant; and

any compound, manufacture, salt, derivative, mixture or preparation of the plant, its seeds, or resin, including tetrahydrocannabinol (THC) and all other naturally produced cannabinol derivatives, whether produced directly or indirectly by extraction.

"Cannabis" does not include:

the mature stalks of the plant;

fiber produced from the stalks, oil or cake made from the seeds of the plant;

any other compound, manufacture, salt, derivative, mixture, or preparation of the mature stalks (except the resin extracted from it), fiber, oil or cake, or the sterilized seed of the plant that is incapable of germination;

industrial hemp as defined and authorized under the Industrial Hemp Act [505 ILCS 89].

"Cannabis" does include cannabis flower, concentrate, and cannabis-infused products. (Section 1-10 of the Act)

"Cannabis business establishment" means a cultivation center, craft grower, processing organization, infuser organization, dispensing organization, or transporting organization. (Section 1-10 of the Act)

"Cannabis flower" means marijuana, hashish, and other substances that are:

identified as including any parts of the plant cannabis sativa and including derivatives or subspecies, such as indica, of all strains of cannabis; and

raw kief, leaves, and buds. (Section 1-10 of the Act)

"Cannabis flower" does not include resin that has been extracted from any part of a plant, nor any compound, manufacture, salt, derivative, mixture, or preparation of a plant, its seeds, or resin. (Section 1-10 of the Act)

"Cannabis-Infused product" means a beverage, food, oil, ointment, tincture, topical formulation, or another product containing cannabis or cannabis concentrate that is not intended to be smoked. (Section 1-10 of the Act)

"Collateral" means pledging a license and/or any current ownership interest, such as a dispensing organization license or a principal officer's license, ownership, or interest, in the licenses, ownership, or interest as security against an existing or prospective debt.

"Conditional Adult Use Dispensing Organization License" or "conditional license" means a contingent license awarded to applicants for an Adult Use Dispensing Organization License that reserves the right to an Adult Use Dispensing Organization License if the applicant meets certain conditions described in the Act but does not entitle the recipient to begin purchasing or selling cannabis or cannabis-infused products. (Section 1-10 of the Act)

"Conditional License Phase" or "Conditional Phase" means the period after which an entity is issued a Conditional Adult Use Dispensing Organization License prior to the issuance of any associated Adult Use Dispensing Organization License as described in Sections 15-25(e), 15-35(c); and 15-35.10(c) of the Act.

"Consultant or Conditional Management Service Agreement" or "CMSA" means any agreement, contract, arrangement, or other type of formal understanding between a conditional licensee or dispensing organization and a management services contractor, where the contractor provides professional staffing, administrative, operational, advisory, management, or other general consulting services to the conditional licensee or dispensing organization in exchange for remuneration.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation within the Department.

"Dispensary Applicant" means the proposed dispensing organization name as stated on an application for a Conditional Adult Use Dispensing Organization License. (Section 1-10 of the Act).

"Dispense" means to interpret, verify computer entry of, select the cannabis or cannabis-infused product for, prepare and/or hand-deliver cannabis or cannabis-infused product to a purchaser, registered medical patient or caregiver.

"Dispensing organization" means a facility operated by an organization or business that is licensed by the Department to acquire cannabis from a cultivation center, craft grower, processing organization, or another dispensary for the purpose of selling or dispensing cannabis, cannabis-infused products, cannabis seeds, paraphernalia, or related supplies under the Act to purchasers or to qualified registered medical cannabis patients and caregivers. As used in this Part, “dispensing organization” includes a registered medical cannabis organization as defined in the Compassionate Use of Medical Cannabis Program Act [410 ILCS 130] or its successor Act that has obtained an Early Approval Adult Use Dispensing Organization License. (Section 1-10 of the Act)

"Dispensing organization agent ID card" or "agent ID card" means a document issued by the Department that identifies a person as a dispensing organization agent, agent-in-charge, or principal officer.

"DOA" means the Illinois Department of Agriculture.

"Early Approval Adult Use Dispensing Organization at a Secondary Site" or "secondary site" means a license that permits a medical cannabis dispensing organization licensed under the Compassionate Use of Medical Cannabis Program Act as of June 25, 2019 to begin selling cannabis or cannabis-infused product to purchasers as permitted by the Act on January 1, 2020 at a different dispensary location from its existing registered medical dispensary location. (Section 1-10 of the Act)

"Early Approval Adult Use Dispensing Organization License" or "Same-Site Licensee" means a license that permits a medical cannabis dispensing organization licensed under the Compassionate Use of Medical Cannabis Program Act as of June 25, 2019 to begin selling cannabis or cannabis-infused product to purchasers as permitted by the Act as of January 1, 2020. (Section 1-10 of the Act)

"Eligible applicant" means a tied applicant eligible to participate in the process by which a remaining available license is distributed by lot.

"Firearm injury" means a gunshot wound or penetrating injury from a weapon that uses a powder charge to fire a projectile. Weapons that use a power charge include handguns, rifles, and shotguns. Injuries from air- and gas-powered guns, BB guns, and pellet guns are not considered firearm injuries as these types of guns do not use a powder charge to fire a projectile.

"Financial Interest" means any actual or future right to ownership, investment or compensation arrangement, either directly or indirectly, through business, investment, spouse, parent or child, in the dispensing organization. Financial interest does not include ownership of investment securities in a publicly-held corporation that is traded on a national securities exchange or over-the-counter market in the United States, provided the investment securities held by the person and the person's spouse, parent or child, in the aggregate, do not exceed 5% ownership in the dispensing organization.

"HIPAA" means the Health Insurance Portability and Accountability Act of 1996 (P.L. 104-191) and the HIPAA Privacy Rule as found at 45 CFR 164.

"Individual" means a natural person.

"ISP" means the Illinois State Police.

"Laboratory" means an independent laboratory located in Illinois and approved by DOA to have custody and use of controlled substances for scientific and medical purposes and for purposes of instruction, research or analysis.

"Limited access area" means a room or other area under the control of a cannabis dispensing organization licensed under this Act and upon the licensed premises where cannabis sales occur with access limited to purchasers, dispensing organization owners and other dispensing organization agents, or service professionals conducting business with the dispensing organization, or, if sales to registered qualifying patients, caregivers, provisional patients, and Opioid Alternative Pilot Program participants licensed pursuant to the Compassionate Use of Medical Cannabis Program Act are also permitted at the dispensary, registered qualifying patients, caregivers, provisional patients, and Opioid Alternative Pilot Program participants. (Section 1-10 of the Act)

"Member of an impacted family", "family member", or "impacted family member" means an individual who has a parent, legal guardian, child, spouse, or dependent, or was a dependent of an individual who, prior to June 25, 2019, was arrested or convicted of, or adjudicated delinquent for any offense that is eligible for expungement under the Act. (Section 1-10 of the Act)

"Management Services Agreement" means any agreement, contract, arrangement, or other type of formal understanding between a management services contractor and a dispensing organization where the management services contractor and a dispensing organization where the management services contractor provides professional staffing, such as, administrative, operational, advisory, consulting or management services to a dispensing organization.

"Management Services Contractor" means a third-party vendor-contractor entity that provides professional staffing, administrative, operational, advisory, consulting or management services to a dispensing organization.

"Notify" means to send via regular United States mail or email.

"Onsite Consumption Lounge" means an establishment connected to a licensed early approval adult use dispensing organization at a secondary site or a licensed adult use dispensing organization in which cannabis or cannabis-infused product is heated, burned, smoked, or consumed under section 55-25 of the Act.

"Ownership and control" means ownership of at least 51% of the business, including corporate stock if a corporation, and control over the management and day-to-day operations of the business and an interest in the capital assets, and profits and losses of the business proportionate to percentage of ownership. (Section 1-10 of the Act)

"Person" means a natural individual, firm, partnership, association, joint stock company, joint venture, public or private corporation, limited liability company, or a receiver, executor, trustee, guardian, or other representative appointed by order of any court.

"Principal officer" includes a cannabis business establishment applicant or licensed cannabis business establishment's board member, owner with more than 1% interest of the total cannabis business establishment or more than 5% interest of the total cannabis business establishment of a publicly traded company, president, vice president, secretary, treasurer, partner, officer, member, manager member, or person with a profit sharing, financial interest, or revenue sharing arrangement. This definition includes a person with authority to control the cannabis business establishment or a person who assumes responsibility for the debts of the cannabis business establishment. (Section 1-10 of the Act)

"Point of Sale System" means a computer system capable of completing cannabis purchases, tracking cannabis inventory, and communicating cannabis inventory to the State Verification System.

"Reinforced vault" means a room built to the specifications listed in Section 1291.300(g).

"Remaining available license" means a license in a BLS region that has not been awarded by the Department at the conclusion of the scoring process period. There may be more than one remaining available license in a BLS region. For example, if four licenses are available in a BLS region and the five highest scoring dispensary applicants receive scores of 245, 240, 235, 235, and 235 points, the applicants receiving 245 and 240 application points will be awarded licenses and the three applicants receiving 235 points may become eligible applicants. Likewise, if one license is available in a BLS region and there are five dispensary applicants with the highest score, all five dispensary applicants may become eligible applicants.

"Responsible Vendor Program" or "Program" means a training course or module offered by an approved Responsible Vendor Provider that provides at least two hours of class instruction on topics outlined in Section 1291.110.

"Responsible Vendor Provider" or "Provider" means a person or entity approved by the Department to offer a responsible vendor program and issue certifications pursuant to Section 15-40(k) of the Act.

"Responsible Vendor Trainer" or "Trainer" means an individual who is employed or contracted by a responsible vendor provider to provide the instruction for a responsible vendor program.

"Restricted access area" means a building, room or other contiguous area under control of the dispensing organization and upon the registered premises with access limited to dispensary agents only, where cannabis is stored, packaged, sold or processed for sale.

"Scoring process period" is the period of time between the conclusion of the submission period for a conditional license application and when the Department publishes the names of tied applicants that may become eligible applicants.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Seller" means a dispensing organization that intends to change its ownership or sell or transfer its license or licenses.

"Service professional" means a person who must be present at the dispensary to perform work, including but not limited to those installing or maintaining security devices, delivering cannabis, providing construction services, and auditing or accounting services, etc. It also means a person who is a prospective buyer or investor in a license who has been approved in a form or manner prescribed by the Department.

"State verification system" means a web-based system established and maintained by the State of Illinois that is available to the Department, DOA, ISP, and dispensing organizations for the tracking of the date of sale, amount, and price of cannabis purchased by purchasers.

"Tied applicant" means an application submitted by a dispensary applicant pursuant to Section 15-30 of the Act that received the same number of application points under Section 15-30 of the Act as the dispensary applicant's final score as one or more top-scoring applications in the same BLS region and would have been awarded a license but for the one or more other top-scoring applications that received the same number of application points. Each application for which a dispensary applicant was required to pay a required application fee for the application period ending January 2, 2020 shall be considered an application of a separate tied applicant. (Section 1-10 of the Act)

"Top participant" means an applicant drawn by lot in a winning slot such that it has the opportunity to be issued a conditional license.

"Victim" means

a person injured as a result of a firearm injury perpetrated or attempted against them;

the spouse, parent, or child of a person killed or injured as a result of a firearm injury perpetrated or attempted against the person, or anyone living in the household of a person killed or injured in a relationship that is substantially similar to that of a parent, spouse, or child;

a person injured while attempting to assist a person against whom a firearm injury is being perpetrated or attempted, if that attempt of assistance would be expected of a reasonable person under the circumstances;

a person injured while assisting a law enforcement official apprehend a person who has perpetrated a firearm injury or prevent the perpetration of any such crime if that assistance was in response to the express request of the law enforcement official; or

a person who personally witnessed a firearm injury.

The victim must not be the offender in the criminal act and must not have provoked or incited the crime.

History

• Source: Amended at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.11 Granting Variances

The Director may grant variances from this Part in individual cases when the director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of that variance; and

c) The rules from which the variance is granted would be unreasonable or unnecessarily burdensome.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.15 Dispensing Organization Fees and Renewals

a) Communication with the Department. The Department will only communicate with the dispensing organization's primary contact, alternate contact, or through an authorized third-party. The primary and alternate contact information must be different from each other and cannot be the same email address for each. In order to change its primary or alternate contact information, a dispensing organization must submit a request to change from the current primary or alternate contact email address the Department has on record. If the current email addresses are inaccessible, the dispensing organization must submit a certification attesting to the inaccessibility and requesting the change.

b) Fees. The following are the fees for dispensing organizations. All fees are nonrefundable and all monies collected under the Act shall be deposited in the Cannabis Regulation Fund in the State Treasury.

1. The application fee for a change of ownership or sale or transfer of a license is $5,000 for each license involved in the transaction. A fee shall be remitted to the Department for each Adult Use Dispensing Organization License or Registered Medical Cannabis Organization License involved in the transaction.

2. The application fee for an exception to a change of ownership or sale or transfer of a license, as those exceptions are defined in Section 1291.213, is $1,000. If the Department determines that an exception does not apply and the transaction is a change of ownership or sale or transfer of a license, then the licensee shall pay the fees required under subsection (b)(1), minus any monies already paid pursuant to this subsection (b)(2).

3. The licensing fee for a dispensing organization is $60,000.

4. The renewal fee for a dispensing organization is $60,000.

5. The late fee for renewal of a dispensing organization is $5,000.

6. Licensing fees may be paid on a pro-rated basis based on the following license issuance dates:

Dispensing Organization Licensing Fees – Pro-Rated Table

Month

Fee

January of even-numbered years

$5,000

February of even-numbered years

$2,500

March of even-numbered years

$60,000

April of even-numbered years

$57,500

May of even-numbered years

$55,000

June of even-numbered years

$52,500

July of even-numbered years

$50,000

August of even-numbered years

$47,500

September of even-numbered years

$45,000

October of even-numbered years

$42,500

November of even-numbered years

$40,000

December of even-numbered years

$37,500

January of odd-numbered years

$35,000

February of odd-numbered years

$32,500

March of odd-numbered years

$30,000

April of odd-numbered years

$27,500

May of odd-numbered years

$25,000

June of odd-numbered years

$22,500

July of odd-numbered years

$20,000

August of odd-numbered years

$17,500

September of odd-numbered years

$15,000

October of odd-numbered years

$12,500

November of odd-numbered years

$10,000

December of odd-numbered years

$7,500

c) Hardship Waiver. Dispensing organizations may seek a hardship waiver for 50% of a dispensing organization's renewal fee under Section 15-45 of the Act.

1. In order to qualify for a hardship waiver, dispensing organization licensees must:

A) Attest to their status as a social equity applicant in a form or manner prescribed by the Department.

B) Attest that the dispensing organization or applicant for renewal, including all individuals and entities with 10% or greater ownership and all parent companies, subsidiaries, and affiliates, has less than a total of $750,000 of income in the previous calendar year; and that dispensing organization or applicant for renewal, including all individuals and entities with 10% or greater ownership and all parent companies, subsidiaries, and affiliates, have no more than two other licenses for cannabis business establishments in the State of Illinois.

C) Provide income verification by the Illinois Department of Revenue.

2. Licensees may only qualify for a hardship waiver for the licensee's first renewal cycle.

d) Renewals

1. An Adult Use Dispensing Organization License will expire on March 31 of each even-numbered year. (Section 15-45 of the Act) The licensee shall renew the license during the 90 calendar days preceding the expiration date by submitting a renewal application and paying the fee required by Section 1291.15 no later than March 1 of the renewal year. If a license is not renewed before the license expires, the dispensing organization must cease operations until the license has been renewed.

2. If a dispensing organization does not renew its license, it shall notify the Department, not less than three months prior to the closing date or as otherwise authorized by the Department.

3. If a dispensing organization does not renew its license within 90 calendar days after its expiration, the Department may deem the license to be abandoned and issue a Notice of Intent to Issue a Permanent Revocation Order. The Notice of Intent to Issue a Permanent Revocation Order shall specify the reason for the intended action and notify the licensee that it has 20 calendar days after the date the notice is mailed or e-mailed to present to the Department a written response contesting the Department's intended action. A written response will be considered by the Department only if the dispensing organization provides documentation that:

A) the license was renewed within the required timeframe; or

B) a renewal application was submitted prior to the Notice of Intent to Issue a Permanent Revocation being issued.

4. If the Department does not receive a written response from the licensee that establishes one of the grounds provided in subsection (c)(1) or (2) and more than 20 calendar days have lapsed since the date of the issuance of the Notice of Intent to Issue a Permanent Revocation Order, the Director shall issue an order permanently revoking the license of the licensee.

e) Dispensing Organization Duties and Prohibitions

1. A dispensing organization license shall be valid only for the specific dispensing organization identified on the license and for the specific location proposed and approved by the Department.

2. Early Approval Adult Use Dispensing Organization Licensees ("same site") issued pursuant to Section 15-15 of the Act or Early Approval Adult Use Dispensing Organization License at secondary sites ("secondary site") issued pursuant to Section 15-20 of the Act cannot be severed from the associated medical registration. The ownership structures for a same-site or secondary site shall remain identical to the associated medical registration. Same-site licensees seeking relocation must relocate both the same-site license and associated medical registration to the same location. Any change of ownership or sale or transfer involving a medical registration must also include its associated same-site and secondary site licenses and vice versa.

3. Dispensing organizations are responsible for ensuring it and its agents adhere to the codes of conduct and grounds for discipline identified in Sections 1291.60 and 1291.70.

4. Dispensing organizations have a duty to report to the Department, within 14 calendar days, any adverse action taken against the dispensing organization, or its agent, by a licensing authority with jurisdiction in any state or any territory of the United States or any foreign jurisdiction, any governmental agency, any law enforcement agency or any court;

5. Dispensing organizations are prohibited from assigning a dispensing organization license. (See Section 15-60(g) of the Act.)

6. Dispensing organizations are prohibited from using a dispensing organization license as collateral to secure an existing or prospective debt.

f) The Department may suspend or revoke a dispensing organization license for a violation of the Act or this Part in accordance with Section 1291.70.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.20 Agent Fees, Application, and Credentialing

a) All individuals who have access to a dispensing organization's restricted access area and who are not otherwise registered as an agent-in-charge, a principal officer, or are identified on the dispensary's approved vendor list, are required to be registered by the Department as an agent and be issued an agent ID card. These individuals include, but are not limited to:

1. Individuals involved with in-take of cannabis or cannabis-infused product deliveries;

2. Individuals fulfilling cannabis or cannabis-infused product orders;

3. Individuals involved with the destruction of cannabis or cannabis-infused products;

4. Individuals entering purchasers' cannabis or cannabis-infused product orders into any point of sale system used by a dispensing organization; and

5. Individuals employed by the dispensing organization that engage in inventory verifications.

b) Communications with the Department. The Department will only communicate with the agent's email address the Department has on record, or with a third-party so long as a third-party authorization form is submitted. In order to change its contact information, an agent must submit a request to the Department from the email address the Department has on record. If the current email address is inaccessible, the agent must submit a certification attesting to the inaccessibility and request the change.

c) Fees. The fees for an agent are as follows. All fees are nonrefundable and all monies collected under the Act shall be deposited in the Cannabis Regulation Fund in the State Treasury.

1. The application fee for an agent ID card is $100. This fee includes the physical card. (See Section 15-40(a)(5) of the Act.)

2. The annual renewal fee for an agent ID card is $100. (See Section 15-45(d)(2) of the Act.)

3. The late fee for renewal of an agent ID card is $50.

4. The fee for the issuance of a replacement agent ID card is $50.

5. The fee to restore an agent ID card is $100. (See Section 15-40(b) of the Act.)

d) Agent ID Card Application. Prior to performing the duties of an agent within a dispensing organization, an agent ID card application shall be submitted by a dispensing organization principal officer or agent-in-charge in a form or manner provided by the Department.

1. Completed applications shall include the following:

A) The name of the dispensing organization employing the agent, and the address of the dispensary;

B) A copy of the applicant's valid driver's license or a State-issued identification;

C) Electronic picture of applicant taken within 30 days of the application submission;

D) The applicant's social security number;

E) The application fee;

F) Department background check authorizations in compliance with 410 ILCS 705/5-20. These authorizations include Fingerprint Consent Forms and livescan vendor receipt demonstrating that the agent applicant has applied for a fingerprint-based criminal history records check. Applicants shall only have valid fingerprints taken that are capable of being retrieved by the Department; and

G) Any additional information requested by the Department necessary to verify the identity of the applicant.

2. The Department will issue an agent ID card if all of the criteria under subsection (d)(1) is met and the applicant passes a background check. Applicants may begin working at a dispensary once an application has been submitted. If the applicant is notified of a deficiency in their application, the applicant must submit the information or documentation requested within 30 calendar days of the notification requesting the information or documents. If the applicant fails to provide the requested documentation or information, the Department will deny the issuing of the agent ID card, and the applicant may no longer enter the dispensary except as a member of the public. Applicants may not work at the dispensary after receiving a Notice of Intent to Deny Licensure as defined by the Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110.30).

3. The Department will communicate with the applicant's contact information on file, including the applicant's email address of record, the primary contact, and/or the alternate contact associated with the application.

e) Agent Training

1. All individuals who are required to apply as an agent shall annually complete eight hours of training through an approved Responsible Vendor Program.

2. Individuals required to apply as an agent shall complete the Responsible Vendor Program:

A) Within 90 calendar days of commencing initial employment at a dispensary; and

B) Within 45 calendar days before the individual's license renewal is due or within 45 calendar days after the individual's renewal has been approved; unless,

C) The individual commences employment at a new dispensing organization within one year of that individual's annual or renewal requirements in the above subsection (e)(2)(A) or (B).

3. Training certifications from a provider who is not an approved responsible vendor provider will not be accepted by the Department. An individual with a training certificate that is not accepted by the Department is required to complete an approved responsible vendor program within 20 days after the Department provides notice of the deficiency. The Department will grant an extension to the deadlines established in subsection (e) on an individual basis so long as the individual demonstrates a good faith belief that a complete training program was approved by the Department.

f) Agent Renewal and Restoration

1. All agent ID cards shall expire one year from the date the agent ID card is issued. An agent shall submit an online renewal application to renew the agent ID card no later than 30 calendar days preceding the card's expiration date.

2. As part of an agent's renewal, the agent shall certify to the Department that they are in compliance with the required annual responsible vendor program training.

3. An agent seeking restoration of a license due to termination of employment or expiration of the underlying license shall have the license restored upon request to the Department and payment of the required fee. A restored agent must comply with subsection (d) upon beginning employment.

4. At any time after the successful completion of any term of suspension, placement on probationary status or other disciplinary action taken by the Department with regards to any agent ID card, the agent may file a petition for restoration in accordance with 68 Ill. Adm. Code 1110.30.

g) Agent Duties and Prohibitions

1. All individuals registered as an agent are subject to the codes of conduct and grounds for discipline identified in Sections 1291.60 and 1291.70. The Department may suspend, revoke, or otherwise discipline an agent's license, registration, and/or agent ID card for a violation of the Act or this Part.

2. An individual registered as an agent shall not otherwise be registered as an agent-in-charge under Section 1291.25.

3. An agent shall not dispense cannabis or cannabis-infused products to other agents or employees of the dispensing organization if the purchasing agent or employee is on duty. For the purposes of this subsection, an employee is on-duty when they are being compensated for their work, including any paid lunch or break.

4. Agents shall not consume cannabis or cannabis-infused products on the premises of the dispensing organization.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.25 Agent-in-Charge Fees, Application, and Credentialing

a) The agent-in-charge shall be a principal officer or full-time agent of the dispensing organization and shall manage the dispensary. Managing the dispensary includes, but is not limited to, responsibility for opening and closing the dispensary, delivery acceptance, oversight of sales and dispensary agents, recordkeeping, inventory, dispensary agent training, and compliance with the Act and this Part. Managing includes participation in affairs also includes the responsibility for maintaining all files subject to inspection by the Department at the dispensary. (Section 15-95 of the Act) AICs may delegate some of their duties to agents registered under Section 1291.20.

b) Communications with the Department. The Department will only communicate with the AIC's email address the Department has on record, or with a third-party so long as a third-party authorization form is submitted. In order to change its contact information, an AIC must submit a request to the Department from the email address the Department has on record. If the current email address is inaccessible, the AIC must submit a certification attesting the inaccessibility and requesting the change.

c) AIC Fees. The fees for AIC are as follows. All fees are nonrefundable and all monies collected under the Act shall be deposited in the Cannabis Regulation Fund in the State Treasury.

1. The application fee for an AIC identification card is $100. This fee includes the physical card.

2. The annual renewal fee for an AIC identification card is $100.

3. The late fee for renewal of an AIC identification card is $50.

4. The fee for the issuance of a replacement AIC identification card is $50.

5. The fee to restore a terminated AIC identification card is $100.

d) AIC Application. Prior to performing the duties of an AIC within a dispensing organization, an AIC application shall be submitted by the applicant in a form or manner provided by the Department.

1. The application shall include, but not be limited to the following:

A) The name of the dispensing organization employing the AIC, and the address of the dispensary;

B) A copy of the applicant's valid driver's license or a State issued identification;

C) Electronic picture of applicant taken within 30 days of the application submission;

D) The applicant's social security number;

E) The application fee;

F) Department background check authorizations in compliance with 410 ILCS 705/5-20. These authorizations include Fingerprint Consent Forms and livescan vendor receipt demonstrating that the applicant has applied for a fingerprint-based criminal history records check. Applicants shall only have valid fingerprints taken that are capable of being retrieved; and

G) Any additional information requested by the Department necessary to verify the identity of the applicant.

2. The Department will issue an AIC identification card if all of the criteria under subsection (d)(1) is met and the applicant passes a background check. Applicants may begin working at a dispensary once an application has been submitted. If the applicant is notified of a deficiency in their application, the applicant must submit the information or documentation requested within 30 calendar days of the notification requesting the information or documents. If the applicant fails to provide the requested documentation or information, the Department will deny the issuing of the AIC identification card, and the applicant may no longer enter the dispensary except as a member of the public. Applicants may not work at the dispensary after receiving a Notice of Intent to Deny Licensure as defined by the Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110.30).

3. The Department will communicate with the applicant's contact information on file, including the applicant's email address of record, the primary contact, and/or the alternate contact associated with the application.

e) AIC Training

1. AICs shall annually complete eight hours of training through an approved responsible vendor program.

2. AICs shall complete the responsible vendor program:

A) Within 90 calendar days of commencing initial employment at a dispensary; and

B) Within 45 calendar days before the individual's annual renewal is due or within 45 calendar days after the individual's renewal has been approved; unless,

C) The individual commences employment at a new dispensing organization within one year of that individual's annual or renewal requirements in the above subsection (e)(1) or (e)(2).

3. Training certifications from a provider who is not an approved responsible vendor provider will not be accepted by the Department. An individual with a training certificate that is not accepted by the Department is required to complete an approved responsible vendor program within 20 days after the Department provides notice of the deficiency. The Department will grant an extension to the deadlines established in subsection (b) on an individual basis so long as the individual demonstrates a good faith belief that a complete training program was approved by the Department.

f) AIC Renewal and Restoration

1. All AIC identification cards shall expire one year after the date they are issued. The holder of a card may renew the card 45 calendar days preceding the expiration date by submitting a renewal application and paying the required renewal fee.

2. AICs shall certify to the Department that they are in compliance with the required annual responsible vendor program training.

3. An AIC seeking restoration of a license due to termination of employment or expiration of the underlying license shall have the license restored upon request to the Department and payment of fee required.

4. At any time after the successful completion of any term of suspension, placement on probationary status or other disciplinary action taken by the Department with regards to any AIC license, the licensee may file a petition for restoration in accordance with 68 Ill. Adm. Code 1110.30.

g) AIC Duties and Prohibitions

1. All individuals registered as an AIC are subject to the codes of conduct and grounds for discipline identified in Sections 1291.60 and 1291.70, as well as subsection (h). The Department may suspend, revoke, or otherwise discipline an AIC's license, registration, and/or agent ID card for a violation of the Act or this Part.

2. An AIC is responsible for notifying the Department of a change in the employment status of all dispensing organization agents within five business days after the change, including notice to the Department if the termination of an agent was for diversion of product or theft of currency. (Section 15-95(e) of the Act)

3. An AIC shall work at least 32 hours per week at their assigned dispensary in order to qualify as "full-time" for the purposes of this Part.

4. An AIC is responsible for notifying the Department of a change in the employment status of all dispensing organization agents within five business days after the change, including notice to the Department if the termination of an agent was for diversion of product or theft of currency. (Section 15-95(e) of the Act)

5. An AIC is responsible for notifying the Department of any changes made to the approved vendor list.

6. An AIC is responsible for ensuring the daily inventory count as required by Section 1291.310(e) is completed.

7. An AIC is responsible for managing the dispensary.

8. An AIC is responsible for implementing the dispensary's records retention policy, including: the preparation, obtaining, or keeping records, logs, reports, or other documents in connection with Act and this Part; and for, upon request by the Department, making any documents immediately available for inspection and copying by the Department, the Department's authorized representative, or others authorized by law to review the documents. (See Section 15-135(e) of the Act.)

h) AIC Disciplinary Actions. In addition to any action initiated pursuant to Sections 1291.60 and Section 2191.70, the Department may deny an application or renewal or discipline or revoke an agent-in-charge identification card for any of the following reasons in accordance with the Act and 20 ILCS 2105/2105-130:

1. Submission of misleading, incorrect, false, or fraudulent information in the application or renewal application;

2. Violation of the requirements of the Act or this Part;

3. Fraudulent use of the agent-in-charge identification card;

4. Selling, distributing, transferring in any manner, or giving cannabis to any unauthorized person;

5. Theft of cannabis, currency, or any other items from a dispensary;

6. Tampering with, falsifying, altering, modifying, or duplicating an agent-in-charge identification card;

7. Tampering with, falsifying, altering, or modifying the surveillance video footage, point-of-sale system, or the State's verification system;

8. Failure to notify the Department immediately upon discovery that the agent-in-charge identification card has been lost, stolen, or destroyed;

9. Failure to notify the Department within five business days after a change in the information provided in the application for an agent-in-charge identification card;

10. Conviction of a felony offense in accordance with Sections 2105-131, 2105-135, and 2105-205 of the Department of Professional Regulation Law of the Civil Administrative Code of Illinois [20 ILCS 2105] or any incident listed in the Act or this Part following the issuance of an agent-in-charge identification card;

11. Dispensing to purchasers in amounts above the limits provided in the Act; or

12. Delinquency in filing any required tax returns or paying any amounts owed to the State of Illinois. (Section 15-95(i) of the Act)

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.30 Principal Officer Fees, Application, and Credentialing

a) In addition to any individuals identified in the dispensing organization's by-laws as principal officers, the following individuals are considered principal officers of a dispensing organization and shall register and be approved by the Department:

1. Those individuals who meet the definition of a "principal officer" as defined in the Act and this Part, however, an individual does not need to register as a Principal Officer solely because of that person's close relationship or familial tie to the holder of a Financial Interest in a dispensing organization;

2. Managers of a management services contractor who have entered into an agreement with a dispensing organization under Section 1291.210(f)(4). Managers include but are not limited to board members and corporate officers.

3. If a corporation, the officers of the corporation;

4. If a partnership, the partners;

5. If a limited liability company, the members and managers of the limited liability company;

6. If an association or cooperative, the members of the association or cooperative;

7. If a joint venture, the individuals who signed the joint venture agreement; and

8. If a business organization other than the types listed in subsections (a)(1) through (5), the members of the business organization.

9. If a trust has any interest in a dispensing organization license, the dispensing organization must disclose to the Department the trustee and all beneficiaries of and participants in the trust, on a form or manner prescribed by the Department. Trust beneficiaries and participants may be required to register as principal officers if they meet the definition of a principal officer. The Department may not approve a trust if any trust beneficiary or participant is a person that is otherwise prohibited from having an ownership interest in the entity.

b) Communications with the Department. The Department will only communicate with the principal officer's email address the Department has on record, or with a third-party so long as a third-party authorization form is submitted. In order to change its contact information, a principal officer must submit a request to the Department from the email address the Department has on record. If the current email address is inaccessible, the principal officer must submit a certification attesting to the inaccessibility and requesting the change.

c) Principal Officer Fees. The fees for a principal officer are as follows. All fees are nonrefundable. All monies collected under the Act shall be deposited in the Cannabis Regulation Fund in the State Treasury.

1. The application fee for a principal officer agent identification card is $100. This fee includes the physical card.

2. The annual renewal fee for a principal officer agent identification card is $100.

3. The late fee for renewal of a principal officer agent identification card is $50.

4. The fee for the issuance of a replacement principal officer agent identification card is $50.

5. The fee to restore a terminated principal officer agent identification card is $100.

d) A principal officer is not required to complete a responsible vendor program if the principal officer does not otherwise meet the requirements in Section 1291.20(a).

e) Principal Officer Application. A principal officer application shall be submitted by the dispensing organization in a form or manner provided by the Department. Principal officer applications shall be submitted for all new principal officers and at any time an application is needed pursuant to Section 1291.211. Principal officer applications shall include, but not be limited to, the following:

1. The name and license number of the dispensing organization employing or associated with the principal officer, and the address of the dispensary;

2. Unless the background check exception under subsection (f) applies, Department background check authorizations in compliance with 410 ILCS 705/5-20. These authorizations include fingerprint consent forms and livescan vendor receipt demonstrating that the principal officer applicant has applied for a fingerprint-based criminal history records check. Applicants shall only submit valid fingerprints capable of being retrieved by the Department;

3. A copy of the applicant's valid driver's license or a State-issued identification;

4. Electronic picture of applicant taken within 30 days of the application;

5. The applicant's social security number;

6. The application fee;

7. A certification that the individual is tax compliant pursuant to 410 ILCS 705/45-20.

8. A certification that the individual is compliant with all other aspects of Article 2105 of the Civil Administrative Code of Illinois [20 ILCS 2105/2105]; and

9. Any additional information requested by the Department in the verification process.

f) For all changes of ownership or sales of a license pursuant to subsection 1291.211, each proposed principal officer must also submit to the Department background check authorizations as part of its principal officer applications in compliance with Section 1291.30(e).

1. The Department may waive the requirement for fingerprint consent forms and livescan vendor receipt if the underlying transaction is a transfer, as that term is defined in this Part.

2. The Department may also waive the requirement for fingerprint consent forms and livescan vendor receipt if the principal officers have submitted principal officer applications within the previous 12 months of the closing date of the change of ownership or the sale of the license.

g) Principal Officer Renewals and Restoration

1. All principal officer agent identification cards shall expire one year from the date they are issued. The holder of a card may renew the card 45 calendar days preceding the expiration date by submitting a renewal application and paying the required renewal fee.

2. A principal officer agent seeking restoration of a license that has terminated or expired shall have the license restored upon request to the Department and payment of fee required.

3. At any time after the successful completion of any term of suspension, placement on probationary status or other disciplinary action taken by the Department with regards to any agent license, the licensee may file a petition for restoration in accordance with 68 Ill. Adm. Code 1110.30.

h) Principal Officer Duties and Prohibitions

1. A principal officer not in compliance with the requirements of the Act shall be removed from his or her position with the dispensing organization or shall otherwise terminate his or her affiliation. Failure to do so may subject the dispensing organization to discipline, suspension, or revocation of its license by the Department in accordance with the Act and 20 ILCS 2105/2105-130. (Section 15-50(h) of the Act)

2. All individuals registered as a principal officer are subject to Sections 1291.60 and 1291.70.

3. Principal officers are prohibited from assigning their principal officer license.

4. Principal officers are prohibited from using their principal officer license as collateral to secure an existing or prospective debt.

i) Principal Officer License Limitations

1. A person or entity shall not be a principal officer, have a financial interest, or hold any legal, equitable, ownership, or beneficial interest, directly or indirectly, in more than 10 dispensing organizations. (See Section 15-36(c) of the Act.)

2. The Department will issue a Notice of Intent to Issue a Suspension Order to all dispensing organizations held by any person or entity or entities that the Department determines is a principal officer and/or holds a financial interest in more than 10 Adult Use Dispensing Organization Licenses, as well as the individual principal officer, in violation of Section 15-36(c) of the Act. The notice shall specify the reason for the intended action and notify the dispensing organization and the principal officer that they have 20 calendar days after the date the notice is mailed or emailed to the address of record, to present the Department with a written response contesting the intended action. The Department will rescind the Notice of Intent to Issue a Suspension Order if the dispensing organization and the principal officer demonstrate, and include documentation that supports, one of the following scenarios:

A) The person or entity has been incorrectly identified as a principal officer of more than 10 dispensing organizations and/or having a financial interest in more than 10 dispensing organizations; or

B) The person or entity is no longer a principal officer of more than 10 dispensing organizations and/or no longer has financial interest in more than 10 dispensing organizations, as supported by proof of resignation letters and current tables of organization, ownership, and control.

3. If the Department does not receive a written response that establishes one of the grounds provided in subsection (i)(2) within 20 calendar days after the date the notice was issued, the Director shall issue an order suspending the license of each dispensing organization in which the person or entity is a principal officer and/or has a financial interest.

4. The dispensing organizations may file for restoration of its license as provided in Section 1291.90 once the person or entity is no longer a principal officer or has a financial interest in more than 10 dispensing organizations.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.50 Tied Applicant Lottery Conducted in 2021

a) A tied applicant may qualify as an eligible applicant subject to the following:

1. A tied applicant is prohibited from becoming an eligible applicant if a principal officer of the tied applicant is a principal officer of more tied applicants than the number of remaining available licenses. For example, if an individual is a principal officer of four tied applicants and there are two remaining available licenses, no more than two of those tied applicants may become eligible applicants.

2. A tied applicant is prohibited from becoming an eligible applicant if a principal officer of a tied applicant resigns after the conclusion of the scoring process period.

3. A tied applicant is prohibited from becoming an eligible applicant if, after the conclusion of the declination period identified in subsection (b), a principal officer of the applicant is a principal officer of more tied applicants than the number of remaining available licenses.

b) A tied applicant may decline to become an eligible applicant by informing the Department within five business days after the conclusion of the scoring process. The declination must be submitted on forms approved by the Department.

c) If, at the conclusion of the scoring process period, there are two or more eligible applicants, the Department may distribute the remaining available licenses by lot subject to the following:

1. The Department shall publish a list of eligible applicants at least five business days before the day the remaining available licenses are distributed.

2. The drawing by lot for all remaining available licenses will occur on the same day.

3. For each BLS region, the Department will draw a number of eligible applicants equal to five times the number of remaining eligible applicants.

4. Within each BLS region, the first eligible applicant drawn will have the first right to a remaining available license. The second eligible applicant drawn will have the second right to a remaining available license. The same pattern will continue for each subsequent eligible applicant drawn.

5. The process for distributing remaining available licenses will be recorded by the Department in a format selected by the Department.

6. If, upon being selected for a remaining available license, the eligible applicant has a principal officer that is a principal officer in more than 10 Early Approval Adult Use Dispensing Organization Licenses, Conditional Adult Use Dispensing Organization Licenses, Adult Use Dispensing Organization Licenses, the licensees and the eligible applicant listing that principal officer must choose which license to abandon pursuant to Section 15-36(d) of the Act, and notify the Department in writing within the timeframe identified in 1291.50(b). If the eligible applicant or licensees do not notify the Department as required, the Department will refuse to issue to the eligible applicants all remaining available licenses obtained by lot in all BLS regions.

7. All remaining available licenses that have been abandoned shall be distributed to the next eligible applicant drawn by lot. If there are no additional eligible applicants, the license shall be awarded to the applicant receiving the next highest number of application points in the BLS region.

History

• Source: Amended at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.60 Unprofessional, Dishonorable, or Unethical Conduct

Unprofessional, dishonorable, or unethical conduct includes, but is not limited to, the following actions and/or omissions:

a) Failing to establish and maintain effective controls against the theft or diversion of cannabis;

b) Committing, or attempting to commit, theft or diversion of cannabis;

c) Failing to follow rules and procedures established by the dispensing organization;

d) Failing to comply with law enforcement agencies, other state, local or federal agencies, or the Department;

e) Discriminating in any manner against a person or group based on religion, race, creed, color, gender, gender identity, sexual orientation, age, disability or national origin;

f) Selling products to a medical cannabis patient who is a minor in violation of the Illinois Department of Public Health rules (77 Ill. Adm. Code 946.280);

g) Selling or attempting to sell products to an individual under age 21 or failing to establish or maintain effective controls against selling cannabis to an individual under age 21;

h) Misuse or attempted misuse of an agent ID card, and/or medical cannabis patient card, including, but not limited to: operating under an expired agent ID card, and/or medical cannabis patient card, falsely presenting oneself as a licensed agent, AIC, principal officer, and/or medical cannabis patient;

i) Tampering with, falsifying, altering, modifying or duplicating an agent ID card, and/or medical cannabis patient card, or any attempt thereof;

j) Misrepresentation or attempt to misrepresent cannabis and/or cannabis-infused product, including, but not limited to, weight, quality, percentage of THC, or efficacy;

k) Failing to report to the Department that the dispensing organization has received notice in any form or from any person, that cannabis or cannabis-infused products produced in a licensed cultivation center, craft grower, or infuser organization has failed a test performed by a laboratory within two calendar days. Tests may include, but are not limited to, all information contained within the laboratory testing rules found at 8 Ill. Adm. Code 700;

l) Allowing an individual into a limited access area who is not permitted into a limited access area, as that term is defined in the Act;

m) Engaging in activity that requires a license under the Act or this Part while not holding an active license;

n) Making or filing a report or record that the individual knows to be false;

o) Intentionally or negligently failing to file a report or keep records as required by the Act or this Part;

p) Knowingly selling or transferring cannabis using a patient's medical cannabis card after the death of the person who holds the medical cannabis card;

q) Failing to keep a dispensary in sanitary condition, including, but not limited to, failing to keep the dispensary free from insects, rodents and/or vermin; or from mold and/or fungus; and/or complying with local health code requirements;

r) Billing or charging for quantities of cannabis different than was dispensed;

s) Demonstrating actual or potential inability to dispense under the Act or this Part with reasonable skill, safety or judgment;

t) Engaging in activities that cause actual harm to any member of the public;

u) Dispensing cannabis after the use by date on the label of cannabis;

v) Dispensing defective cannabis which shall include, but is not limited to, cannabis which has failed any laboratory testing, cannabis that has expired, cannabis that has been tampered with, or cannabis that otherwise poses a threat to public safety;

w) Knowingly aiding or assisting another in any of the above violations; or

x) Any violation of the Act or this Part.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.70 Grounds for Discipline

a) The Department may deny issuance, refuse to renew or restore, or may reprimand, place on probation, suspend, revoke, or take other disciplinary or non-disciplinary action against any licensee, may impose a fine for any of the actions listed in this subsection (a). Fines may not exceed $20,000 for each violation.

1. Material misstatement in information furnished to the Department;

2. Violations of the Act or this Part;

3. Obtaining an authorization or license by fraud or misrepresentation;

4. A pattern of conduct that demonstrates incompetence or that the applicant or licensee has engaged in conduct or actions that would constitute grounds for discipline under the Act;

5. Aiding or assisting another person in violating any provision of the Act or this Part;

6. Failing to respond to a written request for information by the Department within 30 calendar days;

7. Engaging in unprofessional, dishonorable, or unethical conduct, such as those criteria under Section 1291.60, or of a character likely to deceive, defraud, or harm the public;

8. Adverse action by another United States jurisdiction or foreign nation; a certified copy of the record of the action taken by another jurisdiction being prima facie evidence thereof. This includes, but is not limited to, an adverse action by another state agency, U.S. jurisdiction, or foreign jurisdiction against a principal officer of a dispensing organization;

9. A finding by the Department that the licensee, after having their license placed on suspended or probationary status, has violated the terms of the suspension or probation;

10. Conviction, entry of a plea of guilty, nolo contendere, or the equivalent in a State or federal court of a principal officer or AIC of a felony offense in accordance with Sections 2105-131, 2105-135, and 2105-205 of the Department of Professional Regulation Law of the Civil Administrative Code of Illinois [20 ILCS 2105/2105];

11. Excessive use of or addiction to alcohol, narcotics, stimulants, or any other chemical agent or drug demonstrating an inability to carry out the responsibilities of a license-holder with reasonable skill, safety, and judgment under the Act;

12. A finding by the Department of a discrepancy in a Department audit of cannabis;

13. A finding by the Department of a discrepancy in a Department audit of capital or funds;

14. A finding by the Department of acceptance of cannabis from a source other than an adult use cultivation center, craft grower, infuser, or transporting organization licensed by the Department of Agriculture, or a dispensing organization licensed by the Department;

15. An inability to operate using reasonable judgment, skill, or safety due to physical or mental illness or other impairment or disability, including, without limitation, deterioration through the aging process or loss of motor skills or mental incompetence;

16. Failing to report to the Department, within 14 calendar days, any adverse action taken against the dispensing organization, or its agent, by a licensing authority with jurisdiction in any state or any territory of the United States or any foreign jurisdiction, any governmental agency, any law enforcement agency or any court defined in this Section;

17. Any violation of the dispensing organization's policies and procedures submitted to the Department annually as a condition for licensure;

18. Failure to inform the Department of any change of address, including email addresses, within 10 business days of the change;

19. Disclosing customer names, personal information, or protected health information in violation of any State or federal law;

20. Operating a dispensary without or prior to obtaining a license from the Department;

21. Performing duties authorized by the Act prior to receiving a license to perform such duties;

22. Dispensing cannabis when prohibited by the Act or this Part;

23. Any fact or condition that, if it had existed at the time of the original application for the license, would have warranted denial of the license;

24. Permitting a person without a valid agent ID card to perform licensed activities under the Act;

25. Failure to designate a full-time AIC as required by Article 15 under the Act; for the purposes of the AIC, "full-time" means an employee who works for at least 32 hours per week;

26. Failure to provide the training required by Section 15-40(3)(i) of the Act within the provided timeframe;

27. Personnel insufficient in number or unqualified in training or experience to properly operate the dispensary business;

28. Any pattern of activity that causes a harmful impact on the community;

29. Failing to prevent diversion, theft, or loss of cannabis; (Section 15-145 of the Act)

30. Shielding a dispensing organization's ownership and control from the Department. (See Section 15-50(d) of the Act.) Shielding ownership and control includes but is not limited to: failing to properly disclose and register all individuals who meet the definition of a principal officer; failing to submit current and accurate tables of organization, ownership, and control; submitting false or misleading information regarding principal officers, ownership and control, or tables of organization, ownership, and control to the Department or to a unit of local government, State agency, other State, third-party, or as otherwise required by law; or any other similar action; and

31. Carrying more than 40% of products available for sale from a single source. (See Section 15-70(p)(5) of the Act.) The Department shall calculate inventory percentages over a monthly average.

b) The Department may approve a corrective action plan for any licensee. Any approval of a corrective action plan is at the discretion of the Department. In approving a corrective action plan, the Department may consider any remedial actions undertaken by the licensee, including but not limited to: the licensee's cooperation in resolving the matter; if the licensee has initiated any mitigating actions; the licensee's past practices; the licensee's self-reporting; and any other factors otherwise specified in 20 ILCS 2105/2105-130(c).

c) All fines and fees imposed under this Section shall be paid within 60 calendar days after the effective date of the order or citation imposing the fine or as otherwise specified in the order or citation. (See Section 15-145(b) of the Act.)

d) All proceedings for disciplinary action shall adhere to the rules for practice in Administrative Hearings under 68 Ill. Adm. Code 1110.

e) Upon receipt of a circuit court order establishing that an AIC or principal officer holding an agent ID card is subject to involuntary admission, as that term is defined in Section 1-119 or 1-119.1 of the Mental Health and Developmental Disabilities Code [405 ILCS 5], the Department shall suspend that card.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.90 Disciplinary and Non-Disciplinary Actions and Petitions for Rehearing or Reconsideration Pursuant to Section 55-50 of the Act

a) Disciplinary Action Initiated by the Department

1. The Department may initiate a disciplinary action against a dispensing organization or any cannabis business establishment license under its jurisdiction, including any license issued pursuant to Sections 1291.15, 1291.20, 1291.25, or 1291.30, for any violation of the Act or a rule adopted in accordance with the Act, including Sections 1291.60 and 1291.70.

2. For the purposes of this subsection (a), a "disciplinary action" includes but is not limited to: a complaint filed by the Department, an intent to deny a license, and a refusal to renew a license. Disciplinary actions may or may not include the imposition of a monetary fine. All disciplinary actions taken by the Department are a matter of public record.

3. If a license issued pursuant to Sections 1291.15, 1291.20, 1291.25, or 1291.30, or any other cannabis business establishment regulated by the Department has any disciplinary action initiated against it by the Department, proceedings for that disciplinary action and administrative hearings shall adhere to 68 Ill. Adm. Code 1110 and the Administrative Review Law [735 ILCS 5/Art. III].

4. Notice for any disciplinary action taken shall comply with the provisions of 68 Ill. Adm. Code 1110.20.

5. At any time after the successful completion of a minimum term of indefinite probation or suspension issued by the Department, including those licenses issued pursuant to Sections 1291.15, 1291.20, 1291.25, or 1291.30, the licensee may file a petition for restoration in accordance with 68 Ill. Adm. Code 1130.30.

6. If the Department suspends, permanently revokes, or otherwise disciplines the Early Approval Adult Use Dispensing Organization License of a dispensing organization that also holds a medical cannabis dispensing organization license issued under the Compassionate Use of Medical Cannabis Program Act, the Department may consider the suspension, permanent revocation, or other discipline of the medical cannabis dispensing organization license. (Section 15-15(o) of the Act)

b) Non-Disciplinary Orders and Non-Disciplinary Actions

1. In lieu of or in addition to any disciplinary action initiated by the Department, the Department may, in its discretion, negotiate the terms of and enter into any non-disciplinary orders with a licensee. Non-disciplinary orders are non-public.

2. In lieu of or in addition to any disciplinary action initiated by the Department, the Department may, in its discretion, issue a non-disciplinary action, including a citation, for minor violations of the Act or this Part. Any such citation issued by the Department may be accompanied by a fee. The fee shall not exceed $20,000 per violation. The citation shall be issued to the licensee and shall contain the licensee's name and address, the licensee's license number, a brief factual statement, the Sections of the law allegedly violated, and the fee, if any, imposed. The citation must clearly state that the licensee may choose, in lieu of accepting the citation, to request a hearing, and that a hearing is requested, the Department may withdraw the citation and instead file a complaint. If the licensee does not dispute the matter in the citation with the Department within 30 days after the citation is served, then the citation shall become final and not subject to appeal. (Section 15-140 of the Act)

c) Petitions for Rehearing or Reconsideration Pursuant to Section 55-50 of the Act

1. Within 20 business days after notification of any order or decision by the Department regarding a dispensing organization's license or a conditional license, a dispensing organization or conditional licensee may file with the Department a Petition for Rehearing or Reconsideration of the order or decision. This subsection does not apply to any recommendations made by an Administrative Law Judge under 68 Ill. Adm. Code 1110, which are not orders or decisions.

2. Petitions shall include a brief summary of the facts and legal arguments and shall not exceed five pages unless for good cause shown.

3. Upon receipt of a petition, the Department shall notify the petitioner of the briefing schedule, which shall be as follows, unless otherwise extended:

A) Petitioner has seven calendar days to file a brief or memorandum in support of its petition. Briefs or memorandums must not exceed 10 pages, except for good cause shown. This page limitation does not include any exhibits which may accompany the brief or memorandum.

B) The Department has seven calendar days to file its response. Responses must not exceed 10 pages, except for good cause shown. This page limitation does not include any exhibits which may accompany the brief or memorandum.

C) After the Department files its response, the dispensing organization has seven calendar days to file any reply. Replies must not exceed 10 pages, except for good cause shown.

D) The Department may extend the briefing schedule of subsections (c)(3)(A) through (c)(3)(C) for an additional 30 calendar days upon good cause shown and prior written notice to the petitioner.

4. After the petitioner files its reply or if its response goes unanswered after 10 calendar days, the Director shall issue a final order. This final order is a final administrative decision under Section 55-55 of the Act.

5. If the Department fails to act on the petition within 30 calendar days, or the date the time for rendering a decision was extended for good cause shown, the original order or decision of the Department is a final administrative decision under Section 55-55 of the Act. (See Section 55-50 of the Act.)

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

Part 1291 Cannabis Regulation and Tax Act Subpart A: General Provisions

68 Ill. Adm. Code 1291.95 Tax Delinquency

a) The Department will deny issuance or renewal of a Conditional Adult Use Dispensing Organization License or Adult Use Dispensing Organization License if any principal officer, board member, and/or person having a financial or voting interest of 5% or greater in the licensee or applicant is delinquent in filing any required tax return or paying any amount owed to the State of Illinois.

b) The Department will notify the applicant or licensee of any determination by the Illinois Department of Revenue that any principal officers, board members, and/or persons having a financial or voting interest of 5% or greater in the licensee or applicant are delinquent in filing any required tax return or paying any amount owed to the State of Illinois.

c) Upon notification of tax delinquency being sent by the Department to the applicant or licensee, the applicant or licensee shall have 60 days to provide the Department proof that the applicant or licensee is no longer delinquent in filing any required tax return or paying any amount owed to the State of Illinois, as determined by the Illinois Department of Revenue.

d) If after 60 days the applicant or licensee has not provided the Department proof that the applicant or licensee is no longer delinquent in filing any tax return or paying any amount owed to the State of Illinois, the Department will deny issuance or renewal of a conditional license or Adult Use Dispensing Organization License.

History

• Source: Amended at 45 Ill. Reg. 16320, effective December 7, 2021

Part 1291 Cannabis Regulation and Tax Act

68 Ill. Adm. Code 1291.100 Application and Approval Process

a) Before any entity can offer a responsible vendor program, the entity shall first apply to and receive approval for the program from the Department and pay the applicable fee. The application submission window is the period between August 1st and August 15th of every odd-numbered year. If the date falls on a holiday or weekend in which case the window is extended to the next business day. The application submission window shall close at 5 PM Central Time on the final day on which applications are accepted.

b) All responsible vendor provider approvals will expire on September 30 of each odd-numbered year. Approvals are not subject to renewal. All current responsible vendors must reapply during the application submission window to remain an approved program.

c) Applications for approval shall be submitted on forms provided by the Department and shall include:

1. The first and last name of each responsible vendor trainer currently employed by the program and the following document for each current trainer:

A) A resume and/or a curriculum vitae;

B) A written statement detailing the trainer's relevant experience; and

C) A signed certification from the trainer that they do not hold an ownership interest in a cannabis business establishment, unless the trainer was approved in the 2021 cycle in which case, the Department will allow the trainer to proceed;

2. A general outline of the responsible vendor program;

3. All training materials and curriculum consistent with Section 1291.120;

4. A blank copy of the pre-test and post-test required by Section 1291.120(a)(2);

5. A signed statement from each individual with an ownership interest in the applicant confirming that the individual does not hold an ownership interest in a cannabis business establishment nor is the individual owner an agent, employee, or affiliate of a cannabis business establishment or an affiliated entity of a cannabis business establishment, unless the individual is a member of an applicant which was approved in the 2021 cycle in which case, the Department will allow the an Individual to be approved; and

6. The application fee of $2,000.

d) The application shall be signed by a representative of the entity applying to be a responsible vendor provider certifying that all information contained in the application is true and accurate.

e) All required materials shall be submitted during the application submission window. The Department will not accept applications any other time. Early or late applications will not be accepted.

f) The Department may refuse to issue an approval to any applicant:

1. Who is unqualified to perform the duties required of a provider;

2. Who fails to disclose or makes misrepresentations of any information called for in the application;

3. Who fails to provide all required application materials; or

4. Who does not demonstrate knowledge of the rules and laws for dispensing cannabis in Illinois or demonstrates a misunderstanding of the rules and laws.

5. If an application is submitted in the application window, the Department may inform the applicant of a deficiencies in the application. An applicant may modify their training materials to meet the above requirements for 30 days following the notice. If the applicant is unable or unwilling to modify the training materials, then the Department shall deny the approval. If the Department denies the approval, it shall provide a detailed description of the reasons for the denial.

g) The Department will send approval notices to successful applicants who meet the requirements of this Section. Approved responsible vendor providers may begin offering training upon receipt of the approval notice. Only responsible vendor providers approved by the Department can provide a responsible vendor program.

h) An approval for a responsible vendor provider shall be valid only for the provider named in the application. An approval is not transferable or assignable.

i) A responsible vendor provider may not subcontract or engage with an outside third-party to offer any of its training.

j) If the responsible vendor provider hires new trainers who were not previously disclosed at the time of the provider's original application of subsection (c)(1), the provider shall submit the required information and documents of any new trainers to the Department within five calendar days after hiring the new trainer.

k) The Department may rescind its approval of a responsible vendor provider that allows an individual or entity that has not been disclosed to the Department to offer its training course.

l) The Department shall deny a responsible vendor provider application where the provider or proposed trainer holds an ownership interest in a cannabis business establishment or is the individual owner an agent, employee, or affiliate of a cannabis business establishment or an affiliated entity of a cannabis business establishment.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.110 Curriculum Requirements

a) The curriculum for a responsible vendor program shall include, at a minimum, the following topics:

1. Health and safety concerns of cannabis use, including the responsible use of cannabis, its physical effects, onset of physiological effects, recognizing signs of impairment and overconsumption, and appropriate responses in the event of overconsumption. (Section 15-40(i)(3)(i) of the Act) This topic shall specifically include information on the health risks associated with the use or abuse of cannabis, how cannabis can affect an individual's health, dosing, the criteria and severity for cannabis use disorder listed in the Diagnostic and Statistical Manual of Mental Disorders, fifth edition ("DSM-5"), and the contact information for the Illinois Poison Center. The criteria for Cannabis Use Disorder listed in DSM-5 can be found at https://thriveworks.com/help-with/addiction/marijuana-addiction-cannabis-use-disorder/ and are also enumerated in this subsection (a)(1). The DSM-5 defines a mild cannabis use disorder as having the presence of 2-3 of the criteria within the last twelve months, moderate is 4-5 in the last twelve months, and severe is 6 or more within the last twelve months.

A) Cannabis is often taken in larger amounts or over a longer period than was intended.

B) There is a persistent desire or unsuccessful efforts to cut down or control cannabis use.

C) A great deal of time is spent in activities necessary to obtain cannabis, use cannabis, or recover from its effects.

D) Craving, or a strong desire or urge to use cannabis.

E) Recurrent cannabis use results in failure to fulfill role obligations at work, school, or home.

F) Continued cannabis use despite having persistent or recurrent social or interpersonal problems caused or exacerbated by the effects of cannabis.

G) Important social, occupational, or recreational activities are given up or reduced because of cannabis use.

H) Recurrent cannabis use in situations in which it is physically hazardous.

I) Cannabis use continues despite knowledge of having a persistent or recurrent physical or psychological problem that is likely to have been caused or exacerbated by cannabis.

J) Tolerance, as defined by either:

i) a need for markedly increased cannabis to achieve intoxication or desired effect; or

ii) a markedly diminished effect with continued use of the same amount of the substance.

K) Withdrawal, as manifested by either:

i) the characteristic withdrawal syndrome for cannabis; or

ii) cannabis is taken to relieve or avoid withdrawal symptoms.

2. Training on laws and regulations on driving while under the influence and operating a watercraft or snowmobile under the influence. (Section 15-40(i)(3)(ii) of the Act) This topic shall specifically include information on possible penalties for refusing a chemical test and the level of concentrations of tetrahydrocannabinol that can form the basis for a driving under the influence conviction;

3. Sales to minors prohibition. (Section 15-40(i)(3)(iii) of the Act) This topic shall include penalties levied under Section 10-20 of the Act and Section 6-20 of the Illinois Liquor Control Act of 1934 [235 ILCS 5].

4. Quantity limits on sales to purchasers. (Section 15-40(i)(3)(iv) of the Act) This topic shall include information on the purchasers and patient limits as provided in Section 10-10 of the Act and Section 10(a) of the Compassionate Use of Medical Cannabis Program Act [410 ILCS 130];

5. Acceptable forms of identification. (Section 15-40(i)(3)(v) of the Act) This topic shall specifically include information on the acceptable forms of identification for:

A) Verifying age as provided in Section 10-20(e) of the Act;

B) Verifying residency;

C) The forms of identification that cannot serve as evidence of the purchaser's state of residence; and

D) Information on the proper methods for checking an ID.

6. Safe storage of cannabis, including information about preventing the accidental consumption by minors by storing cannabis in a locked place and/or in child resistant containers; (Section 15-40(i)(3)(vi) of the Act)

7. Compliance with all inventory tracking system regulations. (Section 15-40(i)(3)(vii)) This topic shall include information regarding the requirements of Section 15-75 of the Act and shall explain the difference between the State Verification System and any commercial inventory system a dispensing organization may use to track inventory. Additionally, this topic must highlight the importance of verifying the physical inventory in the dispensary against the inventory reported in the State Verification System;

8. Waste handling, management, and disposal. (Section 15-40(i)(3)(viii) of the Act) This topic shall include information on the proper disposal and destruction of cannabis waste in accordance with Section 15-90 of the Act;

9. Health and safety standards. (Section 15-40(i)(3)(ix) of the Act) This topic shall include information including, but not limited to, the following: safe and healthy working conditions for employees including worker rights and protections guidance issued by the Occupation Safety and Health Administration, and health and safety guidelines issued by the Illinois Department of Public Health and local health departments. It shall also include information regarding any specific cannabis-related public health and safety standards, guidelines, mandates, or orders that may be in place at the time of the training;

10. Security surveillance requirements. (Section 15-40(i)(3)(xi) of the Act) This topic shall specifically include information on where surveillance cameras should be located in a dispensary to ensure that all required areas are covered and where cameras are prohibited by law (e.g., bathrooms and locker rooms). Additionally, this topic shall include information regarding the Department's and Illinois State Police's (ISP's) ability to access all surveillance cameras remotely and at any time, and that all recordings must be saved for a period of a least 90 calendar days;

11. Permitting inspections by State and local licensing and enforcement authorities. (Section 15-40(i)(3)(xii) of the Act) This topic shall specifically include instruction on allowing inspections by the Department, ISP, and local law enforcement officials, and the best practices for verifying with the relevant agencies that those individuals are authorized to inspect the dispensary;

12. Purchaser privacy. This topic shall specifically include instruction on HIPAA protections for medical cannabis patients, the prohibition on collecting an adult use purchaser's personal information without the purchaser's consent, and maintaining a purchaser's confidentiality; and

13. Packaging and labeling requirements. This topic shall include the packaging and labeling information provided in Section 55-21 o the Act and 8 Ill. Adm. Code 1000.420 or their successor provisions.

b) Providers have a continuing obligation after they are approved to update their curriculum within 30 calendar days of the effective date of any amendment to the Act or this Part that alters the accuracy of their curriculum. Any updates to the curriculum shall be submitted to the Department for approval before the provider includes the amended curriculum in its course.

c) After a provider has been approved, it may update its curriculum to reflect changes in the industry, scientific knowledge, or for any other reason. Any updates to the curriculum must be submitted to the Department for approval before the provider includes the amended curriculum in its course.

d) Failure to submit any updated materials, as required in subsections (b) and (c), may result in the Department rescinding its approval of the provider.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.120 Programmatic Requirements

a) To maintain approval by the Department, a responsible vendor provider must meet the following requirements:

1. Provide a safe and secure environment for responsible vendor instruction, which may include in-person, live-streamed, or pre-recorded classes, or a mix of the above.

2. Provide a pre-test and post-test to participants to assess the program's effectiveness and to assess any increase in knowledge in the curriculum areas described in Section 1291.110. The responsible vendor provider shall make a copy of the pre-test, post-test, or a copy of any individual's examination or related records available to the Department upon request. Passage of the written examination shall require a score of 70%. A participant who fails to score at least 70% on the post-test shall not receive a certificate of proof of completion.

3. Maintain a roster of individuals who have completed a responsible vendor program. The roster shall include the participant's name, address, telephone number, employers, and date of birth of each individual who completed the program, including those who passed and failed the program, and the date each individual completed the program. The roster shall be made available to the Department upon request.

4. Issue a certification of completion to each individual who successfully completes the program indicating that the individual has completed an approved Department responsible vendor training program. The certification must include:

A) Individual's first and last name;

B) Number of completed hours of instruction;

C) Trainer's name;

D) Date of completion;

E) Name of the approved responsible vendor provider; and

5. Submit a semi-annual report to the Department by July 15 for the reporting period of January 1 through June 30 and by January 15 for the reporting period of July 1 through December 31. Each report shall contain the following information:

A) The number of participants trained during the reporting period;

B) The number of classes scheduled and completed during the reporting period and the locations of each class;

C) The total fees charged by the provider during the reporting period; and

D) The number of dispensaries represented by participants completing a responsible vendor program and the respective counties of those dispensaries.

6. Submit a fee schedule indicating the cost of the program, if any. The responsible vendor provider must notify the Department within five business days of any change to the fee schedule.

7. Notify the Department before a new trainer begins providing instruction of the provider's responsible vendor program. The notification shall include:

A) The name of the responsible vendor provider;

B) The name of the trainer;

C) The trainers' resume and/or a curriculum vitae;

D) A written statement detailing the trainer's relevant experience; and

E) A signed statement from the trainer attesting that they do not hold an ownership interest in a cannabis business establishment.

b) The Department may attend any in-person or remote, real time online video instruction at any time. Upon request, a provider must make any login information or class places and times available to the Department.

c) Failure to comply with this Section or any other provisions of the Act or this Part will result in the Department withdrawing its approval.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.130 Responsible Vendor Provider Recordkeeping

a) Responsible vendor providers' records shall be maintained electronically and be available for inspection by the Department upon request. The Department may audit any records held by the responsible vendor at any time.

b) Responsible vendor providers shall develop recordkeeping policies and procedures consistent with this Part.

c) Responsible vendor providers shall retain all records for at least three years from the date of creation and shall include, but not be limited to, the following:

1. Program training materials;

2. Enrollment rosters and training records for registrants – records must include registrants who successfully completed the program and those who did not complete or failed the program;

3. Completed program certificates for each successful individual;

4. Storage and transfer of records. If a responsible vendor provider ceases operations due to insolvency, revocation, bankruptcy or for any other reason, all records must be preserved at the expense of the responsible vendor for at least three years in a form and location in Illinois acceptable to the Department. The provider shall retain the records longer if requested by the Department. The provider shall notify the Department of the location where the records are stored or transferred;

5. Approval notifications from the Department; and

6. All other records, policies, and procedures required by the Act and this Part.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.140 Closure of an Approved Program

The following procedures shall be followed for closure of an approved responsible vendor provider and removal from the approved list. The responsible vendor provider shall:

a) Notify the Department, in writing, postmarked or emailed at least 30 calendar days in advance of the closing date.

b) Notify individuals who have completed or are in the process of completing the program of the closure at least 15 calendar days in advance of the closing date and of the location where their completion records will be maintained for at least three years from the closing date.

c) Stop enrolling individuals immediately and provide refunds in the full amount of the program's fee to individuals who will be unable to complete the program.

d) Notify the Department in writing the names of the persons responsible for the maintenance of records for at least three years from the date of closure.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.200 Cosmetic and Non-Cosmetic Changes to Dispensing Organization Operations

a) Cosmetic changes to a dispensary do not require Department approval.

b) Cosmetic changes are changes made to the physical appearance of the dispensing organization not requiring structural changes to the building. Cosmetic changes include, but are not limited to:

1. Painting;

2. Decorations;

3. Movement of furniture or shelfing that does not block the view of an existing security camera;

4. Movement of any non-cannabis products such as clothing or stickers; or

5. Movement of the storage of any non-cannabis products.

c) A dispensing organization must obtain the Department's approval before making any non-cosmetic changes to the dispensary.

d) Approval for any proposed non-cosmetic change must be requested by the dispensing organization in writing in a form or manner prescribed by the Department. If the Department does not approve the proposed non-cosmetic changes, the dispensing organization is prohibited from undertaking those changes.

e) For the purposes of this Section, non-cosmetic changes include, but are not limited to:

1. any change which blocks the view of an existing security camera;

2. any structural or non-structural change to the dispensing organization's floorplan;

3. any change of the square footage of the dispensary;

4. any structural change to the vault where cannabis or cannabis-infused products are stored;

5. the sealing off, creation of or relocation of a common entryway, doorway, passage or other means of public ingress and/or egress, when the common entryway, doorway, passage, or window alters or changes limited access areas, such as the cultivation, harvesting, manufacturing, testing, or sale of cannabis within the dispensing organization;

6. any change which requires a local government permit; or

7. any physical modification to the dispensary that impacts the operation of the dispensary in a manner inconsistent with the plans previously submitted and approved by the Department.

f) This Section does not exempt dispensing organizations from complying with any local licensing authority or local jurisdiction requirements regarding changes, alterations, or modifications to the dispensary.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.210 Change of a License's Entity or Ownership or Control Structure and the Sale or Transfer of a License

a) A license issued by the Department shall be valid only for the specific dispensing organization identified on the application and for the specific location proposed and approved by the Department.

b) Any proposed change of ownership or sale or transfer of a license must be requested by the dispensing organization in a form or manner prescribed by the Department. Upon review, the Department will approve a proposed change of ownership or sale or transfer of a license that complies with the Act and this Part. If the Department does not approve of the proposed changes, the dispensing organization is prohibited from undertaking those changes.

c) The Department shall receive approval from the current dispensing organization to engage with the buyer regarding the Department's review and approval of any change of ownership or sale or transfer of a license. Approval shall be on a form or manner provided by the Department and made readily available on its website.

d) As used in this Section, a "sale" includes but is not limited to a transaction to acquire at least 51% of the dispensing organization licenses between an existing license holder and a buyer that is not already registered as a principal officer on the affected licenses.

e) As used in this Section, a "transfer" includes but is not limited to a transaction to acquire a dispensing organization license, which results in a change of at least 51% of the ownership structure of the dispensing organization, between persons that are already registered as principal officers on the affected licenses. A "transfer" shall not include a reallocation as described in Section 1291.213(c).

f) As used in this Section, a "change of ownership" means any or all of the following, or any combination thereof:

1. Any action which results in a change of at least 51% of the ownership structure of the dispensing organization;

2. A change in an employee identification number (EIN) associated with the dispensing organization;

3. The addition of a person that will have a revenue sharing arrangement with or assume the responsibility for the debts of the dispensing organization;

4. Any agreement or contract between a dispensing organization and a third-party MSC in which the MSC offers its services or expertise to the dispensing organization through an instrument, such as a management service agreement that does not otherwise meet the exception for a consultant or conditional management service agreement under Section 1291.214. If an agreement or contract between a dispensing organization and a third-party exists that does not meet the limited exception under Section 1291.214, then all individuals who meet the definition of a principal officer under Section 1291.30 and the Act shall be approved by the Department prior to the agreement or contract taking effect; or

5. Any action which indicates a change in control over the dispensing organization. In evaluating whether a person exerts "control" over a dispensing organization, the Department will consider the totality of the evidence, including, but not limited to, the following or any combination thereof:

A) Any action which results in a person owning or controlling at least 51% of the dispensing organization that does not otherwise qualify for an exemption under Section 1291.213, if any;

B) The person's ability to materially influence and direct the operational and managerial decisions of the dispensing organization including but not limited to corporate decision-making, employment decisions, product selection, access to security systems, advertisement decisions;

C) The person is an immediate family member of one or more persons in control of the dispensing organization and has a common purpose or motive relating to their collective ability to materially influence and direct the operational and managerial decisions of the dispensing organization. An "immediate family" member as used herein shall mean a spouse (other than a spouse who is legally separated from the individual under a decree of divorce or separate maintenance), parents, siblings, and children whether by blood, marriage or adoption; or

D) The person has the ability to control the proxy machinery or to win a proxy contest;

E) The person is a primary creditor or a guarantor, such as through a loan or guaranty agreement, of the dispensing organization. As used in this subsection "primary creditor" means a person who would receive an ownership interest requiring registration as a Principal Officer in a dispensing organization upon a default of a loan or other similar agreement.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.211 Required Documents and Actions for Change of Ownership or Sale or Transfer of a License Application

a) When requesting approval for a change of ownership or sale or transfer of a license, the following documents or information shall be included as part of the application for approval. The Department may request any other documents or information to aid its review of the proposed transaction and dispensing organizations are required to produce any document or information the Department requests.

1. Written narrative identifying each impacted license, the current ownership of each impacted license, the nature of the proposed transaction, and the proposed new ownership structure as a result of the proposed transaction;

2. An illustration of the proposed transaction that demonstrates the pre-transaction structure, the transaction, and the post-sale structure;

3. Purchase or transaction agreement;

4. Operating agreement of the buyer that will hold the licenses if approved;

5. Articles of incorporation of the buyer that will hold the licenses if approved;

6. If the buyer operates any cannabis businesses within any non-Illinois jurisdiction, certification from the jurisdiction of any non-Illinois regulatory body stating the date of issuance of the license, and whether the records of the regulatory body contain any record of disciplinary action taken or pending, or proof from the buyer that after reasonable attempts the buyer was unable to obtain certification;

7. Letters of good standing from the jurisdiction in which the buyer is incorporated in, or proof from the buyer that after reasonable attempts the buyer was unable to obtain certification;

8. Table of Organization, Ownership, and Control of the post-transaction ownership structure. The table shall identify all intended proposed principal officers and entities that through direct or indirect means, will manage, own, or control the interest and assets of the license or medical registration holder. If the entities have boards, all board members shall be identified. The Table of Organization, Ownership and Control shall also identify the following information:

A) The proposed new management structure including:

i) the name of each business entity;

ii) the office or position held by each individual;

iii) the percentage ownership interest of each individual and business entity; and

iv) if the business entity has a parent company, the name of each parent company's principal officers and the percentage ownership interest.

B) All business entities identified in the table must identify each individual's title and ownership share, regardless of whether they meet the definition of a principal officer.

C) If a business entity identified in the table is a publicly traded company, the following information shall be provided in the Table of Organization Ownership and Control:

i) The name and percentage of ownership interest of each individual or business entity with ownership of more than 5% of the voting shares of the entity, to the extent the information is known or contained in 13D or 13G U.S. Securities and Exchange Commission filings.

ii) To the extent known, the names and percentage of interest of ownership of persons who are relatives of one another and who together exercise control over or own more than 10% of the voting shares of the entity.

9. All proposed principal officers shall submit a principal officer application in compliance with Section 1291.30;

10. If a trust has any interest in a dispensing organization license, the dispensing organization must disclose to the Department the trustee and all beneficiaries of/participants in the trust, on a form or manner prescribed by the Department. Trust beneficiaries and participants that meet the definition of a principal officer must register as principal officers. The Department may not approve a trust if any trust beneficiary or participant is a person that is otherwise prohibited from having an ownership interest in the entity.

11. Any relevant financial or ownership disclosures of the buyer, including, but not limited, to any documents involving guaranties, trusts, financing agreements, convertible debt arrangements, employment agreements, stock options, warrants, grants, buy-sell agreements, inheritance, and/or gifting;

12. Updated license materials, such as any amended policies and procedures, and any other changes that may be made in accordance with Subpart D;

13. Any dispensary name registrations, such as a DBA (doing-business-as);

14. Federal tax identification issuance letter from the IRS for any entities holding ownership of the licenses post-transfer;

15. If change of ownership or sale or transfer involves a license that was required to submit a community engagement plan as part of licensure, the buyer must provide a community engagement plan that is the same or similar to the one provided as part of the licensee's application (see Section 15-60(h) of the Act); and

16. The Department may waive the submission of certain documents upon a showing of a good faith attempt to comply, which may include a written explanation of the steps taken to acquire those documents or why the submission of documents would be not applicable.

b) If the Department determines the application materials and proposed new principal officer applications are complete, it will perform a site inspection of the dispensaries before approving the sale and issuing the new dispensing organization licenses. In determining the scope of this inspection, the Department may consider the history for compliance of the dispensing organization and whether the dispensing organization is subject to any ongoing monitoring.

c) All outstanding Department-imposed fees and fines on the current license numbers must be paid to the Department before the change of ownership or sale or transfer of a license is approved.

d) The seller shall deliver all business, training, and operational records to the buyer. The buyer shall retain those records for five years from the transfer date.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.212 Prohibitions and Denials

a) The Department may deny a request for a change of ownership or sale or transfer of a dispensing organization license for reasons including, but not limited to, the following:

1. The entity is attempting to sell or transfer a Conditional Adult Use Dispensing Organization License.

2. The entity is attempting to sell or transfer an Early Approval Adult Use Dispensing Organization License ("same-site") issued under Section 15-15 of the Act and Early Approval Adult Use Dispensing Organization Licenses at secondary sites ("secondary site") issued under Section 15-20 of the Act.

3. The proposed principal officers, entity, or entity's owners held a cannabis-related registration and/or license that has been subjected to an adverse action by any licensing jurisdiction in the United States or any foreign jurisdiction, any governmental agency, any law-enforcement agency, or any court;

4. The proposed principal officers, entity, or entity's owners, employees, agents or representatives submitted information to the Department that was deceptive, misleading, false, or fraudulent or that tended to deceive or create a misleading impression whether directly or by omission or ambiguity;

5. The proposed principal officers, entity, or entity's owner, employees, agents, third-party agents, independent contractors, or representatives made statements to any regulatory or governmental authority that are deceptive, misleading, false, or fraudulent, or that tend to deceive or create a misleading impression, whether directly, or by omission or ambiguity;

6. The proposed principal officers, entity, or entity's owners have a conviction for distribution of a controlled substance to a minor;

7. The proposed principal officers, entity, or entity's owners conduct in Illinois or another jurisdiction posed or could pose a risk to the public health, safety, or welfare; and the risk posed by the proposed new ownership entity actions relates or could relate to the operation of a cannabis business;

8. The proposed principal officer's entity, or entity's owners have engaged in unprofessional or unethical conduct in Illinois or any jurisdiction, regardless of whether such conduct has resulted in any litigation, discipline, adverse action, or settlement;

9. The entity did not commit to the same or similar community engagement plan provided as part of the original dispensing organization's application; or

10. The change of ownership or sale or transfer of the license would result in a single person or entity having a direct or indirect financial interest in more than 10 dispensing organization licenses, as prohibited by 410 ILCS 70/15-36(c).

b) Buyer may agree to accept any Department-initiated encumbrances a dispensing organization license may have besides a formal complaint initiated against the license. If the dispensing organization licensee involved in a proposed change of ownership or sale or transfer has a complaint filed against it by the Department prior to or during the Department's review of the transaction, then the Department's review of the change of ownership or sale or transfer of a license shall cease until the corresponding case of the formal complaint is resolved.

c) If the seller entered into an agreement with the Department, such as a consent order or a non-disciplinary action as defined in Section 1291.60, the agreement may, with the buyer's consent, transfer to the buyer and the new dispensing organization license number unless otherwise resolved prior to the approval of the change of ownership or sale or transfer of a license.

d) A buyer or seller may withdraw a change of ownership or sale or transfer of a license request at any time with notice provided to the Department in writing. The Department shall inform the other party of the withdrawal in writing within five calendar days after receiving the notice.

e) If a dispensing organization fails to respond to a request or inquiry of the Department regarding a proposed change of ownership or sale or transfer within 90 calendar days of the request or inquiry, the change of ownership or sale or transfer of a license will be considered withdrawn and the Department will provide written notice to both buyer and seller. Any fees paid are non-refundable and shall be paid at the time of application.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.213 Exceptions to the Change of Ownership Request Requirement

The Department will consider the following to not be a change of ownership or sale or transfer of a dispensing organization license:

a) Death, Incapacity, and Receivership of a Principal Officer. The death, incapacity, or receivership of a principal officer may not result in the change of ownership or sale or transfer of the licenses for fee purposes, however; the dispensing organization shall notify the Department of the affected principal officer within 10 business days of that principal officer's triggering event. The dispensing organization shall provide the Department any updated necessary policies and procedures, Tables of Organization, Ownership, and Control, and any other documents the Department may require related to the change of ownership event.

b) Conversion. A dispensing organization may combine with or convert, including, but not limited to, under the Entity Omnibus Act [805 ILCS 415], for the exclusive purpose of changing its entity jurisdiction to one of the states or territories of the United States or the District of Columbia, its entity type or change the legal name of an entity without filing a change of ownership or sale or transfer of a license request. This exception applies only if the principal officers' interests will remain the same after the combination, conversion, or change of legal name, and there will not be any new principal officers (individuals or entities). Within 14 calendar days of the combination, conversion, or change of legal name the dispensing organization must submit the following to the Department:

1. A copy of the transaction documents;

2. A copy of any documents submitted to the Illinois Secretary of State;

3. A copy of any document submitted to the Secretary of State or similar regulator of another state if the entity is organized under the laws of a state of the United States other than Illinois, a territory of the United States, or the District of Columbia;

4. Identification of the dispensing organization's or principal owners' registered agents; and

5. Identification of any principal officer for which disclosure is required by Section 1-10 of Act and 68 Ill. Adm. Code 1291.10.

c) Reallocation of Owner's Interests Among Remaining Principal Officers. A dispensing organization may reallocate the ownership interests among existing principal officers if it provides notification of the reallocation to the Department and there are no new principal officers, or the reallocation does not otherwise result in a change of ownership or sale or transfer of the license pursuant to Section 1291.210. A reallocation must meet the following requirements:

1. The interests being reallocated results in a change of less than 51% of the ownership structure of the dispensing organization;

2. All interests are reallocated to other existing principal officers;

3. Only consensual reallocations where all principal officers whose ownership percentages will change agree to the reallocation. Proof that the transfer was consensual may include that it was done in accordance with any bylaws, membership agreement, or other similar business entity documents agreed to by the owners or per affirmation.

4. If any principal officer will not hold any interest or remain a principal officer in a dispensing organization following the reallocation, that principal officer shall return their dispensing organization agent ID card to the Department in accordance with Section 15-40(d) of the Act; and

5. All principal officers remain responsible for all actions of the dispensing organization while they were a principal officer and are subject to administrative action based on the same regardless of the reallocation.

d) Dissolution of Intermediary Companies. The dissolution of any intermediary companies of a licensee shall not be considered a change of ownership or sale or transfer of a license so long as the ultimate parent company of the license holding entity or entities remains the same, the ownership percentages of the existing principal officers remain the same, and no new intermediary companies or principal officers are added to the existing ownership structure. If any holding companies of a dispensing organization are dissolved, the licensee shall submit an updated Table of Organization, Ownership, and Control to the Department for the Department's approval prior to any change taking effect.

e) Addition of Intermediary Companies. The addition of any intermediary companies of a licensee shall not be considered a change of ownership or sale or transfer of a license so long as the ultimate parent company of the license holding entity or entities remains the same, the ownership percentages of the existing principal officers remain the same, and no new principal officers are added to the existing ownership structure. If any holding companies are added to the ownership structure of a dispensing organization, the licensee shall submit an updated Table of Organization, Ownership, and Control to the Department for the Department's approval prior to any change taking affect.

f) Change of Executive Officer or Member of the Board of Directors. A change of ownership or sale or transfer of a license application is not required for the removal or addition of an executive officer or member of the board of directors of a dispensing organization so long as the change does not otherwise qualify as a change of ownership or sale or transfer of a license as outline in Section 1291.210. However, the addition of an executive officer or member of the board of directors must be approved by the Department as a principal officer in accordance with Section 15-60(b) of the Act prior to any change taking effect.

g) A Consultant or Conditional Management Service Agreement ("CMSA") or Other Similar Agreement That Is Executed Pursuant to Section 1291.214. If a CMSA or similar agreement is submitted for review with terms that are not substantially similar to those outlined in Section 1291.214, the agreement or contract will be considered a change of ownership or sale or transfer of a license pursuant to Section 1291.210 and must proceed through the process outlined in Section 1291.211.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.214 Consultant and Conditional Management Service Agreements Exception

a) Pursuant to this Section, a dispensing organization or conditional licensee and a management services contractor may contract for a consultant or Conditional Management Service Agreement ("CMSA") that does not qualify as a change of ownership or sale or transfer of a license under Section 1291.210 such that any contractors are required to register as a principal officer of the underlying licenses.

b) Services provided under a CMSA may include, but are not limited to, management or supervision, operations, technical assistance, consulting, hiring employees, accounting, recordkeeping, leasing of equipment or real or intellectual property, and provision of goods or materials.

c) A CMSA is prohibited from being sold, assigned, or otherwise transferred to a third-party.

d) Prior to the execution of any CMSA submitted pursuant to this Section, a dispensing organization or conditional licensee shall submit to the Department:

1. A third-party authorization form;

2. A copy of the CMSA and any related agreements between the parties; and

3. The operating agreement of the management services contractor.

e) Dispensing organizations and conditional licensees must get approval from the Department prior to execution of a CMSA.

f) Dispensing organizations and conditional licensees must obtain approval from the Department prior to making any material changes to a CMSA. Prior to any material change to a CMSA, the dispensing organization or conditional licensee must submit to the Department, a copy of any proposed material changes to the Management Services Agreement and any related agreements between the parties, any proposed material changes to information detailing any renumeration paid, or to be paid, to the management services contractor by the dispensing organization; and any proposed material changes to any previously required submissions.

g) A CMSA must clearly identify the licenses it applies to and contain the following provisions to be approved by the Department in order to qualify for this exception:

1. The terms of the CMSA shall include a single, fixed fee and are prohibited from including percentage-based commissions, profit-sharing, or interest rates;

2. A CMSA shall acknowledge that the management services contractor and its owners, principals, and staff who are engaged, directly or indirectly, in operating the cannabis business, are supervised in those operations by the dispensing organization and its principal officers;

3. A CMSA shall acknowledge that the management services contractor and its owners, principals, and staff do not have a security interest in the conditional license;

4. A CMSA shall acknowledge that the management services contractor and its owners, principals, and staff do not have an ownership interest or any right, including a future or contingent right, to obtain any ownership interest in the dispensing organization or conditional license; and

5. A CMSA for a Conditional Licensee shall automatically terminate upon the Conditional Licensee being issued its 15-36 License. The term of the CMSA for a 15-36 Licensee shall not exceed five years.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.215 Death, Incapacity, and Receivership of a Principal Officer

a) In the event of the death, incapacity, receivership, or other event rendering one or more principal officer incapable of performing the duties associated with the license, the principal officer, principal officers' successor in interest (e.g., appointed guardian, executor, administrator, receiver, trustee), or dispensing organization shall notify the Department in writing within 10 business days of the triggering event. The notification shall be supported by proof, such as a death certificate or court order, and shall be on a form or manner prescribed by the Department.

b) As soon as reasonably possible after a triggering event described in subsection (a), and in order to continue the operations of the dispensing organization, the Department may approve a successor in interest to act on behalf of the affected principal officer. As used in this subsection, "successor in interest" is an individual who has the authority to act on behalf of the affected principal officer (e.g., appointed guardian, executor, administrator, receiver, custodian, trustee), as documented by a court order or other similar document appointing guardianship, receivership, administration or through a will or trust. The successor in interest is subject to all terms and conditions under which a principal officer is held to, however, the Department's approval of the successor in interest creates no vested right to the future approval as a principal officer for the successor in interest. The Department may approve a successor in interest if the individual or the dispensing organization submits the following:

1. The name of the successor in interest;

2. The name of the principal officer for which the successor in interest is succeeding along with the corresponding principal officer license numbers;

3. The phone number, mailing address, and email address of the successor in interest; and

4. Documentation demonstrating the following:

A) That the principal officer is incapable of performing the duties associated with the license including, but not limited to, a death certificate or court order;

B) That the successor in interest is at least 21 years of age;

C) That the successor in interest is not delinquent in filing any required tax return or paying any amount owed to the State of Illinois as evidenced by the Illinois Department of Revenue;

D) That the successor in interest is the principal officers' legal successor as evidenced by documentation such as a court order appointing guardianship, receivership, or a will or trust agreement;

E) An attestation that naming the successor in interest will not have the effect of granting any of the owners or principal officers, including the successor in interest, direct or indirect ownership or control of more than 10 adult use dispensing organization licenses; and

F) If the affected principal officer's ownership interest is held by a trust, that trust shall be disclosed to the Department within 10 business days of the trust receiving the impacted ownership interest in compliance with the trust disclosure parameters in Section 1291.30.

c) The Department will provide an approved successor in interest written approval to continue operations for a specific period of time.

d) The Department may request an updated Table of Organization, Ownership, and Control in order to reflect a successor in interest.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.220 Relocation of an Early Approval Adult Use Dispensing Organization

License at a Same Site

a) Early Approval Adult Use Dispensing Organizations ("Same-site Licensee") whose licenses were issued pursuant to Section 15-15 of the Act may submit an application on forms provided by the Department to relocate their dispensary.

1. Same-site Licensees who apply to relocate their dispensaries to a new location pursuant to this Part may be approved, subject to all other statutory and administrative requirements, if:

A) the proposed location is within the same geographic district, as those geographic districts are defined in 68 IAC 1290.20, as the Same-site Licensee’s existing associated medical cannabis dispensing organization registration issued under the Compassionate Use of Medical Cannabis Program Act is authorized to operate; and

B) the Same-site Licensee’s existing location is within the boundaries of a unit of local government that prohibits the retail sales of adult use cannabis; or

C) the Same-site Licensee has obtained a signed statement from a city manager, village president, mayor, corporate counsel, or other official from the unit of local government where it is located approving the Same-site Licensee to relocate to another location within that unit of local government. If the unit of local government is a county, it must obtain signed statements from the county executive, county president, corporate counsel, or other official from the county board where it is located approving the Same-Site Licensee to relocate to another location within that county.

2. The Same-site Licensee shall submit the fee required for the relocation of its existing associated medical registration. This is the only fee required for the Same-site Licensee to relocate under this Section.

b) The Department shall approve or deny an application to relocate under subsection (a) within 30 days after receiving a completed application.

c) If the Department does not approve or deny an application to relocate under subsection (a) within 30 days after receiving a completed application, the application shall be deemed to be approved.

d) If the Department denies an application to relocate pursuant to subsection (a), it shall do so in writing and provide a specific reason for the denial.

e) An application to relocate shall be deemed complete upon submission of all documents (e.g., zoning approval) required by the application form provided by the Department.

f) If, upon reviewing the application, the Department discovers any documentation required by the Department’s application to relocate are missing, the Department may request the missing documentation. In this case, the application is not complete until the missing documentation is submitted.

g) After receiving the Department’s approval to relocate under subsection (a), the Same-site Licensee shall submit floorplans of the new location for the Department’s approval in a form or manner prescribed by the Department and the Act. The Department shall approve or deny the floorplans within 10 business days of the Department's receipt of the floorplans.

h) Prior to the commencement of operations at a new location that was approved by the Department under subsection (a), the Same-site Licensee must also pass a building and site inspection conducted by the Department to ensure compliance with the Act. The Same-site Licensee shall request a building and site inspection of the new site on forms provided by the Department. The Department shall schedule a building and site inspection within 10 business days upon receiving the Same-site Licensee's request for a building and site inspection.

History

• Source: Added at 46 Ill. Reg. 2660, effective January 28, 2022

68 Ill. Adm. Code 1291.225 Relocation of an Adult Use Dispensing Organization License

a) Adult use dispensing organization licenses issued in a specific BLS region shall remain in that BLS region, even if the license changes its ownership or is sold or transferred, unless the Act specifically allows a license to change BLS regions pursuant to Section 15-25(e-5) of the Act.

b) Adult use dispensing organizations whose licenses were issued pursuant to Section 15-15 or Section 15-36 of the Act may submit an application on forms provided by the Department to relocate their dispensary.

c) Dispensing organizations that apply to relocate a dispensary to a new location pursuant to this Section will be approved, subject to all other statutory and administrative requirements, if:

1. The proposed location is within the same BLS region, as defined in 68 Ill. Adm. Code 1291.10 that the dispensing organization's corresponding conditional license was awarded in; or

2. The proposed location is in the same geographic district as those geographic districts are defined in 68 Ill. Adm. Code 1290.20, if the original dispensing organization license was issued pursuant to Section 15-15 of the Act; and

3. The adult use dispensing organization shall submit the fee required for the relocation of its existing associated medical registration. This shall be the only fee required for the same-site licensee to relocate.

d) The Department shall approve or deny an application to relocate under subsection (b) within 30 calendar days of receiving a completed application.

e) If the Department does not approve or deny an application to relocate under subsection (a) within 30 calendar days of receiving a completed application, the application shall be deemed to be approved.

f) If the Department denies an application to relocate pursuant to subsection (a), it shall do so in writing and provide a specific reason for the denial.

g) An application to relocate shall be deemed complete upon submission of all documents required by the application form provided by the Department.

h) If, upon reviewing the application, the Department discovers any documentation required by the Department's application to relocate is missing, the Department will request the missing documentation. In this case, the application is not complete until the missing documentation is submitted.

i) After receiving the Department's approval to relocate under subsection (a), the adult use dispensing organization license shall submit floorplans of the new location for the Department's approval in a form or manner prescribed by the Department. The Department shall approve or deny the floorplans within 10 business days of the Department's receipt of the floorplans.

j) Prior to the commencement of operations at a new location that was approved by the Department, the adult use dispensing organization license must also pass a building and site inspection conducted by the Department in accordance with Section 15-60(j)(5) of the Act. The adult use dispensing organization license shall request a building and site inspection of the new site on forms provided by the Department. The Department shall schedule a building and site inspection within 10 business days upon receiving the adult use dispensing organization license's request for a building and site inspection.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.230 Changes to a Conditional Adult Use Dispensing Organization License and Location Parameters

a) A conditional adult use dispensing organization license cannot be sold, transferred, or assigned and the conditional license holder cannot in any way change its ownership structure, including by removing or adding any principal officers, except in the event of the death of a principal officer.

b) Notwithstanding subsection (a), this prohibition does not preclude third parties who are not registered as principal officers from investing in, lending to, or otherwise providing capital to the conditional adult use dispensing organization license holder.

c) Pursuant to this Section, third parties are not required to register as principal officers of the conditional adult use dispensing organization license holder so long as any third party interest cannot be realized or otherwise vest until the Conditional Adult Use Dispensing Organization License holder is issued a corresponding Adult Use Dispensing Organization License under Section 15-36. In order to realize that interest or have the interest vest, all third parties are subject to the Department's approval processes under Section 15-60(b) of the Act, either through the sale or transfer of the Adult Use Dispensing Organization License to the third party or through the third party's registration and approval as principal officer to the Adult Use Dispensing Organization License holder.

d) In order to become operational, a conditional licensee shall be issued an adult use dispensing organization license pursuant to Section 15-36 of the Act by the conditional license's expiration date.

e) In order to identify or find a physical location, a conditional licensee shall provide proof of its physical location to the Department at least 30 days prior to the conditional license's expiration date. Proof shall include, but is not limited to, one of the following:

1. proof of building ownership by the conditional licensee;

2. agreement to purchase building or lease that is dependent on zoning or state license approval;

3. signed lease for the term of the initial license; or

4. proof of zoning approval or application for zoning approval.

f) The Department may rescind a conditional license even after submitting proof in accordance with subsection (e), if, after an unreasonable time and considering the totality of the conditional license's steps towards becoming operational, the conditional licensee has not become operational as identified in subsection (d).

g) A conditional license holder shall provide evidence that the location is not within 1,500 feet of an existing dispensing organization.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.300 Security Requirements

a) A dispensing organization shall develop and implement a security plan to deter and prevent improper entry into the dispensary and theft of cannabis or currency.

b) Security measures in the plan shall include, but not be limited to, the following:

1. Establishing a locked door or barrier between the dispensary's public entrance and the limited access area;

2. Preventing individuals from remaining on the premises if they are not engaging in activity permitted by the Act or this Part. Any physical removal shall comply with State and federal laws;

3. Maintaining a policy that addresses the maximum capacity;

4. Dispensing all cannabis from the restricted access area, which may include a pass-through window into the vaults. Any pass-through window from the vault to the restricted access area shall be capable of being closed and locked when not in use and shall not contain an opening greater than 9 inches;

5. Storing cannabis during all hours in an enclosed locked room or cabinet that is accessible only to dispensing organization agents;

6. Storing cannabis during non-operational hours in a locked reinforced vault room;

7. Storing currency during non-operational hours in a locked reinforced vault room or other location in a manner as to prevent diversion, theft or loss;

8. Keeping the reinforced vault room securely locked and protected from unauthorized entry at all times;

9. Keeping an electronic daily log of dispensing organization agents who access the reinforced vault room;

10. Maintaining all locks and security equipment in good working order including a manual lock on all doors leading to the exterior of the dispensing organization;

11. Maintaining an operational security and alarm system at all times;

12. Preventing keys from being left in locks or stored in a location accessible to individuals other than specifically authorized personnel;

13. Maintaining integrity of security systems, including, but not limited to, limiting access to combination numbers, passwords or other security measures to specifically authorized agents;

14. Ensuring the dispensary interior and exterior premises are sufficiently lit to facilitate surveillance;

15. Ensuring that trees, bushes and other foliage outside of the dispensary premises do not allow for an individual or individuals to conceal themselves and that trees, bushes, and other foliage outside of the dispensary premises do not obstruct the view of the perimeter of the dispensary;

16. Developing policies and procedures for immediately securing all product and currency following any instance of diversion, theft or loss of cannabis; for conducting an investigation into the cause of the diversion, theft, or loss; and to remediate any deficiencies that may have allowed the diversion, theft, or loss to occur;

17. Developing sufficient additional safeguards in response to any special security concerns, or as required by the Department; and

18. Installing counters which separate limited access areas from restricted access areas which are at least 48" in height, except counters spanning up to 36" in length may be reduced to no lower than 33" and not higher than 36" in height. Dispensing organizations operating before January 1, 2023, are exempt from this requirement until the time that they move locations.

c) A dispensing organization shall provide additional security measures as needed and appropriate for the community where it operates. (Section 15-100(f) of the Act)

d) Restricted Access Areas

1. All restricted access areas must be identified by the posting of a sign that shall be a minimum of 12" x 12" and that states "Do Not Enter – Restricted Access Area – Authorized Personnel Only" in lettering no smaller than 1" in height.

2. All restricted access areas shall be clearly described in the floor plan of the dispensing organization, in the form and format directed by the Department, reflecting walls, partitions, counters and all areas of entry and exit. The floor plan shall show all storage, disposal and retail sales areas.

3. All restricted access areas must be secure, with locking devices that prevent access from the limited access areas. (Section 15-100(g) of the Act)

e) Security and Alarm Systems

1. A dispensing organization shall have a security system designed to monitor, prevent and detect unauthorized intrusion, and theft or loss of cannabis or currency. The system shall use commercial grade equipment and be installed by an Illinois-licensed private alarm contractor or private alarm contractor agency. The system shall include, at a minimum:

A) A perimeter alarm on all entry points to the dispensary;

B) Glass break protection and security shatterproof film on perimeter windows;

C) A failure notification system that provides an alert to designated dispensing organization agents within five minutes of any operational failure of the surveillance system. The alert must be by phone or text message;

D) A sufficient number of panic and hold up buttons and alarms, a duress alarm, and an after-hours intrusion detection alarm, each of which will directly or indirectly notify the Public Safety Answering Point ("PSAP") for the law enforcement agency having primary jurisdiction;

E) Security equipment to deter and prevent unauthorized entrance into the dispensary, including electronic door locks on the doors in or providing access to limited and restricted access areas, and devices or a series of devices to detect unauthorized intrusion. Dispensing organizations must have video surveillance capable of producing images that allow for facial recognition at each door leading to the exterior of the dispensary;

F) Video surveillance monitors with 19-inch screens or larger;

G) Video surveillance that provides unobstructed views of all enclosed dispensary areas, unless prohibited by law. The surveillance equipment used must capture the image, with clear and certain identification, of any person entering or exiting the limited access area;

H) Video surveillance that provides unobstructed views of all outside areas, the storefront, and the parking lot. The surveillance equipment used must capture the image, with clear and certain identification, of any person entering or exiting the dispensary, the immediate surrounding area, and the license plates of vehicles in the parking lot;

I) Video surveillance at each point-of-sale terminal which captures the sale, the individuals, and the computer monitors used for the sale. The surveillance equipment used must capture the image, with clear and certain identification of any person involved in the sale;

J) Video surveillance, available for immediate viewing by the Department, that provides 24-hour recordings which are correctly time and date stamped. Recordings shall be retained for no less than 90 calendar days, and may not be deleted without Department approval if the dispensing organization is aware of the loss or theft of cannabis; a pending criminal, civil or administrative investigation; or a legal proceeding for which the recording may contain relevant information;

K) Video surveillance that will immediately and at any time produce a clear, color still photo from the surveillance video, either live or recorded;

L) Video surveillance that will export still images in a JPG, BMP, GIF, or JPEG image format. Exported video shall have the ability to be archived in a format that ensures authentication of the video and guarantees that no alteration of the recorded image has taken place. Exported video shall also have the ability to be saved in a file format that can be played on a standard computer operating system.

M) Any video surveillance that is required to produce facial recognition compliant images shall be at a minimum of 80 pixels per camera.

2. All security system equipment and recordings shall be maintained in good working order, in a secure location so as to prevent theft, loss, destruction or alterations.

3. Access to surveillance monitoring recording equipment shall be limited to persons that are essential to surveillance operations, law enforcement, security system service personnel and Department personnel. A current list of authorized dispensary agents and service personnel that have access to the surveillance equipment must be available to the Department upon request.

4. All security and video surveillance equipment shall be inspected and tested at regular intervals, not to exceed one month from the previous inspection and test to ensure the systems remain functional.

5. The security system shall provide protection against theft and diversion that is facilitated or hidden by tampering with computers or electronic records.

6. In the event of a power outage, the dispensary shall ensure all access doors remain secure and any video surveillance system remains fully operational for no less than four hours.

7. The dispensing organization must immediately report any security system outage to the Department, including, but not limited to, any loss of video recordings, and must submit an outage report in the form and format directed by the Department within five calendar days after the outage.

f) All electronic video surveillance monitoring must record at least the equivalent of 8 frames per second and be available to the Department and ISP 24 hours a day in real-time via a secure web-based portal with reverse functionality.

g) A dispensary shall have a reinforced vault built to the specifications of this subsection (g), unless it is a dispensing organization which operated before January 1, 2023. Dispensing organizations which operated before January 1, 2023, are exempt from this subsection (g) until the time that they move locations:

1. The walls, floors, and ceilings of a vault shall be constructed of:

A) At least 8" of reinforced concrete; or

B) All of the following:

i) 18-gauge studs made of galvanized sheet metal meeting requirements of American Society for Testing and Materials (ASTM) A1003;

ii) 9-gauge, Type II, Class 1 carbon steel security mesh and attachment clips meeting ASTM F1267 on either side of the studs; and

iii) Comparable materials and standards as approved by the Department.

2. The door and frame unit of the vault shall conform to the following specifications or the equivalent: 30 man-minutes against surreptitious entry, 10 man-minutes against forced entry, 20 man-hours against lock manipulation and 20 man-hours against radiological techniques;

3. A vault, if operations require it to remain open for frequent access, shall be equipped with a "day-gate" which is self-closing and self-locking, or the equivalent, for use during the hours of operation in which the vault door is open;

4. The walls or perimeter of a vault shall be equipped with an alarm, which upon unauthorized entry transmits a signal directly to a central station protection company, a local or State police agency which has a legal duty to respond or a 24-hour control station operation by the registrant; and

5. The door of a vault shall be equipped with contact switches.

h) Approved Vendor List. A dispensing organization shall submit a list to the Department of the names and contact information of all service professionals who will work at the dispensary for approval. The list shall include a description of the type of business or service provided. Changes to the approved vendor list shall be provided to the Department within five calendar days after any changes are made. No service professional shall work in the dispensary until the individual's name is provided to the Department on the approved vendor list and the Department confirms approval. A dispensing organization may permit a service professional who is not otherwise on the approved vendor list in the event of an emergency and after a good faith attempt to obtain the Department's pre-approval. In an emergency, the dispensing organization shall inform the Department as soon as possible of the event and the service professional's role. Examples of service professionals include, but are not limited to, cannabis transporters, IT professionals, security professionals, cleaning services, and other individuals whose work requires them to be within the actual dispensary.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.301 Minors Prohibited in Dispensary

a) Unless otherwise authorized pursuant to the Compassionate Use of Medical Cannabis Program Act or the Act, no persons under the age of 21 shall be allowed entry into a dispensing organization.

b) Each dispensing organization is responsible for checking and verifying customer identification prior to any customer entering the limited access area. Each dispensing organization is responsible for all individuals entering the dispensing organization.

c) Each dispensing organization shall use an electronic reader or electronic scanning device to scan a purchaser's government-issued identification if scanning the identification is possible in accordance with Section 10-20 of the Act. Government-issued identification that cannot be scanned may still be accepted at the dispensing organization's discretion.

d) Dispensing organizations may accept identification that does not contain an expiration date in order to verify the age of a purchaser, so long as the dispensing organization is otherwise able to verify the validity of the identification. This does not include an expired identification document, unless otherwise permitted by law.

e) As used in this Section, "government-issued identification" means a document issued by a unit of government, foreign or domestic, which identifies, at a minimum, the name, image, and date of birth of the Individual. "Government-issued identifications" include, but are not limited to, passports; driver's licenses; temporary visitor driver's licenses; consular identification cards; international election identification cards; tribal identification cards and indigenous reservation government identification cards; visas; permanent resident cards; and municipal, local, or state identification cards.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.305 Signage

All of the required signage in this Part shall be hung no lower than 4' and no higher than 9' from the floor unless the height restrictions are not feasible to comply with and shall not be obstructed.

a) All dispensing organizations must display placards that state the following:

1. "Cannabis consumption can impair cognition and driving, is for adult use only, may be habit forming, and should not be used by pregnant or breastfeeding women."; and

2. "Adult Use Purchasers are not required to disclose personal information to the dispensing organization in order to purchase cannabis or cannabis infused products. Dispensing organizations must allow anonymous purchases, if requested."

b) Any dispensing organization that sells edible cannabis-infused products must display placards that state the following:

1. "Edible cannabis-infused products were produced in a kitchen not subject to public health inspections that may also process common food allergens."; and

2. "The effects of cannabis products can vary from person to person, and it can take as long as two hours to feel the effects of some cannabis-infused products. Carefully review the portion size information and warnings contained on the product packaging before consuming."

c) All dispensing organizations shall prominently post notices inside the dispensing organizations identifying the following activities that are strictly prohibited and punishable by law:

1. No minors permitted on the premises unless the minor is a minor qualifying patient under the Compassionate Use of Medical Cannabis Program Act;

2. Distribution of adult use cannabis to persons under the age of 21 is prohibited;

3. Transportation of cannabis or cannabis products across state lines is prohibited;

4. Cannabis remains federally illegal; and

5. Smoking cannabis in a public place is prohibited.

d) Dispensing organizations licensed under Section 115 of the Compassionate Use of Medical Cannabis Program Act shall post the signage in subsection (c)(1) notice as written. Organizations licensed under Section 15-65 of the Cannabis Regulation and Tax Act shall post the subsection (c)(1) notice stating, "no minors permitted on the premises".

e) All of the required signage in this Part shall be no smaller than 24" tall by 36" wide, with typed letters no smaller than 2". The signage shall be clearly visible and readable by customers. The signage shall be placed in the area where cannabis and cannabis-infused products are sold and may be translated into additional languages as needed. The Department may require a dispensary to display the required signage in a different language, other than English, if the Secretary deems it necessary.

f) Handouts shall not be used in place of the required signage.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.308 Purchaser Privacy

a) Dispensing organizations are prohibited from obtaining, collecting, maintaining, recording, and/or storing a purchaser's personal information from the transaction itself without the purchaser's consent. Any identifying or personal information of a purchaser obtained or received during a transaction shall not be retained, used, shared, or disclosed for any purpose except as authorized by the Act or this Part. Dispensaries shall ensure their internal systems delete all purchaser personal information within 24 hours after any purchase is completed.

b) Personal information includes, but is not limited to, a purchaser's name, address, birthdate, and/or email address.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.310 Inventory Control System

a) A dispensing organization AIC shall have primary oversight of the dispensing organization's State Verification System and Point of Sale System. The inventory Point of Sale System shall be real-time, web-based and accessible by the Department 24 hours a day, seven days a week.

b) A dispensing organization shall establish an account with the State Verification System that documents:

1. Each sales transaction at the time of sale;

2. Each day's beginning inventory, acquisitions, sales, disposal and ending inventory;

3. All acquisitions of cannabis and cannabis-infused products from a cultivation center, craft grower, infuser, transporter, or dispensary including:

A) A description of the products including the quantity, strain, variety and batch number of each product received;

B) The name and license identification number of the cultivation center, craft grower, infuser, transporter, or dispensary providing the cannabis and cannabis infused products;

C) The name and license identification number of the cultivation center or transporter agent delivering the cannabis;

D) The name and license identification number of the dispensing organization agent receiving the cannabis; and

E) The date of acquisition.

4. The disposal of cannabis, including:

A) A description of the products being disposed, including the quantity, strain, variety, batch number and reason for the cannabis being disposed;

B) The method of disposal; and

C) The date and time of disposal.

c) A dispensing organization shall use a point of sale system that establishes and maintains an interface with the State Verification System to track the sale of cannabis, consistent with the Act and this Part.

d) Upon cannabis delivery, a dispensing organization shall confirm the product's name, strain name, weight, identification number, and quantity on the manifest matches the information on the cannabis product label and package. The product name listed and the weight listed in the State Verification System shall match the product packaging.

e) An AIC shall conduct a daily physical count of all inventory, except as permitted under subsection (e)(4) and also conduct a reconciliation documenting and balancing cannabis inventory by confirming the State Verification System matches the dispensing organization's point of sale system and the amount of physical product at the dispensary. The daily physical count shall include checking the use-by date for all inventory and quarantining any expired product.

1. A dispensing organization must receive Department approval prior to completing an inventory adjustment. It shall provide a detailed reason for the adjustment. Inventory adjustment documentation must be kept at the dispensary for two years from the date performed.

2. If, after the daily inventory reconciliation the dispensing organization identifies an imbalance in the amount of cannabis due to mistake, the dispensing organization shall determine how the imbalance occurred and, immediately upon discovery, take and document corrective action. If the dispensing organization cannot identify the reason for the mistake within two calendar days after first discovery, it shall inform the Department immediately in writing of the imbalance and the corrective action taken to date. The dispensing organization shall work diligently to determine the reason for the mistake. The dispensing organization shall complete its investigation within 10 business days. If the investigation is not complete within 10 business days, the dispensary shall notify the Department of next steps and a contemplated deadline. The Department may extend the investigation period upon a showing of good cause.

3. If, after the daily inventory reconciliation or through other means, the dispensing organization identifies an imbalance in the amount of cannabis due to theft, criminal activity or suspected criminal activity, the dispensing organization shall immediately determine the manner in which the theft or criminal activity occurred and take and document corrective action. Within 24 hours after the first discovery of the reduction due to theft, criminal activity or suspected criminal activity, the dispensing organization shall inform the Department and ISP in writing.

4. A dispensing organization is not required to perform a daily physical count of bulk cannabis inventory if stored pursuant to the requirements in this Part. The dispensing organization must verify daily that any bulk cannabis inventory meets the storage requirements of this subsection (e)(4). If the packaging of bulk cannabis inventory becomes torn or tampered with it must be recounted and resealed before the completion of the next daily physical count. Bulk cannabis inventory must be counted monthly by physically removing each item from the sealed containers, counting each item, and checking the expiration date. Bulk cannabis inventory must then be resealed and labeled with the last date it was counted. All expired product must be destroyed in accordance with Section 1291.325. For the purposes of this Section "bulk cannabis inventory" means cannabis and cannabis-infused products stored in the reinforced vault in clear, heat-sealed or taped shrink wrap bags or sheeting that is labeled with the date the inventory is sealed, the last four digits of the batch number, the number of items contained within the wrapping and the date the inventory was last counted. Bulk cannabis inventory is included in the dispensing organization's total inventory available for sale.

5. The AIC shall certify their consideration of the factors in this subsection (e)(5) on a form provided by the Department.

f) A dispensing organization shall maintain the documentation required in this Section in a secure locked location at the dispensing organization.

g) A dispensing organization shall ensure the oldest stock of cannabis and cannabis-infused product is dispensed first. A dispensing organization may deviate from this requirement upon Department approval.

h) If cannabis is abandoned at a dispensing organization, it shall be accounted for and destroyed in compliance with this Part.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.320 Returns and Refunds

A dispensing organization may create a policy allowing for the return and refund of damaged, inadequate or erroneously dispensed cannabis subject to the following provisions:

a) The policy shall not permit the resale of any returned cannabis product if the tamper-evident seal has been broken or the product has left the premises.

b) Any returned product must be entered into the State Verification System within five calendar days after the return.

c) All returned product that has either left the premises or has the tamper-evident seal broken must be destroyed in accordance with Section 15-90 of the Act.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.325 Destruction of Cannabis and Cannabis Infused Products

a) Any cannabis and cannabis-infused products to be destroyed shall be destroyed by rendering it unusable following the methods set forth in this Section.

b) Any product to be destroyed shall be destroyed on the same day and time weekly unless otherwise approved by the Department on a case-by-case basis. A dispensing organization shall notify the Department and ISP of this day and time at the initial registration inspection. Any change in the day and time must be communicated to the Department and ISP at least three business days before the implementation.

c) The allowable method to render cannabis waste unusable is by grinding and incorporating the cannabis waste with other ground materials so the resulting mixture is at least 50% non-cannabis waste by volume. Other methods to render cannabis waste unusable must be approved by the Department before implementation. Material used to grind with the cannabis falls into two categories, compostable waste and non-compostable waste.

1. Compostable Mixed Waste: Cannabis waste to be disposed as compost feedstock or in another organic waste method (e.g., anaerobic digester) may be mixed with the following types of waste materials:

A) Food waste;

B) Yard waste; or

C) Other wastes as approved by the Department (e.g., agricultural material, biodegradable products and paper, clean wood, fruits and vegetables, plant matter).

2. Non-compostable Mixed Waste: Cannabis waste to be disposed in a landfill or by another disposal method may be mixed with the following types of waste materials:

A) Paper waste;

B) Cardboard waste;

C) Plastic waste;

D) Soil; or

E) Other wastes as approved by the Department (e.g., non-recyclable plastic, broken glass, leather).

d) Cannabis waste rendered unusable following the methods described in this Section can be disposed. Disposal of the cannabis waste rendered unusable may be delivered to a permitted solid waste facility for final disposition. Examples of acceptable permitted solid waste facilities include:

1. Compostable Mixed Waste: Compost, anaerobic digester or other facility with approval of the jurisdictional health department.

2. Non-compostable Mixed Waste: Landfill, incinerator or other facility with approval the jurisdictional health department.

e) All cannabis flower product shall be weighed, recorded and entered into the State Verification System prior to rendering it unusable. This event shall be performed by an AIC, or under the supervision of the AIC, and conducted under video surveillance.

f) Electronic documentation of destruction and disposal shall be maintained for a period of at least five years.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.330 Recalls and Product Safety

a) Voluntary Recalls

1. Each dispensing organization shall have policies and procedures governing voluntary recalls of cannabis products.

2. All voluntary recall policies and procedures shall include the following at a minimum:

A) A mechanism reasonably calculated to contact purchasers who have, or likely have, obtained the product from the dispensary, including information on the policy for return of the recalled product. This may include outreach via media, as necessary and appropriate;

B) A mechanism to identify and contact the adult use cultivation center, craft grower, or infuser that manufactured the cannabis;

C) Policies for communicating with the Department, the Department of Agriculture, and the Department of Public Health within 24 hours of discovering defective or potentially defective cannabis;

D) Policies for the collection of recalled product;

E) Policies for destruction of any recalled cannabis product that comply with Section 1291.325; and

F) Entry of recalled product into the State Verification System prior to destruction. (Section 15-65 of the Act)

3. Voluntary recalls may be initiated at any time as determined by the dispensing organization.

b) Mandatory Recalls

1. The Department may require dispensing organizations to conduct a recall of a cannabis product that is adulterated, misbranded, or otherwise poses a danger to public safety.

2. The dispensing organization shall maintain policies and procedures for a mandatory recall that shall include, at a minimum:

A) A mechanism reasonably calculated to contact purchasers who have, or likely have, obtained the product from the dispensary, including information on the policy for return of the recalled product. This may include outreach via media, as necessary and appropriate;

B) A mechanism to identify and contact the adult use cultivation enter, craft grower, or infuser that manufactured the cannabis;

C) Policies for communicating with the Department, the department of Agriculture, and the Department of Public Health within 24 hours of discovering defective or potentially defective cannabis;

D) Policies for the collection of recalled product;

E) Policies for destruction of any recalled cannabis product that comply with Section 1291.325; and

F) Entry of recalled product into the State Verification System prior to destruction. (Section 15-65 of the Act)

3. The Department may issue a mandatory recall and require dispensing organizations to immediately cease distribution of a cannabis product and recall the cannabis if the Department determines both of the following:

A) The cultivation, manufacture, distribution, or sale of the cannabis or cannabis product creates or poses an immediate and serious threat to human life or health; and

B) A recall is necessary to ensure the health and safety of affected cannabis consumers.

4. The Department may require a dispensing organization to quarantine product without destruction for a minimum of 72 hours or until further notice of the Department, whichever occurs later, if the Department suspects the product is adulterated, misbranded, or otherwise poses a danger to public safety.

5. The Department may require a dispensing organization to submit cannabis product that is suspected to be adulterated, defective, misbranded, or otherwise poses a danger to public safety to laboratory testing from a testing laboratory approved by the Illinois Department of Agriculture. If the laboratory testing demonstrates the cannabis product is safe for consumption the Department may approve the dispensing organization to move the product back into active stock.

A) For the purposes of this Section, "adulterated" shall include, but is not limited to, cannabis that has been tampered with by having the tamper-proof seal broken, cannabis that has been altered after it has been packaged, or cannabis that has materially changed condition since laboratory testing.

B) For the purposes of this Section, "defective" shall have the same meaning as in Section 1291.60.

6. In ordering a mandatory recall of cannabis pursuant to this Section, the director of the Department shall issue an order to that effect, which shall also include affidavits sufficient to lay out the factual basis for the recall.

7. Whenever the Department issues a mandatory recall, an affected dispensing organization may file a request for hearing within 30 days of the recall. All requests for hearing and any associated proceedings shall follow the rules of Practice in Administrative Hearings at 68 Ill. Adm. Code 1110.

A) In the event a dispensing organization files a request for hearing, a formal hearing shall begin within 30 days of the filing of the request and shall be completed without appreciable delay.

B) The Department shall bear the burden of proving the recalled cannabis is defective, adulterated, misbranded, or otherwise poses a danger to public safety.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.335 Sale of Non-Cannabis Items

a) Dispensing Organizations shall only sell items that are cannabis, cannabis paraphernalia, or related supplies.

1. "Related supplies" means branded merchandise including, but not limited to, clothing, water bottles, or keychains. Merchandise may include the dispensing organization's name and logo in compliance with Section 55-20 of the Act.

2. "Related supplies" also includes non-branded decorative or material items such as periodicals, ornaments, pins, or similar items.

3. "Related supplies" also includes pre-packaged food and pre-packaged non-alcoholic beverages.

4. The Department may approve additional items not specifically identified above at a licensed dispensing organization's request. In doing so, the Department shall consider the similarity of the items to the criteria listed in this subsection (a).

b) Dispensing organizations may allow third-party vendors to promote or advertise in the public access area of the dispensary. All advertisements by third-party vendors must comply with Section 55-20 of the Act. The dispensing organization is responsible for ensuring compliance with the Act and this Part for all third-party vendors promoting or advertising inside of the dispensary. The dispensing organization shall give the Department written notice of all third-party vendors at least three business days in advance of promoting or advertising.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.340 Onsite Consumption Lounges

a) Dispensing organizations may operate an onsite consumption lounge within its dispensary only if its unit of local government has authorized it to do so pursuant to Section 55-25 of the Act. Proof of authorization must be submitted to the Department.

b) Dispensing organizations may only operate an onsite consumption lounge at the dispensary's address or in a building contiguous to the dispensary. If the dispensary's onsite consumption lounge is within the dispensary, the dispensary shall maintain a designated area for the purpose of the heating, burning, smoking, or consuming activities that is separate from the remainder of the dispensary.

c) If specially authorized by its unit of local government, dispensaries may operate an outdoor onsite consumption lounge. Outdoor consumption shall not be visible to the public (high fences, shrubs, etc., are permissible); and the interior of the onsite consumption lounge and dispensary shall be separated from the outdoor onsite consumption lounge by a locked and secured door. Patrons of the outdoor onsite consumption lounge may re-enter the interior onsite consumption lounge and dispensary's limited access area and bathrooms for the duration of their visit so long as a security guard, licensed agent, AIC or principal officer is stationed at the point of re-entry during all hours of the lounge's hours of operation. Onsite consumption lounge and dispensary staff may enter and exit all sections of the facility.

d) Dispensaries which are authorized by their unit of local government to operate an onsite consumption lounge at its dispensary shall abide by all local rules, regulations, and ordinances, including, but not limited to: zoning regulations, local health and safety standards, and fire safety regulations.

e) Dispensaries seeking to operate an onsite consumption lounge at its dispensary must be approved by the Department in a form or manner prescribed by the Department. In seeking approval, the dispensary shall submit, at a minimum, the following:

1. A copy of the unit of local government's authorization to operate an onsite consumption lounge and any supporting documents thereof;

2. A copy of the proposed floor plan of the onsite consumption lounge;

3. Identification of all staff who will work at the onsite consumption lounge;

4. A copy of the dispensary's policies and procedures for the onsite consumption lounge, including, but not limited to, any policies and procedures regarding pricing, security measures, staffing plans, hours of operation, etc. and those required by subsection (g)(9);

5. A copy of the security plan of the onsite consumption lounge;

6. A copy of the lease or landlord consent to operate an onsite consumption lounge or proof of ownership of the land the onsite consumption lounge is located; and

7. A copy of the policies and procedures of the onsite consumption including all information required by Sections 15-65 and 15-110 of the Act.

f) Dispensaries are prohibited from initiating any material changes to the consumption lounge without prior approval by the unit of local government and the Department.

g) A dispensary may operate an onsite consumption lounge subject to the following conditions:

1. All employees of an onsite consumption lounge shall be a licensed agent or agent-in-charge of the dispensary;

2. Dispensaries shall verify all individuals entering an onsite consumption lounge are in compliance with Section 10-20 of the Act;

3. Cannabis and cannabis infused products shall not be dispensed in the onsite consumption lounge unless in accordance with 410 ILCS 705/15-100(c)(5);

4. Onsite consumption lounges must be separate and distinct from the remainder of the dispensary, including the public access area, the limited access area, and the restricted access area, and is separated from the remainder of the dispensary by a door capable of being locked;

5. Onsite consumption lounges shall not be publicly accessible (except as otherwise permitted as a point of re-entry under subsection (c)), unless the, entrance also includes its own public access area and security guard during all hours of operation;

6. Onsite consumption lounges shall not hold any liquor license issued under 235 ILCS 5/5-1 or any gaming license issued under 230 ILCS 40/90;

7. Onsite consumption lounges are permitted to serve food and drinks so long as the following conditions are met:

A) The onsite consumption lounge has obtained the necessary certifications or licenses to serve food, other than cannabis-infused products, that are required by the unit of local government and State law;

B) The onsite consumption lounge complies with the Illinois Food Code (77 Ill. Adm. Code 750) and the Food Handling Regulation Enforcement Act [410 ILCS 625]; and

C) Such food or drink qualifies as a "related supply" as that term is defined in Section 1291.335.

8. The onsite consumption lounge shall have security cameras, which comply with Section 15-100(i)(2) of the Act, facing any areas of ingress or egress. Cameras are not required to record those consuming products, only those entering and leaving through areas of ingress or egress;

9. All cash and currency collected at the onsite consumption lounge shall be treated the same as cash and currency collected by the dispensary and shall be stored securely in compliance with Section 15-100 of the Act;

10. Copy of internal policies shall be kept onsite within the onsite consumption lounge that shall include, at a minimum:

A) A business plan that includes a description of the proposed hours of operation;

B) A responsible operations plan that includes a detailed explanation of how employees will monitor and prevent over-intoxication, underage access to the onsite consumption lounge, the illegal sale or distribution of cannabis or cannabis-infused products within the onsite consumption lounge, and any other potential criminal activity on the premises. Operation plans may also identify how to best prevent impaired driving by encouraging consumers to consider alternative transportation options;

C) A documented employee training plan that addresses all components of the responsible operations plan; and

D) A cannabis product destruction and waste management plan that meets the requirements of this Part, as applicable, for destroying and disposing of cannabis waste left at the onsite consumption lounge.

11. Only persons 21 years of age or older shall be permitted access to onsite consumption lounges;

12. The onsite consumption lounge shall have a smoke-free area for both employees and the Department to monitor the onsite consumption lounge;

13. The onsite consumption lounge shall have a ventilation system that directs air from the consumption area to the outside of the building through a filtration system sufficient to remove visible smoke, consistent with all applicable building codes and ordinances, and adequate to eliminate odor at the property line, if consumption by inhalation is permitted;

14. If cannabis is abandoned in the consumption lounge, it must be destroyed in compliance with Section 1291.325;

15. Dispensaries may charge a fee for entrance and usage of onsite consumption lounges; and

16. Any other requirements that the Department deems necessary based on local zoning authorities or unique security concerns.

h) Onsite consumption lounges remain subject to random inspections by the Department.

i) If Department inspectors or emergency personnel enter the onsite consumption lounge and upon the inspector's or emergency personnel's direction, a dispensary is responsible for ensuring that all consumption and other activities, including sales within the dispensary, cease until the personnel have completed their investigation or services and have left the premises.

j) State standards and requirements. Any standards, requirements, and rules regarding the health and safety, environmental protection, testing, security, food safety, and worker protections established by the State shall be the minimum standards for all licensees with onsite consumption lounges under the Act statewide, where applicable. Knowing violations of any State or local law, ordinance, or rule conferring worker protections or legal rights on the employees of a licensee may be grounds for disciplinary action under the Act, in addition to any penalties established by another unit of government.

History

• Source: Added at 48 Ill. Reg. 13377, effective August 20, 2024

68 Ill. Adm. Code 1291.400 Conditional License Lottery Under Section 15-35.20(c) of the Act

a) The Department may distribute no more than 55 conditional licenses by lot pursuant to the requirements of Section 15-35.20(c) of the Act and this Part.

b) The requirements contained in Sections 1291.400 through 1291.440 shall only apply to the 55 conditional licenses issued pursuant to Section 15-35.20(c) of the Act.

c) All licenses issued pursuant to this Section shall be drawn by lot on the same day to the extent possible.

d) Prior to conducting any lottery pursuant to this Section, the Department shall publish on its website a list of all applicants eligible to participate in the lottery.

e) After the Department publishes the list of applicants eligible to participate in the lottery, all applicants shall have 5 business days to contest the Department’s list of applicants eligible to participate in the lottery. Any contestation must be filed on the form published on the Department's website and submitted in the manner included on that form.

f) The Department will revise and republish its list of applicants eligible to participate in the lottery if it concludes that any applicants were improperly included or excluded. The republished list of applicants is not subject to contestation under subsection (e). The Department is not required to provide any additional opportunities to contest the list of applicants eligible to participate in the lottery beyond the initial contest period described in subsection (e).

g) The Department may conduct a lottery at any time after the 5-business day period to contest the list of lottery participants has concluded.

h) The publishing of the list of applicants to participate in the lottery, and any revised list, is not a final agency decision. Any opportunity to contest the list shall not be considered a rehearing or an action for administrative review.

i) The Department will publish the certified results of the lottery.

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.405 Conditional License Distribution Under Section 15-35.20(c) of the Act

a) To ensure the geographic dispersion of conditional license holders, the following number of licenses issued as a result of any lottery conducted pursuant to Section 1291.400 shall be awarded in each BLS Region in the following amounts:

1. Bloomington: 1

2. Cape Girardeau: 1

3. Carbondale-Marion: 1

4. Champaign-Urbana: 1

5. Chicago-Naperville-Elgin: 36

6. Danville: 1

7. Davenport-Moline-Rock Island: 1

8. Decatur: 1

9. Kankakee: 1

10. Peoria: 2

11. Rockford: 1

12. St. Louis: 3

13. Springfield: 1

14. Northwest Illinois nonmetropolitan: 1

15. West Central Illinois nonmetropolitan: 1

16. East Central Illinois nonmetropolitan: 1

17. South Illinois nonmetropolitan: 1. (Section 15-35(a) and 15-35.10(a) of the Act)

b) Applicants are prohibited from applying in more than one BLS region and are limited to one application in that BLS region. If an applicant submits more than one application, the applicant forfeits all applications from entry into the lottery and is prohibited from being a top participant.

c) Within each BLS Region, the first applicant drawn will have the first opportunity to a conditional license. The second applicant drawn will have the second opportunity to a conditional license. The same pattern will continue for each subsequent applicant drawn.

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.410 Conditional License Lottery Application Under Section 15-35.20(c) of the Act

a) The Department will publish an online application for applicants on the Department's website. Paper applications will not be accepted.

b) After publishing the online application, the application submission window shall remain open for submissions for a minimum of 10 business days. Applications must be submitted by 5:00 P.M. Central Time on the last day of the application submission window and no applications will be accepted after the application submission window closes.

c) A principal officer cannot be on more than one application. The Department shall require that all applicants provide each of its principal officers’ Social Security Numbers or Individual Taxpayer Identification Number, and any other unique, identifying information, required in the application to ensure that an individual principal officer is not listed as a principal officer on more than one application.

d) All applicants shall pay a non-refundable application fee of $250, to be deposited into the Cannabis Regulation Fund.

e) An application shall be accepted only if it is complete. All incomplete applications shall be denied. A completed application shall include the nonrefundable fee and, at a minimum, the following information:

1. the applicant’s proposed entity name;

2. the name of the persons filling out the application;

3. the BLS Region in which the applicant is applying;

4. the names, Social Security Numbers or Individual Taxpayer Identification Number, home addresses, birthdates, phone numbers, and email addresses, for all proposed principal officers of the proposed entity;

5. the identification of and contact information, including phone number and email address, for a primary and alternate contact of the proposed entity, at least one of whom must also be a principal officer;

6. an acknowledgment that if awarded an opportunity for a conditional license in the lottery, the business entity is 51% or more owned or controlled by one or more individuals who each meet the combination of at least one or the criteria under subsection (e)(6)(A) (Criteria A) and one of the criteria under subsection (e)(6)(B) (Criteria B). This does not mean multiple individuals need to meet identical criteria, but each individual must meet at least one criteria from Criteria A and one criteria from Criteria B.

A) Criteria A (only 1 required):

i) An individual who has resided for at least 5 of the preceding 10 years in a census tract that has a poverty rate of at least 20% according to the latest 5-year American Community Survey (Table S1701: Poverty Status in the Past 12 Months) that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at https://data.census.gov/cedsci/table?q=poverty%20rate&g=0100000US%241400000&tid=ACSST5Y2020.S1701;

ii) An individual who has resided for at least 5 of the preceding 10 years in a census tract where at least 20% of the households receive assistance under the Supplemental Nutrition Assistance Program in the latest 5-year American Community Survey (Table S2201: Food Stamps/Supplemental Nutrition Assistance Program (SNAP)) that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at https://data.census.gov/cedsci/table?q=snap%20participation&g=0100000US%241400000&tid=ACSST5Y2020.S2201;

iii) An individual who has resided for at least 5 of the preceding 10 years in a census tract area classified as "low income and low access" where at least 100 households are more than one-half mile from the nearest supermarket and have no access to a vehicle or a significant number (at least 500 people) or share (at least 33%) of the population is greater than 1 mile from the nearest supermarket, supercenter, or large grocery store for an urban area or greater than 20 miles for a rural area, as classified by the latest United States Department of Agriculture Economic Research Service's Food Access Research Atlas data set that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at the United States Department of Agriculture Economic Research Service's Food Access Research Atlas, is available at https://www.ers.usda.gov/data-products/food-access-research-atlas/go-to-the-atlas;

iv) An individual who has received Medicaid, Supplemental Security Income, Social Security Disability, and/or subsidized housing for at least 5 of the preceding 10 years; and/or,

v) An individual who has resided for at least 5 of the preceding 10 years in a census tract in the top 15th percentile for the percent of residents in the census tract failing to graduate from High School in that state, as classified by the latest 5-year American Community Survey (Table S1501: Educational Attainment) that is publicly available at the start of the application submission window for the lottery conducted under Sections 1291.400 through 1291.440. The data set is available at https://data.census.gov/cedsci/table?q=s1501&g=0100000US,%241400000

B) Criteria B (only 1 required);

i) An individual who has been arrested for, convicted of, or adjudicated delinquent for any offense, or substantially similar offense, of Illinois, federal or other state law for:

• possession of not more than 500 grams of cannabis; or

• manufacture, delivery, or possession with intent to deliver, or manufacture of cannabis up to 30 grams;

ii) An individual who has a family member who has been arrested for, convicted of, or adjudicated delinquent for any offense, or substantially similar offense, of Illinois, federal, or other state law for:

• possession of not more than 500 grams of cannabis; or

• manufacture, delivery, or possession with intent to deliver, or manufacture or cannabis up to 30 grams.

iii) An individual who has been a victim of firearm injury, as those terms are defined in this Part. This must be evidenced by either a police report or medical record.

C) As soon a reasonably possible, but no later than 5 business days prior to the acceptance of applications, the Department shall make publicly available the documents applicants may use to establish eligibility under both subsection (e)(6)(A) (Criteria A) and subsection (e)(6)(B) (Criteria B).

7. An acknowledgment that if awarded a conditional license, neither the entity nor any of its principal officers will violate the Act’s license number limitations.

8. The acknowledgement will also include a statement or indication that the applicant understands the timeframes to do so as required in this Part.

f) If an applicant fails to meet and prove the criteria identified in subsection (e)(6)(A) (Criteria A) and subsection (e)(6)(B) (Criteria B) within 45 calendar days after the date of the notice of being a top participant from the Department and any required 10 business day deficiency period or 5 business day intent to deny periods as those periods are set forth in Section 1291.420, the Department shall deny issuance of a conditional license and proceed to the next top participant as described in Section 1291.405(c).

g) If two or more applications include the same principal officer, the Department will notify the applicant at its identified primary and alternate contacts and the principal officer who is listed on two or more applications, via email. Upon this notification, the identified principal officer has 3 business days to notify the Department of its resignation from all but one of the proposed entities. This notification shall be submitted to the Department in writing to FPR.CannabisAdministration@illinois.gov. If the identified principal officer does not notify the Department of the principal officer’s required resignation within the required time period, each applicant notified shall forfeit its application and nonrefundable fee.

h) False Information

1. If the Department determines that any information on an application or in supporting documents is not truthful, the applicant associated with that application will be prohibited from:

A) participating in the lottery;

B) being a top participant; and

C) being issued a conditional license or Adult Use Dispensing Organization License.

2. The Department shall notify the next eligible top participant drawn by lot of its opportunity for the conditional license, in accordance with Section 1291.405(c).

i) If a principal officer identified on an application dies after the applicant has submitted its application but prior to the conducting of any lottery, the applicant does not need to inform the Department unless the applicant becomes a top participant eligible for a conditional license after the lottery is conducted. If the applicant becomes a top participant, the applicant is required to follow the process identified in Section 1291.420.

j) The Department will only communicate with the applicant or top participant’s primary and alternate contact regarding the applicant or top participant’s application. In order to change its primary or alternate contact information, an applicant or a top participant must submit a request to change from the current primary or alternate contact email address the Department has on record.

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.420 Conditional License Post Lottery Proof Requirements Under Section 15-35.20(c) of the Act

a) The Department will publish a list of supporting documents (e.g., mortgage statements, bank statement, government-issued identification) that an applicant must submit in order to prove it meets the criteria required in Section 1291.410(e)(6)(A) (Criteria A) and Section 1291.410(e)(6)(B) (Criteria B) to be issued a conditional license. This list shall be published on the Department’s website on the same day the Department opens the application submission window.

b) Top participants shall have 45 calendar days after the day the lottery is certified to submit all required supporting documents to the Department via FPR.CannabisAdministration@illinois.gov or via the State file share system available upon request to the same email address.

c) After a top participant has submitted its supporting documents, the Department has at least 60 calendar days to review the documentation.

d) If the Department determines that the supporting documents are insufficient, the Department shall issue a deficiency notice to that top participant. The top participant shall have 10 business days after the date that appears on the deficiency notice to submit sufficient documentation.

e) If the top participant fails to provide sufficient documents after this deficiency period, the Department shall inform a top participant of its intent to deny the issuance of a conditional license prior to any denial of a conditional license.

f) Top participants shall have 5 business days after the date that appears on the notice of intent to deny to contest the Department’s decision. Any contestation must be filed in accordance with 68 Ill. Adm. Code 1110.

g) The Department’s final order to either affirm or revoke its intent to deny constitutes a final agency decision and may be appealed under the Administrative Review Law [735 ILCS 5/3-101].

h) If the Department informs a top participant of a deficiency or of its intent to deny the issuance of a conditional license because of one of the applicant’s principal officers has violated the Act or this Part, the principal officer may resign from the top participant (or another licensee) in order for the top participant to remain eligible for a conditional license. Proof of this resignation shall be submitted to the Department on the form published on the Department's website and submitted in the manner included on that form.

i) If a principal officer of a top participant resigns after that top participant has been notified of the Department’s intent to deny, that top participant may not replace the resigned principal officer. If a principal officer of a top participant resigns after that top participant has been notified of the Department’s deficiency notice or intent to deny, and that top participant therefore becomes ineligible to meet the requirements of the Act and this Part, the Department shall deny that top participant a conditional license.

j) If the Department affirms its intent to deny, the Department shall deny issuance of a conditional license and proceed to the next to participant as described in Section 1291.420.

k) If the Department denies issuance of a conditional license to a top participant, the Department shall notify the next eligible top participant drawn by lot of its opportunity for the conditional license, in accordance with Section 1291.405(c).

l) The Department may issue conditional licenses to top participants in the order in which they are received by the Department. Nothing in this subsection (l) prevents the Department from issuing conditional licenses before all top participants have submitted all necessary documentation.

m) If a principal officer of an applicant dies after the submission of any application, and that applicant is then selected as a top participant, the top participant shall present proof of death to the Department. A deceased principal officer may be replaced only if that principal officer was necessary for the top participant to remain eligible to be issued a conditional license. If a necessary principal officer of a top participant dies prior to issuance of the conditional license, the top participant shall have 45 calendar days after the death of that principal officer to submit proof of a replacement principal officer to the Department in order to remain eligible for a conditional license.

n) The Department shall deny issuance of a conditional license if it would result in a single person or entity having a direct or indirect financial interest in more than 10 Early Approval Adult Use Dispensing Organization Licenses, conditional licenses, or Adult Use Dispensing Organization Licenses. Any entity that is awarded a conditional license that results in a single person or entity having a direct or indirect financial interest in more than 10 licenses shall forfeit the most recently issued license and suffer a penalty to be determined by the Department in accordance with section 15-145 of the Act, unless the entity declines the license at the time it is awarded. (Section 15-30(k) of the Act)

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

68 Ill. Adm. Code 1291.440 Conditional Licensee Requirements Under Section 15-35.20(c) of the Act

a) A conditional license cannot be sold, transferred, or assigned and the conditional license holder cannot in any way change its ownership structure, including by removing or adding any principal officers, except for in the event of the death of a principal officer.

b) If a principal officer of a conditional license holder dies prior to the issuance of any Adult Use Dispensing Organization License under Section 15-36 of the Act, the conditional license holder shall inform the Department of the death and submit an updated table of organization.

c) A principal officer may be added to the ownership structure of a conditional license holder only in the event of replacing a deceased principal officer, subject to the Department’s approval of that principal officer. The Department will consider, but is not limited to, the proposed principal officer's role, qualifications, and the necessity of adding a principal officer when considering the new principal officer.

d) The death of a principal officer following issuance of a conditional license shall not impact the conditional license holder’s eligibility to be issued an Adult Use Dispensing Organization License under Section 15-36 of the Act.

e) Identifying a Physical Location

1. A conditional license holder who receives a conditional license through any lottery conducted pursuant to Section 1291.400 has 365 calendar days after the date of issuance of the conditional license to identify a physical location for the dispensing organization retail storefront. For purposes of this subsection (e), proof of identifying a physical location includes, but is not limited to, one of the following:

A) proof of building ownership by the top participant;

B) agreement to purchase building or lease that is dependent on zoning or state license approval;

C) signed lease for the term of the initial license; or

D) proof of zoning approval or application for zoning approval.

2. A conditional license holder shall provide evidence that the location is not within 1,500 feet of an existing dispensing organization.

3. If a conditional license holder is unable to find a suitable physical address within 365 calendar days after the issuance of the conditional license, the Department may extend the period for finding a physical address another 180 calendar days if the conditional license holder demonstrates the steps it has taken to secure a location and hardship. If the Department denies the request for an extension or the conditional license holder is unable to become operational within 545 calendar days after being awarded a conditional license, the Department will rescind the conditional license and may proceed to the next applicant drawn in accordance with Section 121.405(c).

History

• Source: Added at 46 Ill. Reg. 20783, effective December 13, 2022

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1295 Naprapathic Practice Act

68 Ill. Adm. Code 1295.05 Application for Licensure as a Naprapath Under Section 65 of the Act (grandfather) (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.10 Approved Naprapathy Program

The Department shall, upon the recommendation of the Committee, approve a naprapathy program if it meets the following minimum criteria:

a) The curriculum in naprapathy shall be a 4-year academic program in a minimum of 3 calendar years and provide for the equivalent of 2 calendar years of academic work and one calendar year of clinical experience.

1. Academic work shall be a minimum of 130 credit hours, including:

A) 66 credit hours in basic sciences (e.g., anatomy, physiology, pathology, kinesiology, neurology, biochemistry) specialized for the study of connective tissue; and

B) 64 credit hours in clinical sciences, to include but not be limited to the major areas of:

i) Naprapathic Sciences.

ii) Naprapathic theory and application: Oakley Smith method of chartology, chardosis, directoplanning, naprapathic technique, connective tissue manipulation; therapeutic and rehabilitative exercise; postural counseling; nutritional counseling; evaluation procedures; physical agents and related modalities; electrotherapy; connective tissue massage; accessory techniques/adjunctives; assistive devices; practice management psychology; and professional issues.

2. Clinical experience shall be a minimum of 60 credit hours, including:

A) 1000 contact hours served in the clinic; and

B) 350 full-credit evaluations.

3. The school shall:

A) Admit only students who have completed at a minimum a 2- year college level program of general education (60 semester or 90 quarter hours) from an accredited institution of higher education.

B) Be legally recognized and authorized by the jurisdiction in which it is located to confer a doctor of naprapathy degree.

C) Have a faculty that comprises a sufficient number of full-time instructors to make certain the educational obligations to students are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their area of teaching from professional colleges and institutions.

D) Maintain permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

b) In determining whether a program should be approved, the Department shall take into consideration but not be bound by accreditation from the American Naprapathic Association (ANA).

c) Recommendation of Approval

1. The Department, upon recommendation of the Committee, has determined that all naprapathic programs accredited by the ANA as of January 1, 1996, meet the minimum criteria set forth in subsection (a) above and, therefore, are approved.

2. In the event of a decision by the ANA to suspend, withdraw or revoke accreditation of any naprapathic program, the Committee shall proceed to evaluate the program and either approve or disapprove it in accordance with subsection (a) above.

History

• Source: Amended at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.20 Application for Licensure on the Basis of Examination

a) An applicant for a naprapath license by examination shall apply on forms approved by the Department at least 60 days prior to an examination date. The application shall include:

1. An official transcript indicating the completion of a 2 year degree or its equivalent at an accredited college or university;

2. Certification and/or transcript of successful completion of a naprapathic program signed by the director of the approved naprapathic program or other authorized college official and bearing the seal of the college;

3. A complete work history indicating all employment since graduation from a naprapathy program; and

4. The required fee specified in Section 1295.75.

b) If supporting documentation for the application is not in English, a certified translation must be included.

c) If the applicant has ever been licensed/registered in another jurisdiction, he/she shall also submit a certification, on forms provided by the Department, from all jurisdictions in which the applicant has ever been licensed, stating:

1. The time during which the applicant was registered/licensed in that jurisdiction, including the date of the original issuance of the license;

2. A description of the examination in that jurisdiction; and

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Committee to explain relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.30 Examination

a) The examination for licensed naprapaths shall be the Illinois Written Clinical Competency Examination.

b) Grades shall be reported as pass or fail.

c) If an applicant neglects, fails or refuses to take an examination within 3 years after filing an application, the application shall be denied.

d) Any applicant who has been unsuccessful in 3 examinations conducted in this State or any other jurisdiction shall be deemed ineligible for further examination until he/she submits certification of education, on forms supplied by the Department, to the Committee, subsequent to the third failure, that the applicant has successfully completed:

1. A course of clinical education of not less than 3 months on a full-time basis under the direct, on site, personal supervision of a licensed naprapath in conjunction with an approved program of naprapathy; or

2. A course of study of not less than 48 classroom hours in an approved program of naprapathy; or

3. Not less than 3 months of full-time, not for pay, on site training, supervised by a licensed naprapath in a clinical setting in Illinois. An affidavit signed by the supervisor shall be submitted to the Department to verify training.

e) Any person licensed in Illinois as a naprapath shall not be admitted to the examination. However, in no way shall this provision limit the Department's ability to require reexaminations for restoration or enforcement purposes.

68 Ill. Adm. Code 1295.40 Endorsement

a) An applicant who is licensed/registered under the laws of another jurisdiction who wishes to be licensed in Illinois as a naprapath shall file an application with the Department, on forms provided by the Department, which includes:

1. Certification of meeting education requirements as set forth in Section 1295.10 of this Part or the education requirements in effect at the time of original licensure;

2. Certification from all jurisdictions in which the applicant has been licensed, stating the time during which the applicant was licensed in that jurisdiction, whether the file on the applicant contains any disciplinary actions taken or pending, and the applicant's license number;

3. A report of the applicant's examination record forwarded directly from the test reporting service;

4. Complete work history since graduation from a naprapathy program approved pursuant to Section 1295.10 of this Part; and

5. The required fee specified in Section 1295.75.

b) The Department shall examine each endorsement application to determine whether the requirements and examination in the jurisdiction at the date of licensing were substantially equivalent to the requirements and examination then in force in this State and whether the applicant has otherwise complied with the Act.

c) The Department shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.50 Renewals

a) Every naprapath license issued under the Act shall expire on December 31 of each even numbered year. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee and, beginning with December 31, 2006 renewal and every renewal thereafter, completing continuing education (CE) in accordance with Section 1295.100.

b) It is the responsibility of each licensee to notify the Department of any change of address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to renew a license or pay the renewal fee.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 120 of the Act.

History

• Source: Amended at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.60 Inactive Status

a) Licensed naprapaths who notify the Department, on forms provided by the Department, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Department in writing of the intention to resume active practice.

b) Any licensed naprapath seeking restoration from inactive status shall pay the current renewal fee specified in Section 1295.75 and have the license restored in accordance with Section 1295.70 of this Part.

c) Any naprapath whose license is on inactive status shall not use the title "licensed naprapath" or practice naprapathy in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.70 Restoration

a) Any naprapath whose license has expired for 5 years or less may have the license restored by paying the fees required by Section 1295.75. After December 31, 2006, a licensee seeking restoration of a license shall also be required to submit proof of the required hours of continuing education in accordance with Section 1295.100. These CE hours shall be earned within the 2 years immediately preceding the restoration of the license.

b) A licensee seeking restoration of a license that has been on inactive status for less than 5 years shall have the license restored upon payment of the current renewal fee. After December 31, 2006, a licensee seeking restoration of a license shall also be required to submit proof of the required hours of continuing education in accordance with Section 1295.100. These CE hours shall be earned within the 2 years immediately preceding the restoration of the license.

c) Any person seeking restoration of a license that has been expired or on inactive status for more than 5 years shall file an application, on forms supplied by the Department, for review by the Committee, together with the fee required by Section 1295.75. The applicant also shall submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 70 of the Act; or

3. Proof of passage of the naprapath examination set forth in Section 1295.30 of this Part during the period the license was lapsed or on inactive status; or

4. Evidence of completion of:

A) 80 contact hours, certified by the school, of clinical training under the supervision of a licensed naprapath or 100 hours of continuing education in naprapathy or any combination thereof approved by the Committee for an applicant whose license has lapsed or been on inactive status for 6 to 10 years.

B) 160 contact hours, certified by the school, of clinical training under the supervision of a licensed naprapath or 200 hours of continuing education in naprapathy or any combination thereof approved by the Committee for an applicant whose license has lapsed or been on inactive status for 10 years or more.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Committee to explain relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

e) Upon recommendation of the Committee and approval by the Director, an applicant shall have the license restored or be notified in writing of the reason for denying the application.

History

• Source: Amended at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.75 Fees

The following fees shall be paid to the Department for the administration of the Act and are not refundable:

a) Application Fees

1. The fee for application for a license is $250.

2. The fee for application as a continuing education sponsor is $250. State colleges, universities, and State agencies are exempt from payment of this fee.

b) Renewal Fees

1. The fee for the renewal of a license shall be calculated at the rate of $125 per year.

2. The fee for renewal as a continuing education sponsor is $125 for the renewal period.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees, but not to exceed $600.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Department records when no duplicate license is issued.

3. The fee for a certification of a licensee’s record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Department reviewed and verified is $20 plus any fees charged by the applicable testing service.

5. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

6. The fee for a roster of persons licensed as naprapaths in this State shall be the actual cost of producing the roster.

History

• Source: Added at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.80 Unprofessional Conduct

Pursuant to Section 110 of the Act, unprofessional conduct in the practice of naprapathy shall include but not be limited to:

a) The promotion of the sale of services, goods, appliances or drugs in such manner as to exploit the patient or client for the financial gain of the practitioner or of a third party.

b) Directly or indirectly offering, giving, soliciting or receiving, or agreeing to receive any fee or other consideration to or from a third party for the referral of a patient or client.

c) Revealing of personally identifiable facts, data or information about a patient or client obtained in a professional capacity without the prior consent of the patient or client, except as authorized or required by law.

d) Practicing or offering to practice beyond the scope permitted by law, or accepting and performing professional responsibilities that the licensee knows or has reason to know that he or she is not competent to perform.

e) Delegating professional responsibilities to a person when the licensee delegating such responsibilities knows or has reason to know that the person to whom the responsibilities were delegated is not qualified by training, experience or licensure to perform them.

f) Overutilizing services by providing excessive evaluation or treatment procedures not warranted by the condition of the patient or by continuing treatment beyond the point of possible benefit.

g) Making gross or deliberate misrepresentations or misleading claims as to professional qualifications or of the efficacy or value of the treatments or remedies given or recommended, or those of another practitioner.

h) Gross and willful and continued overcharging for professional services, including filing false statements for collection of fees for which services are not rendered.

i) Failing to maintain for at least 3 years a record for each patient that accurately reflects the evaluation and treatment of the patient.

j) Advertising or soliciting for patronage in a manner that is fraudulent or misleading. Examples of advertising or soliciting that are considered fraudulent or misleading shall include, but not be limited to: advertising that contains false, fraudulent, deceptive or misleading materials, warranties or guarantees of success, statements that play upon vanities or fears of the public or statements that promote or produce unfair competition.

History

• Source: Added at 27 Ill. Reg. 7803, effective April 21, 2003

68 Ill. Adm. Code 1295.100 Continuing Education

a) Continuing Education Hour Requirements

1. Beginning with the December 31, 2006 renewal, every renewal applicant shall complete 30 hours of Continuing Education (CE) relevant to the practice of naprapathy required during each prerenewal period. A pre-renewal period is the 24 months preceding December 31 in the year of the renewal.

2. A CE hour equals 60 minutes. After completion of the initial CE hour, credit may be given in one-half hour increments.

3. Courses that are part of the curriculum of a university or college shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of academic credit awarded.

4. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

5. Naprapaths licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

b) Approved Continuing Education

1. Continuing education hours may be earned by verified attendance at or participation in a program that is offered by an approved continuing education sponsor who meets the requirements set forth in subsection (c). All 30 CE hours may be earned through online programs or courses.

2. CE credit may also be earned as follows:

A) A maximum of 8 hours may be earned per pre-renewal period for papers prepared and delivered before recognized naprapathic organizations, papers published in nationally recognized naprapathic journals, or a chapter in a book of naprapathy, each appropriately verified.

B) A licensee who serves as an instructor, speaker or discussion leader of a CE program will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course. The instructor must be able to provide verification of unique content for each CE course taught via course goals, objectives and outline.

C) A maximum of 1 hour of continuing education in cardiopulmonary resuscitation may be earned per pre-renewal period.

3. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be submitted for approval for fulfillment of the CE requirements of the State of Illinois.

4. Credit shall not be given for courses taken in Illinois from unapproved sponsors.

c) Continuing Education Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) The American Naprapathic Association or its affiliates;

B) The North American Naprapathic Association or its affiliates; or

C) Any other person, firm, association, corporation, or group that has been approved and authorized by the Department pursuant to subsection (c)(2) upon the recommendation of the Committee to coordinate and present continuing education courses or programs.

2. Entities seeking a license as a CE sponsor pursuant to subsection (c)(1)(C) shall file a sponsor application, along with the required fee. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The applicant shall certify to the following:

A) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (c) and all other criteria in this Section. The applicant shall be required to submit a sample 3‑hour CE program with course materials, presenter qualifications and course outline for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each course or program, and provide a certification of completion as set forth in subsection (b); and

C) That upon request by the Department, the sponsor will submit evidence as is necessary to establish compliance with this Section. This evidence shall be required when the Department has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. Each sponsor shall submit by December 31 of each even-numbered year a renewal application along with the renewal fee. With the application, the sponsor shall be required to submit to the Department a list of all courses and programs offered in the pre-renewal period, which includes a description, location, date and time the course was offered.

4. All courses and programs shall:

A) Contribute to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of naprapathy;

B) Provide experiences that contain scientific integrity, relevant subject matter and course materials; and

C) Be developed and presented by persons with education and/or experience in the subject matter of the program.

5. The tuition fees charged for programs conducted by the approved sponsors shall be reasonable and directly related to the sponsor's actual expense in conducting the programs.

6. All programs given by approved sponsors shall be open to all licensed naprapaths and not be limited to the members of a single organization or group and shall specify the number of CE hours.

7. Certificate of Attendance

A) It shall be the responsibility of the sponsor to provide each participant in a program with a certificate of attendance signed by the sponsor. The sponsor's certificate of attendance shall contain:

i) The name and address of the sponsor;

ii) The name and address of the participant and their naprapathic license number;

iii) A detailed statement of the subject matter;

iv) The number of hours actually attended in each topic;

v) The date of the program; and

vi) The signature of the sponsor.

B) The sponsor shall maintain these records for not less than 5 years.

8. The sponsor shall be responsible for assuring verified continued attendance at each program. No renewal applicant shall receive credit for time not actually spent attending the program.

9. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Department, after notice to the sponsor and hearing before any recommendation by the Committee pursuant to the Administrative Hearing Rules (see 68 Ill. Adm. Code 1110) shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until the time as the Department receives reasonably satisfactory assurances of compliance with this Section.

d) Continuing Education Earned in Other States

1. If a licensee has earned CE hours in another state or territory for which he/she will be claiming credit toward full compliance in Illinois, that licensee shall submit an out-of-state CE approval form along with a $20 processing fee within 90 days of completion of the course. The Committee shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

2. If a licensee fails to submit an out-of-state CE approval form within the required time, late approval may be obtained by submitting the application with the $20 processing fee plus a $10 per hour late fee not to exceed $150. The Committee shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with CE requirements set forth in subsection (a).

2. The Department may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The evidence shall be retained for at least 5 years following the renewal period in which the CE was taken.

3. The Department may conduct random audits to verify compliance with CE requirements.

4. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Committee, at which time the Committee may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of his/her license without having fully complied with these CE requirements shall file with the Department a renewal application, the renewal fee set forth in Section 1295.75, a statement setting forth the facts concerning the non-compliance, and a request for waiver of the CE requirements on the basis of these facts. If the Department, upon the written recommendation of the Committee, finds from the affidavit or any other evidence submitted, that good cause has been shown for granting a waiver, the Department shall waive enforcement of the requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the pre-renewal period; or

B) Extreme hardship, which shall be determined on an individual basis by the Committee and shall be limited to documentation of:

i) An incapacitating illness documented by a currently licensed physician,

ii) A physical inability to travel to the sites of approved programs, or

iii) Any other similar extenuating circumstances.

3. If an interview with the Committee is requested at the time the request for waiver is filed with the Department, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

History

• Source: Amended at 45 Ill. Reg. 1828, effective January 28, 2021

68 Ill. Adm. Code 1295.110 Granting Variances

a) The Director may grant variances from this Part in individual cases where he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Committee of the granting of the variance, and the reasons therefor, at the next meeting of the Committee.

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1300 Nurse Practice Act

68 Ill. Adm. Code 1300.10 Definitions

The following definitions shall apply to this Part:

"Act" means the Nurse Practice Act [225 ILCS 65].

"Address of Record" means the address recorded by the Division in the applicant's or licensee's application file or license file, as maintained by the Division's licensure maintenance unit.

"Advanced Practice Registered Nurse" or "APRN" means a person who has met the qualifications for a:

certified nurse midwife (CNM);

certified nurse practitioner (CNP);

certified registered nurse anesthetist (CRNA); or

clinical nurse specialist (CNS) and has been licensed by the Division.

All advanced practice registered nurses licensed and practicing in the State of Illinois shall use the title APRN and may use specialty credentials after their name.

"APRN Practice Pending Licensure" means practice by an APRN, under a temporary permit, who is scheduled to take the National Certification Examination. This period of practice cannot exceed 6 months from date of application for the license. APRN Practice Pending Licensure does not include prescriptive authority.

"Board" means the Board of Nursing.

"Collaboration" means a process involving 2 or more health care professionals working together, each contributing one's respective area of expertise to provide more comprehensive patient care. (Section 50-10 of the Act)

"Consultation" means the process by which an advanced practice registered nurse seeks the advice or opinion of another health care professional. (Section 50-10 of the Act)

"Dentist" means a person licensed to practice dentistry under the Illinois Dental Practice Act [225 ILCS 25]. (Section 50-10 of the Act)

"Department" means the Department of Financial and Professional Regulation.

"Direction" means to give authoritative instruction to another regarding nursing interventions and/or professional responsibilities.

"Director" means the Director of the Division of Professional Regulation, with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Impaired Nurse" means a nurse licensed under the Act who is unable to practice with reasonable judgment, skill and safety because of a physical or mental disability, as evidenced by a written determination or written consent based on clinical evidence, including loss of motor skills, abuse of drugs or alcohol, or a psychiatric disorder, of sufficient degree to diminish his or her ability to deliver competent patient care. (Section 50-10 of the Act)

"Licensed Practical Nurse" or "LPN" means a person who is licensed as a practical nurse under the Act and practices pratical nursing as defined by the Act. (Section 50-10 of the Act)

"Nursing Intervention" means any treatment, based on clinical nursing judgment or knowledge, that a nurse performs. An individual or entity shall not mandate that a registered professional nurse delegate a nursing intervention if the registered professional nurse determines it is inappropriate to do so. A nurse shall not be subject to disciplinary or any other adverse action for refusing to delegate a nursing intervention based on patient safety. (Section 5-10 of the Act)

"Physician" means a person licensed to practice medicine in all its branches under the Medical Practice Act of 1987 [225 ILCS 60]. (Section 50-10 of the Act)

"Physician Assistant" means a person licensed under the Physician Assistant Practice Act of 1987 [225 ILCS 95]. (Section 50-10 of the Act)

"Podiatrist" or "Podiatric Physician" means a person licensed to practice podiatry under the Podiatric Medical Practice Act of 1987 [225 ILCS 100]. (Section 50-10 of the Act)

"Professional Responsibility" includes making decisions and judgments requiring use of knowledge acquired by completion of an approved program for licensure as a practical, professional or advanced practice registered nurse.

"Registered Nurse", "Registered Professional Nurse", or "RN" means a person who is licensed as a professional nurse under the Act and practices nursing as defined by the Act.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.20 Nursing Delegation by a Registered Professional Nurse

a) For the purposes of this Section:

"Community-Based Setting" means facilities within the community where individuals, groups and populations may seek or receive assistance and/or care. These include, but are not limited to, schools, assisted living facilities, physicians' and APRNs' offices, clinics, home health, and residences where individuals receive services under the Home Health, Home Services, and Home Nursing Licensing Act [210 ILCS 55] or Hospice Program Licensing Act [210 ILCS 60]. Community-based setting does not include Home Services Agencies and Home Service Placement Agencies.

"Delegation" means transferring to a specific individual the authority to perform a specific nursing intervention, in a specific situation.

"Predictability of outcomes" means that a registered professional nurse or advanced practice registered nurse has determined that the patient's or individual's clinical status is stable and expected to improve or the patient's or individual's deteriorating condition is expected to follow a known or expected course."

"Stability" means a registered professional nurse or advanced practice registered nurse has determined that the individual's clinical status and nursing care needs are consistent. (Section 50-75(a) of the Act)

b) A registered professional nurse may:

1. Delegate nursing interventions to other registered professional nurses, licensed practical nurses, and other unlicensed personnel. The delegation should be based on the comprehensive nursing assessment that includes, but is not limited to:

A) The stability and condition of the patient;

B) The potential for harm;

C) The complexity of the nursing intervention to be delegated;

D) The predictability of outcomes; and

E) The competency of the person to whom the nursing intervention is delegated. To ensure competency, the RN may have to provide instruction to the individual or evaluate the individual's experience, training and/or education.

2. Delegate medication administration to other licensed nurses.

3. Refuse to delegate, stop, or rescind a previously authorized delegation. (Section 5-75(b) of the Act)

c) In community-based or in-home care settings, an RN may:

1. Delegate medication administration (limited to oral or subcutaneous dosage and topical or transdermal application) to unlicensed personnel, if the conditions of delegations set forth in subsection (b) are met.

2. Delegate, guide and evaluate the implementations of nursing interventions as a component of patient care coordination after completion of the comprehensive patient assessment based on analysis of the comprehensive nursing assessment data. Care coordination may occur in person, by telecommunication, or by electronic communication. (Section 5-75(b) of the Act)

d) The following actions are prohibited by this Section:

1. Mandating an RN to delegate nurse interventions when the RN has determined that it is not appropriate to do so.

2. Delegating medication administration to unlicensed personnel in any institutional or long-term facility, including but not limited to those facilities licensed by the Hospital Licensing Act [210 ILCS 85], the University of Illinois Hospital Act [110 ILCS 330], State-operated mental health hospitals, or State-operated developmental centers.

3. Delegating nursing judgement, the comprehensive patient assessment, development of a plan of care, and evaluations of care to licensed or unlicensed personnel;

4. Allowing a licensed practical nurse or unlicensed personnel to re‑delegate a nursing intervention that had been delegated to him or her by the RN. (Section 50-75(b) of the Act)

e) Practice in End Stage Renal Dialysis Facilities

1. For the purposes of this Section only, an individual working as a dialysis technician in a Medicare-certified End Stage Renal Dialysis Facility or a facility regulated under the End Stage Renal Disease Facility Act [210 ILCS 62] shall be considered a licensed individual for the purposes of delegation only under Section 50-75 of the Act. A person working to acquire the experience necessary to obtain certification under subsection (e)(2) may practice in accordance with this subsection (e) for a period of no more than 18 months so long as his or her practice is in compliance with the experience standards set forth by the entities listed in subsection (e)(2).

2. Delegation under this subsection (e) shall only be allowed if the individual receiving delegation currently holds, or is in the process of acquiring, the necessary experience to apply for and achieve one of the following certifications:

A) Certified Clinical Hemodialysis Technician (CCHT) by the Nephrology Nursing Certification Commission (NNCC);

B) Certified Hemodialysis Technician (CHT) by the Board of Nephrology Examiners Nursing and Technology (BONENT);

C) Certified in Clinical Nephrology Technology (CCNT) by the National Nephrology Certification Organization (NNCO).

3. Delegation under this subsection (e) shall not include medication administration except for saline flushes and application of topical anesthetics. All patient care provided by a certified dialysis technician practicing under this subsection (e) shall be under the direct and immediate on-site supervision of a licensed physician, advanced practice registered nurse, physician assistant or registered nurse.

4. Delegation under this subsection (e) shall also comply with any rules adopted under the End Stage Renal Disease Facility Act.

5. Nothing in this subsection (e) shall be construed to apply to any other facility or practice setting. This subsection (e) shall not be construed as granting a license under the Act and shall not allow individuals receiving delegation under this subsection (e) to use any title regulated by the Act.

f) The delegation of medication administration in a community-based setting shall be rescinded upon the discharge of the patient from the home health, home nursing, or hospice agency, or when the nurse who delegated the nursing intervention is no longer providing or coordinating the nursing clinical care.

g) An RN who has delegated a nursing intervention does not have to be physically present while the individual is performing the delegation so long as the RN has satisfied the conditions of delegation set forth in subsection (b) and is available to assist in person or by telecommunications.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.30 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as a registered professional nurse, and a licensed practical nurse is $50. In addition, applicants for an examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for a temporary restoration or endorsement permit for a license as an advanced practice registered nurse, a registered professional nurse and a licensed practical nurse is $25.

3. The fee for application for a license as an advanced practice registered nurse or as an advanced practice registered nurse with full practice authority is $125.

4. The fee for application as an approved continuing education sponsor is $500.

b) Renewal Fees

1. The fee for the renewal of a practical nurse license shall be calculated at the rate of $40 per year.

2. The fee for the renewal of a registered professional nurse license shall be calculated at the rate of $40 per year.

3. The fee for the renewal of a license as an advanced practice registered nurse or an advanced practice registered nurse with full practice authority shall be calculated at the rate of $40 per year.

4. The fee for renewal of an APRN, LPN or RN continuing education sponsor approval is $250 for 2 years.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $250.

2. The fee for a certification of a licensee's record for any purpose is $20.

3. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

4. The fee for processing a fingerprint card by the Department of State Police is the cost of processing, which shall be made payable to the State Police Services Fund and shall be remitted to the State Police for deposit into the Fund.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.40 Renewals

a) Every APRN license issued under the Act, including APRNs granted full practice authority, shall expire on May 31 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the fee required by Section 1300.30. During every renewal, a renewal applicant will be required to complete 80 hours of continuing education as set forth in Section 1300.130. A licensee's registered nurse license shall be renewed in order to renew the advanced practice registered nurse license. At the time of renewal, APRNs shall attest to continued, current national certification in their specialty, except an advanced practice registered nurse who has continuously held an unencumbered license under the Act since 2001 and does not meet the educational requirements necessary to obtain national certification as provided in Section 65-15(c) of the Act.

b) Every registered professional nurse license issued under the Act shall expire on May 31 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the fee required by Section 1300.30. During every renewal, a renewal applicant will be required to complete 20 hours of continuing education as set forth in Section 1300.130.

c) Every licensed practical nurse license issued under the Act shall expire on January 31 of each odd-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the fee required by Section 1300.30. During every renewal, a renewal applicant will be required to complete 20 hours of continuing education as set forth in Section 1300.130.

d) It is the responsibility of each licensee to notify the Division of any change of address or email address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

e) Practice on a license that has expired is the unlicensed practice of nursing and shall be grounds for discipline pursuant to Section 70-5 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.50 Restoration

a) A licensee seeking restoration of a license that has expired for 5 years or less shall have the license restored upon completion of all forms required by the Division, payment of the fees required by Section 1300.30, and completion of his or her CE requirement.

b) A licensee seeking restoration of a license that has been placed on inactive status for 5 years or less shall have the license restored upon completion of all forms required by the Division, payment of the current renewal fee set forth in Section 1300.30(b), and completion of his or her CE requirement.

c) A licensee seeking restoration of his or her license shall submit verification of fingerprint processing from the Illinois State Police (ISP), or its designated agent. Applicants shall contact an Illinois-licensed fingerprint vendor for fingerprint processing. Out-of-state residents may have their fingerprints taken by an out-of-state vendor but the fingerprints must be processed by an Illinois Livescan Vendor. Fingerprints shall be taken within the 60 days prior to application.

d) A licensee seeking restoration of a licensed practical nurse license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the restoration fee specified in Section 1300.30(c)(1), when restoring an expired license, or the current renewal fee set forth in Section 1300.30(b), when restoring an inactive license. The licensee shall also submit proof of completion of his or her current CE requirement set forth in Section 1300.130(a). The licensee shall also submit proof of fitness to practice, which includes one of the following:

1. Certification of active practice in another jurisdiction. This certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice; or

2. An affidavit attesting to military service as provided in Section 55-20(c) of the Act. If application is made within 2 years after discharge, and if all other provisions of Section 55-10 of the Act are satisfied, the applicant will be required to pay the current renewal fee, but not the restoration fee; or

3. Proof of successful completion of one of the following:

A) A Division-approved LPN licensure examination;

B) A refresher course subject to Division approval.

e) A licensee seeking restoration of an RN license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the restoration fee specified in Section 1300.30(c)(1), when restoring an expired license, or the current renewal fee set forth in Section 1300.30(b), when restoring an inactive license. The licensee shall also submit proof of completion of his or her current CE requirement as set forth in Section 1300.130(b). The licensee shall also submit proof of fitness to practice, which includes one of the following:

1. Certification of active practice in another jurisdiction. This certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice;

2. An affidavit attesting to military service as provided in Section 60-25(c) of the Act. If application is made within 2 years after discharge, and if all other provisions of Section 60-10 of the Act are satisfied, the applicant will be required to pay the current renewal fee, but not the restoration fee; or

3. Proof of the successful completion of one of the following:

A) A Division-approved RN licensure examination;

B) A refresher course subjected to Division approval.

f) A licensee seeking restoration of an APRN license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the restoration fee specified in Section 1300.30(c)(1), when restoring an expired license, or the current renewal fee set forth in Section 1300.30(b), when restoring an inactive license. The licensee shall also submit proof of completion of his or her current CE requirements as set forth in Section 1300.130(c). The licensee shall also submit proof of fitness to practice, which includes one of the following:

1. Certification of active practice in another jurisdiction. This certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice; or

2. An affidavit attesting to military service as provided in Section 65-20(c) of the Act. If application is made within 2 years after discharge, and if all other provisions of Section 65-5 of the Act are satisfied, the applicant will be required to pay the current renewal fee, but not the restoration fee; or

3. Verification of continued, current certification in the APRN's specialty prior to restoration.

g) Individuals applying for restoration of an inactive or non-renewed license may apply to the Division, on forms provided by the Division, to receive a temporary restoration permit that allows the applicant to work pending the issuance of a license by restoration.

1. The temporary restoration permit application shall include:

A) A completed signed restoration application, along with the restoration fee required by Section 1300.30(c)(1). All supporting documents shall be submitted to the Division before a permanent license by restoration shall be issued;

B) Either:

i) Photocopies of all current active nursing licenses and/or temporary permits/licenses from other jurisdictions (current active licensure in at least one United States jurisdiction is required); or

ii) Verification of employment in nursing practice within the last 5 years in a United States jurisdiction;

C) Verification that fingerprints have been submitted to the Division or the ISP or its designated agent; and

D) The temporary restoration permit fee required by Section 1300.30(a)(2).

2. The Division will issue a temporary restoration permit no later than 14 days after receipt of a completed application as set forth in this Section.

3. Temporary permits shall be terminated upon:

A) The issuance of a permanent license by restoration;

B) Failure to complete the application process within 6 months from the date of issuance of the permit;

C) A finding by the Division that the applicant has been convicted within the last 5 years of any crime under the laws of any jurisdiction of the United States that is:

i) A felony; or

ii) A misdemeanor directly related to the practice of nursing;

D) A finding by the Division that, within the last 5 years, the applicant has had a license or permit related to the practice of nursing revoked, suspended or placed on probation by another jurisdiction, if at least one of the grounds is substantially equivalent to grounds in Illinois; or

E) Upon notification that the Division intends to deny restoration of licensure for any reason.

4. The Division will notify the applicant by certified or registered mail of the intent to deny licensure pursuant to subsections (g)(3)(C) and (D) of this Section and/or Section 70-5 of the Act.

5. A temporary permit shall be extended beyond the 6-month period, upon recommendation of the Board and approval of the Director, due to hardship, defined as:

A) Serving full-time in the Armed Forces;

B) An incapacitating illness as documented by a currently licensed physician;

C) Death of an immediate family member; or

D) Extenuating circumstances beyond the applicant's control, as approved by the Secretary.

h) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee will be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an oral interview before the Board to explain the relevance or sufficiency, clarify information, or clean up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.60 Granting Variances

The Director may grant variances from this Part in individual cases when he or she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.70 Fines (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.80 Public Access to Records and Meetings (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.90 Unethical or Unprofessional Conduct

a) The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary or non-disciplinary action based upon its findings of unethical or unprofessional conduct (see Section 70-5(b)(7) of the Act), which is interpreted to include, but is not limited to, the following acts or practices:

1. Engaging in conduct likely to deceive, defraud or harm the public, or demonstrating a willful disregard for the health, welfare or safety of a patient. Actual injury need not be established.

2. A departure from or failure to conform to the standards of practice as set forth in the Act or this Part. Actual injury to a patient need not be established.

3. Engaging in behavior that crosses professional boundaries (such as signing wills or other documents not related to client health care).

4. Engaging in sexual conduct with a patient or conduct that may reasonably be interpreted by a patient as sexual, or in any verbal behavior that is sexually harassing to a patient.

5. Demonstrating actual or potential inability to practice nursing with reasonable skill, safety or judgment by reason of illness, use of alcohol, drugs, chemicals or any other material, or as a result of any mental or physical condition.

6. Engaging in activities that constitute a breach of the nurse's responsibility to a patient;

7. Engaging in activities that are violative of ethical standards of the profession (such as failing to safeguard patient confidentiality and records within the constraints of law; not respecting the rights of patients, colleagues and other health professionals; not observing requirements under the Act and any rules pertaining to any relevant specialty; and failing to provide service with compassion and respect for human dignity);

8. Engaging in activities that result in the assumption by the nurse of responsibility for delivery of patient care that the nurse was not properly qualified or competent to render;

9. Engaging in activities that result in a delegation of responsibility for delivery of patient care when the delegated intervention could not be monitored or the follow up and evaluation of outcomes is not possible;

10. Engaging in activities that cause actual harm to any member of the public; or

11. Misrepresenting educational background, training, credentials or competence.

b) The Division hereby incorporates by reference the "Code for Nurses with Interpretive Statements", July 2015, American Nurses Association, 8515 Georgia Avenue, Suite 400, Silver Spring MD 20910, with no later amendments or editions.

c) The Division hereby incorporates by reference the "Standards of Practice and Educational Competencies of Graduates of Practical/Vocational Nursing Programs", National Association for Practical Nurse Education and Service, Inc., May 6, 2007, 1940 Duke Street, Suite 200, Alexandria VA 22314, with no later amendments or editions.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.100 Refusal to Issue a License Based on Criminal History Record (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.110 Mandatory Reporting of Impaired Licensees

a) Any nurse who is an administrator or officer in any hospital, nursing home, other health care agency or facility, or nurse agency and has knowledge of any action or condition which reasonably indicates that a licensee under the Act:

1. is impaired due to the use of alcohol or mood altering drugs to the extent that the impairment adversely affects the licensee'sprofessional performance; or

2. unlawfully possesses, uses, distributes or converts mood altering drugs (Section 70-10(a) of the Act) shall report the individual to the Division or designee of the Division unless the licensee participates in a course of remedial professional counseling or medical treatment for substance abuse.

b) The administrator need not report the licensee in question so long as the nurse actively pursues treatment under monitoring by the administrator or officer or by the hospital, nursing home, health care agency or facility, or nurse agency and the licensee continues to be employed by that hospital, nursing home, health care agency or facility, or nurse agency.

c) However, if the licensee fails to comply with treatment or leaves employment of the institution for any reason, the administrator shall report the licensee to the Division.

d) Notwithstanding any other Section or provisions of the Nurse Practice Act, if the Division verifies habitual intoxication or drug addiction that adversely affects professional performance or the unlawful possession, use, distribution or conversion of habit forming drugs by the reported licensee, the Division may seek to discipline the licensee pursuant to Section 70-5 of the Act.

History

• Source: Amended at 39 Ill. Reg. 15764, effective November 24, 2015

68 Ill. Adm. Code 1300.120 Care Counseling and Treatment Agreement

a) The Division may offer a care, counseling and treatment agreement to an impaired nurse in accordance with this Section.

b) Eligibility for consideration for a care, counseling and treatment agreement will include but not be limited to the following:

1. Licensee must have no prior disciplinary action in any jurisdiction concerning practice issues related to substance abuse;

2. Licensee has not been convicted criminally of any felony or drug-related misdemeanor, nor is any such criminal action pending;

3. Licensee acknowledges a substance use disorder or impairment; and

4. Licensee has appeared for and submitted to an assessment by a physician who is a certified addictionist or an advanced practice registered nurse with specialty certification in addiction and has followed the recommendations of the assessment. Evaluations submitted from another state may be accepted if the evaluator was approved by the nursing board of that state. Evaluations that satisfy court orders will also be accepted.

c) Pursuant to Section 70-5(e) of the Act, all substance-related allegations mandate an automatic substance abuse assessment.

1. The Department will direct a licensee to complete and submit to the Department an approved substance abuse assessment within 30 days. The licensee shall be responsible for the expense of the substance abuse assessment. A licensee's failure to timely complete a substance abuse assessment in the manner prescribed by the Department shall result in an automatic suspension pursuant to Section 70‑5(e) of the Act.

2. A licensee subject to a suspension under this subsection (c) may request a hearing to contest the grounds for the suspension by submitting a written request to the Department within 30 days after the effective date of the suspension. A hearing must be convened by the Department within 15 days after receipt of the written request and completed without appreciable delay.

3. A licensee subject to a suspension under this subsection (c) may request a hearing to terminate the suspension by submitting a written request to the Department. A suspension may be terminated provided that the licensee establishes the ability to practice with reasonable judgment, skill, and safety and warrants the public trust. When determining whether a licensee is able to practice with reasonable judgement, skill, and safety and warrants public trust, the Department will consider, but is not limited to, a drug evaluation and any recommendations or opinion made by the professional completing the evaluation.

History

• Source: Amended at 49 Ill. Reg. 6052, effective May 9, 2025

68 Ill. Adm. Code 1300.130 Continuing Education

a) Continuing Education (CE) Requirements

1. As required by the Act, all nurses shall complete continuing education as follows:

A) All licensed practical nurses shall complete 20 hours of approved continuing education per 2-year license renewal cycle.

B) All registered nurses shall complete 20 hours of approved continuing education per 2-year license renewal cycle.

C) All advanced practice registered nurses shall complete 80 hours of approved continuing education in the advanced practice registered nurse's specialty per 2-year license renewal cycle. Completion of the 80 hours under this subsection (a)(1)(C) shall satisfy the continuing education requirements for renewal of a registered professional nurse license. An APRN holding more than one APRN license is required to complete 80 hours of continuing education total per license renewal period. The 80 hours of continuing education required shall be completed as follows:

i) A minimum of 50 hours of the continuing education

shall be obtained in continuing education programs that shall include no less than 20 hours of pharmacotherapeutics, including 10 hours of opioid prescribing or substance abuse education.

ii) A maximum of 30 hours of credit may be obtained by presentations in the APRN's clinical specialty, evidence-based practice, or quality improvement projects, publications, research projects, or preceptor hours.

2. The following time equivalencies shall apply:

1 contact hour

=

60 minutes

1 academic semester hour

=

15 contact hours

1 academic quarter hour

=

12.5 contact hours

1 CME

=

1 contact hour

1 CNE

=

1 contact hour

1 AMA

=

1 contact hour

3. All CE must be completed in the 24 months preceding expiration of the license.

4. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

5. Nurses licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

6. Continuing education hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois pursuant to the provisions set forth in subsection (e).

b) Approved Continuing Education

1. CE hours shall be earned by verified attendance at (e.g., certificate of attendance or certificate of completion) or participation in a program or course (program) that is offered or sponsored by an approved CE sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3) and (4).

2. Independent study that is approved for CE credits as set forth in subsection (c) may be used, i.e., home study programs, articles from journals, and other health discipline independent study modules.

3. Academic credits may be used to fulfill CE requirements if the course content is consistent with subsection (c)(3). CE hours are awarded as outlined in subsection (a)(4).

A) College/university courses that are audited may not be used for CE credit.

B) Degree "core" or general education credits such as English, literature, history, math, music and physical education may not be used.

4. Presenter/lecturer presentations made to other health professionals on topics related to the certification area may be used for CE credit. Each different individual, non-repetitive 60-minute lecture may be used for 5 CE hours. Full-time educators may not use presentations/lectures that are part of their job expectations- but may use guest lectures and other presentations made outside the duties of their job.

5. CE hours may be earned for authoring papers, publications, articles, dissertations, book chapters or research projects. These must be applicable to the practice area. The research project must be completed during the prerenewal period. Authoring a paper or publishing articles may be used for 10 CE hours. Authoring a book chapter, dissertation or research project may be used for 20 CE hours. APRNs may obtain a maximum of 30 CE hours earned under this subsection (b)(5).

6. Up to 5 CE hours may be earned for completion of skills certification courses. A maximum of 2 hours in cardiopulmonary resuscitation certified by the American Red Cross, American Heart Association, Health and Safety Institute (HSI), or other qualified organization may be accepted, while a maximum of 3 hours may be accepted for certification or recertification in Basic Life Support for Healthcare Providers (BLS), Advanced Cardiac Life Support (ACLS), or Pediatric Advanced Life Support (PALS) or their equivalent.

7. CE Options for APRNs

A) CE hours may be earned through preceptorship of an APRN student. Preceptors must provide clinical supervision and education to the APRN student. Documentation must be provided from the school of nursing in which the student is enrolled. Precepting one student for an academic semester or quarter may be used for 10 CE hours. Not more than 30 CE hours in each renewal period may come from precepting.

B) Successful completion, during the prerenewal period, of a recertification exam in the APRN's area of specialty as recognized in Section 1300.10 may be used for 60 CE hours.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) Approved providers of recognized certification bodies as outlined in Section 1300.400(a).

B) Any conference that provides approved Continuing Medical Education (CME) as authorized by the Illinois Medical Practice Act.

C) American Nurses Credentialing Center (ANCC) accredited or approved providers.

D) Illinois Society for Advanced Practice Nursing (ISAPN).

E) American Association of Nurse Practitioners (AANP).

F) Nurse Practitioner Association for Continuing Education (NPACE).

G) American Association of Nurse Anesthetists (AANA), or National Board of Certification and Recertification for Nurse Anesthetists (NBCNA).

H) National Association of Clinical Nurse Specialists (NACNS).

I) American College of Nurse Midwives (ACNM).

J) American Nurses Association-Illinois (ANA-Illinois).

K) Illinois Nurse Association or its affiliates.

L) Providers approved by another state's board of nursing.

M) Nursing education programs approved under Section 1300.230 or 1300.340 wishing to offer CE courses or programs.

N) Employers licensed under the Hospital Licensing Act [210 ILCS 85] or the Ambulatory Surgical Treatment Center Act [210 ILCS 5].

O) Any other accredited school, college or university, State agency, federal agency, county agency or municipality that provides CE in a form and manner consistent with this Section.

2. An entity seeking approval as a CE sponsor, not specifically listed in subsection (c)(1), shall submit an application, on forms supplied by the Division, along with the application fee specified in Section 1300.30(a)(5). The application shall include:

A) Certification:

i) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor will be responsible for verifying full-time continuous attendance at each program and provide a certificate of attendance as set forth in subsection (c)(7);

iii) That, upon request by the Division, the sponsor will submit evidence (e.g., certificate of attendance or course material) necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute.

B) A copy of a sample program with faculty, course materials and syllabi.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of nursing;

B) Foster the enhancement of general or specialized nursing practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program/presentation, or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. A sponsor approved pursuant to subsection (c)(1) may subcontract with individuals or organizations to provide approved programs. All advertising, promotional materials and certificates of attendance must identify the approved sponsor. The presenter of the program may also be identified but should be identified as a presenter. When an approved sponsor subcontracts with a presenter, the sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. To maintain approval as a sponsor approved under subsection (c)(2), each sponsor shall submit to the Division by May 31 of each even-numbered year a renewal application and the renewal fee specified in Section 1300.30(b).

7. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The sponsor's name and, if applicable, sponsor approval number;

B) The name of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

8. The sponsor shall maintain attendance records for not less than 5 years.

9. The sponsor shall be responsible for assuring that no renewal applicant will receive CE credit for time not actually spent attending the program.

10. Upon the failure of a sponsor to comply with any of the requirements of this subsection (c), the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE attendance at or participation in any of that sponsor's CE programs until such time as the Division receives assurances of compliance with this Section.

11. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificates of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval request with the $25 processing fee plus a late fee of $50 per CE hour, not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, along with the required fee set forth in Section 1300.30(b), a statement setting forth the facts concerning noncompliance and a request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division will waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the Armed Forces of the United States during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a currently licensed health care provider;

C) A physical inability to access the sites of approved programs documented by a currently licensed health care provider; or

D) Any other similar extenuating circumstances.

3. When the licensee is requesting a waiver due to physical or mental illness or incapacity, the licensee shall provide a current fitness to practice statement from a currently licensed health care provider familiar with the licensee's medical history.

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.200 Application for Examination or Licensure

a) Each applicant shall file with the Division or the testing service designated by the Division a completed, signed application, on forms supplied by the Division, that includes:

1. Proof of graduation from a licensed practical nursing education program that meets the requirements of Section 1300.230;

2. Verification of fingerprint processing from ISP or its designated agent. (Practical nurses licensed in Illinois are not required to be fingerprinted when applying for a license as a registered professional nurse.) Applicants shall contact an Illinois-licensed fingerprint vendor for fingerprint processing. Out-of-state residents may have their fingerprints taken by an out-of-state vendor but the fingerprints must be processed by an Illinois Livescan Vendor. Fingerprints shall be taken within the 60 days prior to application;

3. The required fees set forth in Section 1300.30(a)(1);

4. For applicants educated outside the United States or its territories, the following:

A) A credentials evaluation report of the applicant's foreign nursing education from the Commission on Graduates of Foreign Nursing Schools (CGFNS), Credentials Evaluation Service (CES), the Educational Records Evaluation Service (ERES), or another credentialing service approved by the Division. However, the Division shall not accept a credential report that does not evaluate the educational program of the applicant based upon receipt and review of official transcripts from the nursing education program bearing the school seal. In order to be accepted by the Division, credential reports shall be in a form and manner acceptable to the Division.

B) If the applicant's first language is not English, certification of passage of the Test of English as a Foreign Language (TOEFL), the Occupational English Test (OET), Pearson PET Academic, or the International English Language Testing System (IELTS) General Training Module or another English test approved by the Division. For TOEFL, the minimum passing score on the paper-based test is 560, computer-based test is 220, and internet-based test is 83. For the IELTS General Training Module, the minimum passing score shall be 6.0 (overall score) and 7.0 (spoken band). For the Occupational English Test (OET), the minimum passing score is 300 for Reading, Writing, and Listening and 350 for Speaking. For the Pearson PET Academic, the minimum passing score is 55 overall, with a 50 minimum for Reading, Listening, and Writing Sections and a 63 minimum for Speaking. The Division may, upon recommendation from an approved credentials evaluation service, waive the requirement that the applicant pass a board approved English proficiency examination if the applicant submits verification of the successful completion of a nursing education program conducted in English or the passage of an approved licensing examination given in English;

5. Official transcripts of theory and clinical education prepared by an official of the military for a practical nurse applicant who has received practical nursing education in the military service. This education must meet the standards set forth in Section 1300.230; and

6. Verification from the jurisdictions in which the applicant was originally licensed, current state of licensure and any other jurisdiction in which the applicant has been actively practicing within the last 5 years, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) Any applicant who fails to demonstrate fulfillment of the education requirements shall be notified in writing and must satisfy the deficiency before being granted temporary authority to practice nursing, as permitted by Section 60-10 of the Act, or being admitted to the examination. Deficiencies in nursing theory and/or clinical practice may be removed by taking the required courses in an approved nursing education program.

History

• Source: Amended at 49 Ill. Reg. 6052, effective May 9, 2025

68 Ill. Adm. Code 1300.210 Lpn Licensure Examination

a) The Board shall make recommendations to the Division regarding content, design and contractor for a licensure examination. A licensure examination contract shall be negotiated and approved by the Division.

b) Licensed Practical Nurse Examination

1. The passing grade on the National Council Licensure Examination (NCLEX) for LPNs shall be based on an ability scale designed to measure minimum LPN competency. A pass/fail grade will be assigned.

2. An LPN applicant who fails the examination is not eligible for licensure.

3. If the examination is not passed within 3 years from the date of the first examination taken, regardless of the jurisdiction in which the examination was written, the applicant shall not be permitted to retake the examination until the applicant has enrolled in a NLCEX review course. The applicant shall submit proof to the Division. This subsection (b)(3) does not apply to applicants licensed in another jurisdiction.

4. If 3 years from the date of original application has lapsed, the applicant shall be required to submit a new application to the Division pursuant to Section 55-10 of the Act.

c) Eligibility for Licensed Practical Nurse Examination

Any candidate who is unable to pass the registered professional nurse examination will not be permitted to write the practical nurse examination until or unless that applicant has graduated from an approved practical nursing education program.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.220 Lpn Licensure by Endorsement

a) Each applicant who is licensed in another jurisdiction shall file a completed, signed application for licensure on the basis of endorsement, on forms supplied by the Division. The application shall include:

1. The fee required by Section 1300.30(a)(1);

2. Proof of graduation from an LPN nursing education program that meets the requirements of Section 1300.230;

3. Proof of passage of an examination recognized by the Division, upon recommendation of the Board (i.e., National Council Licensure Examination for practical nurses, or State Board Test Pool Examination for practical nurses);

4. Verification of fingerprint processing from ISP or its designated agent. (Practical nurses licensed in Illinois are not required to be fingerprinted when applying for a license as a registered professional nurse.) Applicants shall contact an Illinois-licensed fingerprint vendor for fingerprint processing. Out-of-state residents may have their fingerprints taken by an out-of-state vendor but the fingerprints must be processed by an Illinois Livescan Vendor. Fingerprints shall be taken within the 60 days prior to application;

5. Official transcripts of theory and clinical education prepared by an official of the military for a practical nurse applicant who has received his/her education in the military service. Education must meet the standards for education set forth in Section 1300.230;

6. Verification of licensure status from the jurisdiction in which the applicant was originally licensed, current licensure and any other jurisdiction in which the applicant has been actively practicing within the last 5 years; and

7. A certified translation for all credentials of education and licensure, if not in English.

8. For LPN applicants who received education outside of the United States, a credentials evaluation report of the applicant's foreign nursing education from the Commission on Graduates of Foreign Nursing Schools (CGFNS) Credentials Evaluation Service (CES), the Educational Records Evaluation Service (ERES) or another credentialing service approved by the Division. This requirement can be satisfied by providing proof of licensure in a state that requires such a report for initial licensure.

b) After filing the original application, any change of name must be supported by an affidavit satisfactory to the Division.

c) Compliance with the provisions of Section 1300.210(b)(3) for each practical nurse applicant shall be a requirement for Illinois practical nurse licensure by endorsement.

d) Eligibility for Practical Nurse Endorsement

A candidate who is unable to pass the LPN examination in another jurisdiction and is allowed to write the practical nurse examination in that jurisdiction and is subsequently licensed as a practical nurse in that jurisdiction is not eligible for endorsement in Illinois unless and until the candidate has graduated from an approved practical nursing education program.

e) Individuals applying for licensure by endorsement may apply to the Division, on forms provided by the Division, to receive a Temporary Endorsement Permit pursuant to Section 55-10 of the Act. The permit shall allow the applicant to work pending the issuance of a license by endorsement.

1. The temporary endorsement permit application shall include:

A) A completed, signed endorsement application, along with the required endorsement licensure fee set forth in Section 1300.30(a)(2). All supporting documents shall be submitted to the Division before a permanent license by endorsement is issued;

B) Photocopies of all current active nursing licenses and/or temporary permits/licenses from other jurisdictions. Current active licensure in at least one United States jurisdiction is required. Each applicant's license will be checked on the Nurse System (NURSYS) disciplinary data bank to determine if any disciplinary action is pending on the applicant's file;

C) Verification that fingerprints have been submitted to the Division or the Illinois Department of State Police or its designated agent; and

D) The fee for a temporary permit as required in Section 1300.30(a)(2).

2. The Division shall issue a temporary endorsement permit no later than 14 days after receipt of a completed application as set forth in subsection (e)(1).

3. Temporary permits shall be terminated upon:

A) The issuance of a permanent license by endorsement;

B) Failure to complete the application process within 6 months from the date of issuance of the permit;

C) A finding by the Division that the applicant has been convicted of any crime under the laws of any jurisdiction of the United States that is:

i) A felony; or

ii) A misdemeanor directly related to the practice of nursing, within the last 5 years;

D) A finding by the Division that, within the last 5 years, the applicant has had a license or permit related to the practice of nursing revoked, suspended or placed on probation by another jurisdiction, if at least one of the grounds is substantially equivalent to grounds in Illinois; or

E) A finding by the Division that the applicant does not meet the licensure requirements for endorsement set forth in this Section. The Division shall notify the applicant in writing of the termination.

4. The Division shall notify the applicant by certified or registered mail of the intent to deny licensure pursuant to subsections (e)(3)(D) and (E) of this Section and/or Section 70-5 of the Act.

5. A temporary permit shall be renewed beyond the 6-month period, upon recommendation of the Board and approval of the Director, due to hardship, defined as:

A) Serving full-time in the Armed Forces;

B) An incapacitating illness as documented by a currently licensed health care provider;

C) Death of an immediate family member; or

D) Extenuating circumstances beyond the applicant's control, as approved by the Director.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.230 Approval of Programs

a) Program Approval

Institutions desiring to establish a new nursing program that would lead to meeting requirements for licensure, change the level of educational preparation of the program, or establish an extension of an existing program shall:

1. Submit a letter of intent to the Division.

2. Provide a feasibility study to the Division, on forms provided by the Division, that includes, at least, documentation of:

A) Need for the program in the community;

B) Need for graduates of the proposed program;

C) Availability of students;

D) Impact on existing nursing programs in a 50 mile radius of the proposed program;

E) Potential for qualified faculty, including the curriculum vitae of any potential faculty members;

F) Adequacy of clinical practicum and academic resources;

G) Financial commitment to support the initial and continuing program;

H) Community support of the scope and philosophy of the program;

I) Authorization by the appropriate education agency of the State of Illinois; and

J) A timetable for development of the program and the intended date of the first class beginning.

3. Identify a qualified nurse administrator with a minimum of a master's degree in nursing and with experience as a nurse educator and provide a curriculum vitae of the proposed nurse administrator.

4. Submit a curriculum proposal including:

A) Program philosophy and objectives;

B) A plan of organization that is logical and internally consistent;

C) Proposed plans of study, including requisite and elective courses with rationale;

D) Course outlines or syllabi for all nursing courses;

E) Student handbook;

F) Faculty qualifications;

G) Instructional approaches to be employed;

H) Evaluation plans for progress, faculty and students;

I) Facilities and utilization plan; and

J) Budget plan.

5. Coordinate with the Division and/or the DPR Nursing Coordinator for a site visit to be conducted prior to program approval.

b) Continued Program Approval

1. Nursing education programs shall submit annual evaluation reports to the Division on forms provided by the Division. These reports shall contain information regarding curriculum, faculty and students and other information deemed appropriate by the Division.

2. Full routine site visits may be conducted by the Division for periodic evaluation. The visits will be utilized to determine compliance with the Act. Unannounced site visits may be conducted when the Division obtains evidence that would indicate the program is not in compliance with the Act or this Part.

3. A pass rate of graduates on the National Council Licensing Examination (NCLEX) shall be included in the annual evaluation of nursing education programs.

A) A pass rate of 75% of first time examinees will be required for a school to remain in good standing.

B) A nursing education program having an annual pass rate of less than 75% of first time examinees for one year will receive a written warning of noncompliance from the Division.

C) A nursing education program having an annual pass rate of less than 75% of first time examinees for 2 consecutive years will receive a site visit for evaluation and recommendation by the Division and will be placed on probation for program revision. This determination may be contested by filing a petition for hearing in accordance with 68 Ill. Adm. Code 1110.

D) The nursing education program will have 2 years to demonstrate evidence of implementing strategies to correct deficiencies and bring the pass rate in line with the 75% criteria.

E) If, 2 years after implementing the strategies to correct deficiencies in the program, the annual pass rate is less than 75%, the program will be reevaluated. The program may be allowed to continue to operate on a probationary status or approval may be withdrawn and the program removed from the list of Illinois approved nursing programs in accordance with subsection (l) of this Section. When determining whether a program will be allowed to continue to operate on a probationary status or approval, the Division will, but is not limited to, consider: whether the program's pass rate has trended upward; how close the program is to the 75% goal; and the program's adherence to the remediation plan.

c) Major Curricular Revision

Nursing education programs desiring to make a major curricular revision, i.e., addition or deletion of content, a substantive change in philosophy or conceptual framework, or length of program, shall:

1. Submit a letter of intent to the Division; and

2. Submit a copy of the proposed changes and new material to the Division, at least one term prior to implementation, for Board recommendation and Division approval in accordance with the standards set forth in subsection (f).

d) Minor Curricular Revisions

Nursing education programs desiring to make curricular revisions involving reorganization of current course content but not constituting a major curriculum revision shall submit the proposed changes to the Division in their annual report.

e) Organization and Administration

1. An institution responsible for conducting a nursing education program shall be authorized by the appropriate agency of the State of Illinois (e.g., Illinois Board of Higher Education, Illinois Community College Board).

2. The relationship of the nursing education program to other units within the sponsoring institution shall be clearly delineated with organizational charts on file with the Division.

3. Nursing education programs shall have clearly defined lines of authority, responsibility and communication.

4. Student input into determination of academic policies and procedures, curriculum planning and evaluation of faculty effectiveness shall be assured as evidenced by information such as student membership on policy and evaluation committees, policy statements and evaluation procedures.

5. Nursing education program policies and procedures shall be in written form, congruent with those of the sponsoring institution, and reviewed by members of the program on a regular schedule.

6. The philosophy, purpose and objectives of the nursing education program shall be stated in writing and shall be consistent with the sponsoring institution and current social, nursing and educational trends and the Act.

f) Curriculum and Instruction

1. The curriculum shall be based upon the stated program purpose, philosophy and outcomes.

2. Levels of progression in relation to the stated program outcomes shall be established.

3. Coordinated clinical and theoretical learning experiences shall be consistent with the program outcomes.

4. Curricular content shall reflect contemporary nursing practice encompassing major health needs of all age groups.

5. The entire curriculum shall be based on sound nursing, education and instructional principles.

6. The curriculum shall be evaluated by faculty with student input, according to a stated plan.

7. The program shall be approved by the appropriate educational agency.

8. Curriculum for the practical nursing programs shall:

A) Include, at a minimum, basic concepts of anatomy, physiology, chemistry, microbiology, physics, communications, growth and development, interpersonal relationships, psychology, sociology, cultural diversity, pharmacology (pharmacology course standards are set forth in Section 1300.240), nutrition and diet therapy and vocational, legal and ethical aspects of nursing;

B) Not preclude a flexible curriculum that would provide appropriate integration of the nursing subject areas;

C) Provide basic theoretical and clinical instruction in all areas of nursing practice in the promotion, prevention, restoration and maintenance of health in individuals and groups across the life span and in a variety of clinical settings;

D) Incorporate the nursing process as an integral part of the curriculum;

E) Prepare the student to assume entry level practical nursing positions to assist clients with normal and common health problems through use of basic nursing skills;

F) Be at least one academic year in length; and

G) If a military program, consist of a minimum of 36 to 40 weeks of theory and clinical instruction incorporating the curriculum outlined in subsection (f)(8)(A).

g) Nursing Administrator and Nursing Faculty

1. The institution responsible for conducting the nursing program and the nurse administrator of the nursing education program shall be responsible for ensuring that the individual faculty members are academically and professionally qualified.

2. Nursing education programs shall be administered by the nurse administrator of the nursing education program.

3. The nurse administrator and faculty of a nursing education program shall be currently licensed as registered professional nurses in Illinois.

4. The nurse administrator of a nursing education program shall have at least:

A) 2 years' experience in clinical nursing practice;

B) 2 years' experience as a nurse educator; and

C) A master's degree or higher with a major in nursing.

5. The nurse faculty of a practical nursing program shall have at least:

A) 2 years' experience in clinical nursing practice; and

B) A baccalaureate degree or higher with a major in nursing.

6. The requirements of subsections (g)(4) and (5) shall not affect incumbents as of the original date these requirements were adopted, January 14, 1980.

7. Nurse administrators of nursing education programs shall be responsible for:

A) Administration of the nursing education program;

B) Liaison with other units of the sponsoring institution;

C) Preparation and administration of the budget;

D) Facilitation of faculty development and performance review;

E) Facilitation and coordination of activities related to academic policies, personnel policies, curriculum, resource facilities and services and program evaluation; and

F) Notification to the Division of program changes.

8. Nurse faculty shall be responsible for:

A) Development, implementation and evaluation of the purpose, philosophy and objectives of the nursing education program;

B) Design, implementation and evaluation of curriculum for the nursing education program;

C) Participation in academic advising of students;

D) Development and evaluation of student policies; and

E) Evaluation of student performance in meeting the objectives of the program.

9. Nurse faculty shall participate in:

A) Selection, promotion and tenure activities;

B) Academic activities of the institution;

C) Professional and health related community activities;

D) Self-development activities for professional and personal growth;

E) Research and other scholarly activities for which qualified; and

F) Activities that maintain educational and clinical expertise in areas of teaching.

10. Clinical experience must be under direct supervision of qualified faculty as set forth in this subsection (g) or with a registered nurse preceptor. The nurse preceptor shall be approved by the parent institution and shall work under the direction of a nurse faculty member.

11. The ratio of students to faculty in the clinical area shall be appropriate to the clinical learning experience:

A) When under direct supervision of the faculty, the ratio shall not exceed 10 to 1.

B) When a registered nurse preceptor is used, the ratio of students to faculty member shall not exceed 12 to 1.

h) Financial Support, Facilities, Records

1. Adequate financial support for the nursing education program, faculty and other necessary personnel, equipment, supplies and services shall be in evidence in the program budget.

2. The faculty of the nursing education program and the staff of cooperating agencies used as sites for additional theory and clinical experience shall work together for quality of patient care.

3. Articles of Affiliation

A) The nursing education program shall have Articles of Affiliation between the nursing education program and each clinical facility that define the rights and responsibilities of each party, including agreements on the role and authority of the governing bodies of both the clinical site and the nursing education program.

B) If portions of the required clinical or theoretical curriculum are offered at different geographical sites or by distance learning, the curriculum must be planned, supervised, administered and evaluated in concert with appropriate faculty committees, department chairmen and administrative officers of the parent school.

4. There shall be adequate facilities for the nursing program for both academic and clinical experiences for students.

5. There shall be access to learning resource facilities, including library and multi-media technology, that are reasonably sufficient for the curriculum and the number of students enrolled in the nursing education programs.

6. Cooperating agencies shall be identified to the Division and shall be suitable to meet the objectives of the program.

7. Addition or deletion of cooperating agencies shall be reported in writing to the Division on the program annual report.

8. The nursing program's policies and procedures shall not violate constitutional rights and shall be written and available to faculty and students.

9. Permanent student records that summarize admissions, credentials, grades and other records of performance shall be maintained by the program.

i) Preceptors

A program of licensed professional nursing that uses the personnel of a clinical facility as preceptors to instruct the clinical experience must:

1. Require each preceptor to have demonstrated competencies with patient populations to which the student is assigned;

2. Require each preceptor to be approved by the faculty of the program of nursing;

3. Require the faculty of the program to provide to each preceptor an orientation concerning the roles and responsibilities of students, faculty and preceptors;

4. Require the faculty of the program to develop written competencies/outcomes and provide a copy of these to each preceptor before the preceptor begins instruction of the students;

5. Designate a member of the faculty to serve as a liaison between the preceptor and each student who participates in the clinical experience;

6. Require that each preceptor be present in the clinical facility or at the location of point of care and available to the students at all times when the student provides nursing care or services to patients/clients;

7. Require that each preceptor have a current registered professional nurse license in the state where the student is practicing.

j) Denial of Approval of Nursing Program

If the Division, in the course of reviewing an application for approval of a nursing program, determines that an applicant program has failed to comply with the application criteria or procedures outlined in this Part, or receives information that indicates that the applicant program will not be able to comply with the conditions set forth in subsection (b), the Division may deny the application for approval. When determining whether to deny an application for approval, the Division will, but is not limited, consider whether: more information from a program is needed; problems with the proposed administrator remain unresolved; and space and resources for the program and students is adequate.

k) Discontinuance of a Nursing Program

1. Prior to terminating a nursing education program, the program shall:

A) Notify the Division, in writing, of its intent to discontinue its program;

B) Continue to meet the requirements of the Act and this Part until the official date of termination of the program;

C) Notify the Division of the date on which the last student will graduate and the program will terminate; and

D) Assume responsibility for assisting students to continue their education in the event of closing of the school prior to the final student graduating.

2. Upon closure of the nursing education program, the institution shall notify the Division, in writing, of the location of student and graduate records storage.

l) Withdrawal of Program Approval

1. The following are grounds for withdrawal of program approval of a nursing education program:

A) A violation of any provision of the Act;

B) Fraud or dishonesty in applying for approval of a nursing education program;

C) Failure to continue to meet criteria of an approved nursing education program set forth in this Section;

D) Failure to comply with recommendations made by the Division as a result of a site visit; or

E) Failure to correct a non-compliant annual pass rate pursuant to subsection (b) of this Section.

2. Upon written notification of the Division's proposed action, the nursing education program may:

A) Submit a written response; or

B) Request an appearance before the Board to provide a response.

3. Upon written notification that the Director has withdrawn the program approval of a nursing education program, the program may request a hearing to contest the Director's action in accordance with 68 Ill. Adm. Code 1110.

m) Out-of-State Education Programs Seeking Student Nurse Clinical Placement in Illinois

1. Out-of-state nursing education programs offering clinical experiences in Illinois are expected to maintain the standards for approved nursing education programs set forth in this Section.

2. Programs desiring to seek approval for student nurse clinical placement in Illinois shall submit the following documents:

A) Evidence of approval/accreditation by the Board of Nursing or other appropriate approval bodies in the state in which the institution is located.

B) A letter requesting approval to provide the clinical offering that indicates the time-frame during which the clinical experience will be conducted, the clinical agencies and the clinical units to be utilized.

C) A course syllabus for the clinical experiences to be offered that specifies the related objectives of the offering.

D) A copy of the executed contractual agreement between the academic institution and the clinical facility.

E) A faculty qualification and/or preceptor form for individuals providing instruction in Illinois.

3. Nursing Faculty

A) The institution responsible for conducting the nursing program and the administrator of the nursing education program shall be responsible for ensuring that the individual faculty members are academically and professionally qualified.

B) Nurse faculty of a practical nursing program shall have:

i) At least 2 years' experience in clinical nursing practice; and

ii) A baccalaureate degree or higher with a major in nursing.

C) The faculty shall be currently licensed as registered professional nurses in Illinois.

D) Clinical experience must be under direct supervision of qualified faculty as set forth in subsection (g) or with a registered nurse preceptor. The nurse preceptor shall be approved by the parent institution and shall work under the direction of a nurse faculty member.

E) The ratio of nursing students to nurse faculty in the clinical area shall be appropriate to the clinical learning experience.

i) When under direct supervision of the nursing faculty, the ratio shall not exceed 10 to 1.

ii) When a registered nurse preceptor is used, the ratio of students to nursing faculty member shall not exceed 12 to 1.

4. Approval for clinical offerings by out-of-state nursing programs shall be approved for a period of 2 years. A program representative may request renewal of the approval every 2 years. In order to renew, the program shall submit a written report that provides updated and current data as required by this subsection (m).

5. A written report of current clinical offerings and current data shall be submitted to the Division annually. Nursing faculty qualification and preceptor forms shall be submitted when instructors are added or changed.

6. Failure to comply with the requirements set forth in this Part shall result in the immediate withdrawal of approval of the clinical experience offering.

n) If the name of the program is changed or the institution in which the program is located or with which it is affiliated changes its name, the program shall notify the Division within 30 days after the name change. If the Division is not notified within the 30 days, the program's approval may be withdrawn.

o) The Division has determined that nationally accredited nurse programs meet the requirements set forth in this Section, except for those programs whose curriculums do not include a concurrent theory and clinical practice education component as required by Section 50-70 of the Act.

History

• Source: Amended at 49 Ill. Reg. 6052, effective May 9, 2025

68 Ill. Adm. Code 1300.240 Standards for Pharmacology/Administration of Medication Course for Practical Nurses

a) Approved licensed practical nursing programs shall include a course designed to educate practical nursing students and/or licensed practical nurses to administer medications via oral, topical, subcutaneous, intradermal and intramuscular routes under the direction of a registered professional nurse, advanced practice registered nurse, physician assistant, physician, dentist or podiatric physician that contains the following minimum components:

1. Prerequisites

A) Basic computational math and high school algebra with proficiency in the following concepts, including, but not limited to, ratios and proportions and metric, apothecary and household measurements as documented via examination and/or coursework completed.

B) Basic scientific knowledge, including, but not limited to, microbiology/asepsis and anatomy and physiology with a basic understanding of fluid and electrolytes, the inflammatory response, the immune response, and body systems as documented via examination or coursework.

2. Pharmacology

A) An introduction to pharmacology, including the areas of:

i) Terminology and abbreviations

ii) Federal and State laws related to pharmacology (e.g., Illinois Controlled Substances Act [720 ILCS 570]; federal Food, Drug and Cosmetic Act (21 USC 360))

iii) Drug standards and references (i.e., United States Pharmacopoeia/National Formulary)

iv) Generic versus brand name drugs

v) Misuse/abuse of drugs

B) Classifications of drugs (with commonly used examples), including:

i) Action/Physiological effect

ii) Interactions

iii) Side effects and contraindications

iv) Dosages and routes

v) Nursing implications (including legal implications)

3. Administration of Medication

A) Following procedures of safety as described in subsections (a)(3)(C), (D), (E) and (F) in administering medications.

B) Developmental adaptations for administering medications to patients of all ages.

C) Assessment of patient condition.

D) Planning for administration of medication, including:

i) Checking for an order from an advanced practice registered nurse, physician assistant, physician, dentist or podiatric physician

ii) Securing proper equipment

iii) Verifying proper packaging of medication

E) Implementation of administration of medication, including:

i) Site selection

ii) Verifying route of administration

iii) Administering the medication

iv) Recording medication administration

v) Patient education for compliance

F) Evaluation of patient response, including:

i) Effects/side effects/allergic responses

ii) Recording/reporting of effects

b) This Section does not preclude a flexible curriculum that would provide appropriate integration into other practical nursing courses.

c) The course/instruction shall include at least 32 hours of theory and 64 hours of lab and clinical with administration of medication to patients performed under direct supervision of qualified faculty as set forth in subsection (d).

d) Nurse faculty of pharmacology and administration of medication courses shall have:

1. At least 2 years experience in clinical nursing practice;

2. A baccalaureate degree with a major in nursing;

3. A current Illinois Registered Professional Nurse license.

e) Approved licensed practical nursing programs shall include a curriculum designed to educate practical nursing students and/or licensed practical nurses to perform the following activities related to intravenous therapy under the supervision of a registered professional nurse, advanced practice registered nurse, physician assistant, physician, dentist or podiatric physician:

1. Monitoring the flow rate of existing intravenous lines.

2. Regulating peripheral fluid infusion rates for a continuous infusion of fluids or for intermittent infusions, through an IV access device. A peripheral IV line is defined as a short catheter inserted through the skin terminating in a peripheral vein.

3. Observing sites for local reaction and reporting results to the registered nurse.

4. Discontinuing intravenous therapy with an order from an advanced practice registered nurse, physician assistant, physician, dentist or podiatric physician.

5. Adding pharmacy pre-mixed antibiotic solutions to existing patent lines.

6. Changing peripheral intravenous tubings and dressings.

7. Monitoring existing transfusions of blood and blood components.

8. Documenting intravenous procedures performed and observations made.

f) This curriculum shall prepare the LPN to start peripheral intravenous therapy that consists of a short catheter inserted through the skin into a peripheral vein.

g) The curriculum shall not include the following procedures:

1. Administering chemotherapeutic agents via intravenous routes.

2. Starting or adding blood or blood components.

3. Administering medications via intravenous push or administering heparin in heparin locks.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.250 Lpn Scope of Practice

Practice as a licensed practical nurse means a scope of basic nursing practice, with or without compensation, as delegated by a registered professional nurse or an advanced practice registered nurse or as directed by a physician assistant, physician, dentist or podiatric physician, and includes all of the following and other activities requiring a like skill level for which the LPN is properly trained:

a) Conducting a focused nursing assessment and contributing to the ongoing comprehensive nursing assessment of the patient performed by the RN.

b) Collaborating in the development and modification of the RN's or APRN's comprehensive nursing plan of care for all types of patients.

c) Implementing aspects of the plan of care.

d) Participating in health teaching and counseling to promote, attain, and maintain the optimum health level of patients.

e) Serving as an advocate for the patient by communicating and collaborating with other health service personnel.

f) Participating in the evaluation of patient responses to interventions.

g) Communicating and collaborating with other health care professionals.

h) Providing input into the development of policies and procedures to support patient safety. (Section 55-30 of the Act)

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.260 Standards for Professional Conduct for Lpns

a) The licensed practical nurse shall, but is not limited to, upholding the following professional standards:

1. Practice in accordance with the Act and this Part;

2. Practice nursing only when in functional physical and mental health;

3. Be accountable for his or her own nursing actions and competencies;

4. Practice or offer to practice, including delegated nursing activities, only within the scope permitted by law and within the licensee's own educational preparation and competencies;

5. Perform nursing interventions as delegated;

6. Seek instruction from a registered professional nurse or advanced practice registered nurse when implementing new or unfamiliar nursing activities;

7. Report unsafe, unethical or illegal health care practice or conditions to appropriate authorities and to the Division;

8. Assume responsibility for continued growth and education to reflect knowledge and understanding of current nursing care practice.

b) Violations of this Section may result in discipline as specified in Section 70-5 of the Act.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.300 Application for Examination or Licensure

a) Each applicant shall file, with the Division or the testing service designated by the Division, a completed, signed application, on forms supplied by the Division, that includes:

1. Proof of graduation from a nursing education program that meets the requirements of Section 1300.40;

2. Verification of fingerprint processing from ISP or its designated agent. (Practical nurses licensed in Illinois are not required to be fingerprinted when applying for a license as a registered professional nurse.) Applicants shall contact an Illinois-licensed fingerprint vendor for fingerprint processing. Out-of-state residents may have their fingerprints taken by an out-of-state vendor but the fingerprints must be processed by an Illinois Livescan Vendor. Fingerprints shall be taken within the 60 days prior to application;

3. The fees required by Section 1300.30(a)(1);

4. For applicants educated outside the United States or its territories, the following:

A) A credentials evaluation report of the applicant's foreign nursing education from either the Commission on Graduates of Foreign Nursing Schools (CGFNS) Credentials Evaluation Service (CES), the Educational Records Evaluation Service (ERES), or another credentialing service approved by the Division. To be accepted, the report must:

i) Verify that the applicant has successfully completed nursing education equivalent to education received in a US state or territory as determined by the Department, based upon receipt and review of official transcripts from the nursing education program bearing the school seal;

ii) Indicate any subject matter deficiencies; and

iii) Be in a form and manner acceptable to the Division. The Division will not accept a credential report until it receives all relevant information required by this Section; and

B) If the applicant's first language is not English, certification of passage of either the Test of English as a Foreign Language (TOEFL) or the International English Language Testing System (IELTS) Academic Module. For TOEFL the minimum passing score on the paper-based test is 560, computer-based test is 220, and internet-based test is 83. For the IELTS Academic Module, the minimum passing score shall be 6.5 (overall score) and 7.0 (spoken band). The Division may, upon recommendation from an approved credentials evaluation service, waive the requirement that the applicant pass the TOEFL or IELTS examination if the applicant submits verification of the successful completion of a nursing education program conducted in English.

b) Any applicant who fails to demonstrate fulfillment of the education requirements shall be notified in writing and must satisfy the deficiency before being granted temporary authority to practice nursing, as permitted by Section 60-10 of the Act, or being admitted to the examination. Deficiencies in nursing theory and/or clinical practice may be removed by taking the required courses in an approved nursing education program.

c) When the applicant has completed the nursing education program in less than the usual length of time through advanced standing or transfer of credits from one institution to another, the director of nursing education shall include an explanation in the certification.

d) Pursuant to Section 50-70 of the Act, when an applicant has completed a nonapproved program that is a correspondence course or a program of nursing that does not require coordinated or concurrent theory and clinical practice, the Division may grant a license to an applicant who has applied in accordance with subsection (a) and who has received an advanced graduate degree in nursing from an approved program with concurrent theory and clinical practice or who is currently licensed in another state and has been actively practicing in clinical nursing for a minimum of 2 years. Clinical practice for purposes of this Section means nursing practice that involves direct physical (psychomotor and psychosocial) patient (client) care within an acute care facility.

1. Clinical practice areas that would meet the requirements for clinical practice include the following:

A) Adult Medical Surgical Nursing

B) Pediatric Nursing

C) Maternity Nursing

D) Emergency Nursing

E) Critical Care Nursing

F) Post-Anesthesia Care Nursing

G) Psychiatric Nursing

H) Medicare/Skilled Nursing in a Long-Term Care Facility

2. Clinical practice shall not include:

A) Telephone or Triage Nursing

B) Case Management

3. A year of clinical practice consists of not less than 1500 hours of direct patient care.

4. The Board of Nursing will review clinical practice documentation that does not meet the requirements of this subsection (d).

e) Credentials of education and licensure, if not in English, shall be accompanied by a certified translation.

f) After filing the original application, any change of name must be supported by an affidavit satisfactory to the Division.

g) If an applicant has taken and passed the National Council Licensure Examination (NCLEX) in accordance with Section 1300.310, the applicant shall file an application in accordance with subsection (a) and shall have the examination scores submitted to the Division directly from the testing entity or from the state of original licensure.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.310 Rn Licensure Examination

a) The Board shall make recommendations to the Division regarding content, design and contractor for a licensure examination. A licensure examination contract shall be negotiated and approved by the Division.

b) Registered Professional Nurse Examination

1. The passing grade on the National Council Licensure Examination (NCLEX) for registered professional nurses shall be based on an ability scale designed to measure minimum RN competency. A pass/fail grade will be assigned.

2. An RN applicant who fails the examination is not eligible for licensure

3. If the examination is not passed within 3 years from the date of application, regardless of jurisdiction in which the examination was written, the applicant shall not be permitted to retake the examination until the applicant has enrolled in a NCLEX review course. The applicant shall submit proof to the Division. This subsection (b)(3) does not apply to applicants who are licensed in another jurisdiction.

4. If 3 years from the date of original application has lapsed, the applicant shall be required to submit a new application to the Division pursuant to Section 60-10 of the Act and provide evidence of meeting the requirements in force at the time of the new application.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.320 Rn Licensure by Endorsement

a) Each applicant who is licensed in another jurisdiction shall file a completed, signed application for licensure on the basis of endorsement, on forms supplied by the Division. The application shall include:

1. The fee required by Section 1300.30(a)(1);

2. Proof of graduation from a nursing education program that meets the requirements of Section 1300.340;

3. Proof of passage of an examination recognized by the Division, upon recommendation of the Board (i.e., National Council Licensure Examination for professional nurses, or State Board Test Pool Examination for professional nurses or practical nurses);

4. Verification of fingerprint processing from ISP or its designated agent. (Practical nurses licensed in Illinois are not required to be fingerprinted when applying for a license as a registered professional nurse.) Applicants shall contact an Illinois-licensed fingerprint vendor for fingerprint processing. Out-of-state residents may have their fingerprints taken by an out-of-state vendor but the fingerprints must be processed by an Illinois Livescan Vendor. Fingerprints shall be taken within the 60 days prior to application;

5. For RN applicants who received education outside of the United States, a credentials evaluation report of the applicant's foreign nursing education from either the Commission on Graduates of Foreign Nursing Schools (CGFNS) Credentials Evaluation Service (CES), the Educational Records Evaluation Service (ERES), or another credentialing service approved by the Division. This requirement can be satisfied by providing proof of licensure in a state that requires such a report for initial licensure.

A) To be accepted, the report must:

i) Verify that the applicant has successfully completed nursing education equivalent to education received in a US state or territory as determined by the Department, based upon receipt and review of official transcripts from the nursing education program bearing the school seal;

ii) Indicate any subject matter deficiencies; and

iii) Be in a form and manner acceptable to the Division. The Division will not accept a credential report until it receives all relevant information required by this Section.

B) The requirement for a credentials evaluation of foreign nursing education may be satisfied by the submission of proof of a certificate from the Certificate Program or the VisaScreen Program of the Commission on Graduates of Foreign Nursing Schools, provided that the certificate was based upon licensure in the applicants country of education;

C) If the applicant's first language is not English, the applicant shall provide certification of passage of either the Test of English as a Foreign Language (TOEFL) or the International English Language Testing System (IELTS) Academic Module. For TOEFL, the minimum passing score on the paper-based test is 560, computer‑based test is 220, and internet-based test is 83. For the IELTS Academic Module, the minimum passing score shall be 6.5 (overall score) and 7.0 (spoken band). The Division may waive the requirement that the applicant pass the TOEFL or IELTS examination if the applicant submits verification of the successful completion of a nursing education program conducted in English or the passage of an approved licensing examination given in English;

D) Applicants that have completed a minimum of 2 years of nursing education and have met the other requirements for those educated in another country may be approved for licensure.

6. Official transcripts of theory and clinical education prepared by an official of the military for a nurse applicant who has received his/her education in the military service. Education must meet the standards for education set forth in Section 1300.340;

7. Verification of licensure status from the jurisdiction in which the applicant was originally licensed, current licensure and any other jurisdiction in which the applicant has been actively practicing; and

8. A certified translation for all credentials of education and licensure, if not in English.

b) After filing the original application, any change of name must be supported by an affidavit satisfactory to the Division.

c) Deficiencies in nursing theory and/or clinical practice may be removed by taking the required courses in an approved nursing education program.

d) Compliance with the provisions of Section 1300.310(b)(3) for each RN applicant and shall be a requirement for Illinois nurse licensure by endorsement.

e) Individuals applying for licensure by endorsement may apply to the Division, on forms provided by the Division, to receive a Temporary Endorsement Permit pursuant to Section 60-10 of the Act. The permit shall allow the applicant to work pending the issuance of a license by endorsement.

1. The temporary endorsement permit application shall include:

A) A completed, signed endorsement application, along with the required endorsement licensure fee set forth in Section 1300.30(a)(3). All supporting documents shall be submitted to the Division before a permanent license by endorsement is issued;

B) Photocopies of all current active nursing licenses and/or temporary permits/licenses from other jurisdictions. Current active licensure in at least one United States jurisdiction is required. Each applicant's license will be checked on the Nurse System (NURSYS) disciplinary data bank to determine if any disciplinary action is pending on the applicant's file;

C) Verification that fingerprints have been submitted to the Division or the Illinois Department of State Police or its designated agent; and

D) The fee for a temporary permit as required in Section 1300.30(a)(3).

2. The Division shall issue a temporary endorsement permit no later than 14 days after receipt of a completed application as set forth in subsection (e)(1).

3. Temporary permits shall be terminated upon:

A) The issuance of a permanent license by endorsement;

B) Failure to complete the application process within 6 months from the date of issuance of the permit;

C) A finding by the Division that the applicant has been convicted of any crime under the laws of any jurisdiction of the United States that is:

i) A felony; or

ii) A misdemeanor directly related to the practice of nursing, within the last 5 years;

D) A finding by the Division that, within the last 5 years, the applicant has had a license or permit related to the practice of nursing revoked, suspended or placed on probation by another jurisdiction, if at least one of the grounds is substantially equivalent to grounds in Illinois; or

E) A finding by the Division that the applicant does not meet the licensure requirements for endorsement set forth in this Section. The Division shall notify the applicant in writing of the termination.

4. The Division shall notify the applicant by certified or registered mail of the intent to deny licensure pursuant to subsections (e)(3)(D) and (E) and/or Section 70-5 of the Act.

5. A temporary permit shall be renewed beyond the 6-month period, upon recommendation of the Board and approval of the Director, due to hardship, defined as:

A) Serving full-time in the Armed Forces;

B) An incapacitating illness as documented by a currently licensed physician;

C) Death of an immediate family member; or

D) Extenuating circumstances beyond the applicant's control, as approved by the Director.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.330 Nurse Externship (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.340 Approval of Programs

a) Program Approval

Institutions desiring to establish a new nursing program that would lead to meeting requirements for licensure, change the level of educational preparation of the program, or establish an extension of an existing program shall:

1. Submit a letter of intent to the Division.

2. Provide a feasibility study to the Division, on forms provided by the Division, that includes, at least, documentation of:

A) Need for the program in the community;

B) Need for graduates of the proposed program;

C) Availability of students;

D) Impact on existing nursing programs in a 50-mile radius of the proposed program;

E) The curriculum vitae of identifiable nursing faculty, including the curriculum vitae of any potential nursing faculty members that will teach in the program;

F) Adequacy of clinical practicum and academic resources;

G) Financial commitment to support the initial and continuing program;

H) Community support of the scope and philosophy of the program;

I) Authorization by the appropriate education agency of the State of Illinois; and

J) A timetable for development of the program and the intended date of the first class beginning.

3. Identify and provide a curriculum vitae of a qualified nurse administrator with a minimum of a master's degree in nursing and with experience as a nurse educator.

4. Submit a curriculum proposal including:

A) Program philosophy and objectives;

B) A plan of organization that is logical and internally consistent;

C) Proposed plans of study, including requisite and elective courses with rationale;

D) Course outlines or syllabi for all nursing courses;

E) Student handbook;

F) Faculty qualifications;

G) Instructional approaches to be employed;

H) Evaluation plans for faculty and students;

I) Facilities and utilization plan; and

J) Budget plan.

5. Coordinate with the Division and/or Nursing Coordinator for a site visit to be conducted prior to program approval.

b) Continued Program Approval

1. Nursing education programs shall submit annual evaluation reports to the Division on forms provided by the Division. These reports shall contain information regarding curriculum, faculty and students and other information deemed appropriate by the Division.

2. Full routine site visits may be conducted by the Division for periodic evaluation. The visits will be utilized to determine compliance with the Act. Unannounced site visits may be conducted when the Division obtains evidence that would indicate the program is not in compliance with the Act or this Part.

3. Beginning December 31, 2022, obtaining and maintaining programmatic accreditation by a national accrediting body for nursing education recognized by the United States Department of Education and approved by the Department. The Department and Board of Nursing shall be notified within 30 days if the program loses its accreditation. (Section 60-5(a)(5) of the Act)

A) The Board shall issue a warning letter to any program that lost its national accreditation. This letter shall inform the program of its probationary status and the corrective actions necessary to be in compliance with the Act.

B) The program placed on probationary status must:

i) Immediately notify all enrolled students and applicants that the program has lost its national accreditation and of corrective actions the program will take to regain its accreditation; and

ii) Correct the deficiencies identified by the Board within 12 months unless otherwise directed by the Board, including regaining its national accreditation. Failure to correct the deficiencies within the specified time frame shall result in the Division's withdrawal of the program's approval status.

4. A pass rate of graduates on the National Council Licensing Examination (NCLEX) shall be included in the annual evaluation of nursing education programs.

A) A pass rate of 75% of first-time examinees will be required for a school to remain in good standing.

B) A nursing education program having an annual pass rate of less than 75% of first-time examinees for one year will receive a written warning of noncompliance from the Division.

C) A nursing education program having an annual pass rate of less than 75% of first-time examinees for 2 consecutive years will receive a site visit for evaluation and recommendation by the Division and will be placed on probation for program revision. This determination may be contested by filing a petition for hearing in accordance with 68 Ill. Adm. Code 1110.

D) The nursing education program will have 2 years to demonstrate evidence of implementing strategies to correct deficiencies and bring the pass rate in line with the 75% criteria.

E) If, 2 years after implementing the strategies to correct deficiencies in the program, the annual pass rate is less than 75%, the program will be reevaluated. The program may be allowed to continue to operate on a probationary status or approval may be withdrawn and the program removed from the list of Illinois approved nursing programs in accordance with subsection (m) of this Section. When determining whether a program will be allowed to continue to operate on a probationary status or approval, the Division will, but is not limited to, consider: whether the program's pass rates has trended upward; how close the program is to the 75% goal; and the program's adherence to the remediation plan.

c) Major Curricular Revision

Nursing education programs desiring to make a major curricular revision, i.e., addition or deletion of content, a substantive change in philosophy or conceptual framework, or length of program, shall:

1. Submit a letter of intent to the Division; and

2. Submit a copy of the proposed changes and new material to the Division, at least one term prior to implementation, for Board recommendation and Division approval in accordance with the standards set forth in subsection (f).

d) Minor Curricular Revisions

Nursing education programs desiring to make curricular revisions involving reorganization of current course content but not constituting a major curriculum revision shall submit the proposed changes to the Division in their annual report.

e) Organization and Administration

1. An institution responsible for conducting a nursing education program shall be authorized by the appropriate agency of the State of Illinois (e.g., Illinois Board of Higher Education, State Board of Education, Illinois Community College Board);

2. The relationship of the nursing education program to other units within the sponsoring institution shall be clearly delineated with organizational charts on file with the Division;

3. Nursing education programs shall have clearly defined lines of authority, responsibility and communication;

4. Student input into determination of academic policies and procedures, curriculum planning and evaluation of faculty effectiveness shall be assured as evidenced by information such as student membership on policy and evaluation committees, policy statements and evaluation procedures;

5. Nursing education program policies and procedures shall be in written form, congruent with those of the sponsoring institution, and reviewed by members of the program on a regular schedule;

6. The philosophy, purpose and objectives of the nursing education program shall be stated in writing and shall be consistent with the sponsoring institution and current social, nursing and educational trends and the Act.

f) Curriculum and Instruction

1. The curriculum shall be based upon the stated program purpose, philosophy and objectives;

2. Levels of progression in relation to the stated program outcomes shall be established;

3. Coordinated clinical and theoretical learning experiences shall be consistent with the program outcomes;

4. Curricular content shall reflect contemporary nursing practice encompassing major health needs of all age groups;

5. The entire curriculum shall be based on sound nursing, education and instructional principles;

6. The curriculum may include a Nursing Student Internship/Cooperative Education Course that meets the following minimum requirements:

A) The course must be available with the nursing major and identified on the transcript.

B) Faculty must meet approved nursing education program qualifications and hold faculty status with the educational unit.

C) Clinical content must be coordinated with theoretical content.

D) Clinical experience must be under direct supervision of qualified faculty as set forth in subsection (g) or with a registered nurse preceptor. The nurse preceptor shall be approved by the program and shall work under the direction of a nurse faculty member.

E) Students shall not be permitted to practice beyond educational preparation or without faculty supervision.

F) The course shall be based on program purpose, philosophy, objectives and framework.

G) Course evaluation shall be consistent with the plan for program evaluation.

H) Articles of affiliation shall clearly delineate student, educational institution and health care agency roles and responsibilities;

7. The curriculum shall be evaluated by nursing faculty with student input, according to a stated plan;

8. The program shall be approved by the appropriate educational agency;

9. Curriculum for professional nursing programs shall:

A) Include, at a minimum, concepts in anatomy, physiology, chemistry, physics, microbiology, sociology, psychology, communications, growth and development, interpersonal relationships, group dynamics, cultural diversity, pharmacology and the administration of medication, nutrition and diet therapy, patho-physiology, ethics, nursing history, trends and theories, professional and legal aspects of nursing, leadership and management in nursing, and teaching-learning theory;

B) Not preclude a flexible curriculum that would provide appropriate integration of the nursing subject matters;

C) Provide theoretical and clinical instruction in all areas of nursing practice in the promotion, prevention, restoration and maintenance of health in individuals and groups across the life span and in a variety of clinical settings;

D) Incorporate the nursing process as an integral part of the curriculum;

E) Prepare the student to assume beginning level professional nursing positions;

F) Be at least 2 academic years in length.

g) Nursing Administrator and Nursing Faculty

1. The institution responsible for conducting the nursing program and the nurse administrator of the nursing education program shall be responsible for ensuring that the individual faculty members are academically and professionally qualified.

2. Nursing education programs shall be administered by the nurse administrator of the nursing education program.

3. The nurse administrator and faculty of a nursing education program shall be currently licensed as registered professional nurses in Illinois.

4. The nurse administrator of a nursing education program shall have at least:

A) 2 years' experience in clinical nursing practice;

B) 2 years' experience as a nursing educator; and

C) A master's degree or higher with a major in nursing.

5. The nurse faculty of a professional nursing program shall have at least:

A) 2 years' experience in clinical nursing practice;

B) A master's degree or higher with a major in nursing.

6. The requirements of subsections (g)(4) and (5) shall not affect incumbents as of the original date these requirements were adopted, January 14, 1980.

7. Nurse administrators of nursing education programs shall be responsible for:

A) Administration of the nursing education program;

B) Liaison with other units of the sponsoring institution;

C) Preparation and administration of the budget;

D) Facilitation of faculty development and performance review;

E) Facilitation and coordination of activities related to academic policies, personnel policies, curriculum, resource facilities and services, and program evaluation; and

F) Notification to the Division of program changes.

8. Nursing faculty shall be responsible for:

A) Development, implementation and evaluation of the purpose, philosophy and objectives of the nursing education program;

B) Design, implementation and evaluation of curriculum for the nursing education program;

C) Participation in academic advising of students;

D) Development and evaluation of student policies; and

E) Evaluation of student performance in meeting the objectives of the program.

9. Faculty shall participate in:

A) Selection, promotion and tenure activities;

B) Academic activities of the institution;

C) Professional and health related community activities;

D) Self-development activities for professional and personal growth;

E) Research and other scholarly activities for which qualified; and

F) Activities that maintain educational and clinical expertise in areas of teaching.

10. Clinical experience must be under direct supervision of qualified faculty as set forth in this subsection (g) or with a registered nurse preceptor. The nurse preceptor shall be approved by the parent institution and shall work under the direction of a nurse faculty member.

11. The ratio of students to faculty in the clinical area shall be appropriate to the clinical learning experience:

A) When under direct supervision of the faculty, the ratio shall not exceed 10 to 1.

B) When a registered nurse preceptor is used, the ratio of students to faculty member shall not exceed 12 to 1.

h) Financial Support, Facilities, Records

1. Adequate financial support for the nursing education program, faculty and other necessary personnel, equipment, supplies and services shall be in evidence in the program budget.

2. The faculty of the nursing education program and the staff of cooperating agencies used as sites for additional theory and clinical experience shall work together for quality of patient care.

3. Articles of Affiliation

A) The nursing education program shall have Articles of Affiliation between the nursing education program and each clinical facility that define the rights and responsibilities of each party, including agreements on the role and authority of the governing bodies of both the clinical site and the nursing education program.

B) If portions of the required clinical or theoretical curriculum are offered at different geographical sites or by distance learning, the curriculum must be planned, supervised, administered and evaluated in concert with appropriate faculty committees, department chairmen and administrative officers of the parent school.

4. There shall be adequate facilities for the nursing program for both academic and clinical experiences for students.

5. There shall be access to learning resource facilities, including library and multi-media technology, that are reasonably sufficient for the curriculum and the number of students enrolled in the nursing education programs.

6. Cooperating agencies shall be identified to the Division and shall be suitable to meet the objectives of the program.

7. Addition or deletion of cooperating agencies shall be reported in writing to the Division on the program annual report.

8. The nursing program's policies and procedures shall not violate constitutional rights and shall be written and available to faculty and students.

9. Permanent student records that summarize admissions, credentials, grades and other records of performance shall be maintained by the program.

i) Faculty Waiver

1. Waivers for faculty with a graduate degree in a field other than nursing may be granted by the Division based on the following:

A) The individual has a bachelor's degree in nursing;

B) The individual has at least 2 years of experience in clinical nursing practice;

C) The individual has a degree in a field that directly relates to the course he or she will be teaching;

D) At least 80% of the school's undergraduate nursing faculty holds a master's degree in nursing.

2. Waivers for faculty without a graduate degree will be granted based on the following:

A) The faculty member is within one year of completion of the master's in nursing, a Doctorate of Nursing Practice program or is enrolled in a doctoral degree in nursing program and has completed all coursework, except for a dissertation/final project;

B) The faculty member is continuously enrolled in the graduate degree in nursing program;

C) A plan exists for the timely completion of the graduate degree in nursing program; and

D) At least 80% of the school's undergraduate nursing faculty holds a master's degree in nursing.

3. A school that has received a waiver must notify the Board of any changes related to that faculty member, including notification that the faculty member has received the graduate degree.

j) Preceptors

A program of registered professional nursing that uses the personnel of a clinical facility as preceptors to instruct the clinical experience must:

1. Require each preceptor to have demonstrated competencies with patient populations to which the student is assigned;

2. Require each preceptor to be approved by the faculty of the program of nursing;

3. Require the faculty of the program to provide to each preceptor an orientation concerning the roles and responsibilities of students, faculty and preceptors;

4. Require the faculty of the program to develop written competencies/outcomes and provide a copy of these to each preceptor before the preceptor begins instruction of the students;

5. Designate a member of the faculty to serve as a liaison between the preceptor and each student who participates in the clinical experience;

6. Require that each preceptor be present in the clinical facility or at the location of point of care and available to the students at all times when the student provides nursing care or services to patients/clients;

7. Require that each preceptor have a current registered professional nurse license in the state where the student is practicing.

k) Denial of Approval of Nursing Program

If the Division, in the course of reviewing an application for approval of a nursing program, determines that an applicant program has failed to comply with the application criteria or procedures outlined in this Part, or receives information that indicates that the applicant program will not be able to comply with the conditions set forth in subsection (b), the Division may deny the application for approval. When determining whether to deny an application for approval, the Division will, but is not limited, consider whether: more information from a program is needed; problems with the proposed administrator remain unresolved; and space and resources for the program and students is adequate.

l) Discontinuance of a Nursing Program

1. Prior to termination of a nursing education program, the program shall:

A) Notify the Division, in writing, of its intent to discontinue its program;

B) Continue to meet the requirements of the Act and this Part until the official date of termination of the program;

C) Notify the Division of the date on which the last student will graduate and the program terminate; and

D) Assume responsibility for assisting students to continue their education in the event of closing of the school prior to the final student graduating.

2. Upon closure of the nursing education program, the institution shall notify the Division, in writing, of the location of student and graduate records storage.

m) Withdrawal of Program Approval

1. The following are grounds for withdrawal of program approval of a nursing education program:

A) A violation of any provision of the Act;

B) Fraud or dishonesty in applying for approval of a nursing education program;

C) Failure to continue to meet criteria of an approved nursing education program set forth in this Section;

D) Failure to comply with recommendations made by the Division as a result of a site visit; or

E) Failure to correct a non-compliant annual pass rate pursuant to subsection (b) of this Section.

2. Upon written notification of the Division's proposed action, the nursing education program may:

A) Submit a written response; or

B) Request an appearance before the Board to provide a response.

3. Upon written notification that the Director has withdrawn the program approval of a nursing education program, the program may request a hearing to contest the Director's action in accordance with 68 Ill. Adm. Code 1110.

n) Out-of-State Education Programs Seeking Student Nurse Clinical Placement in Illinois

1. Out-of-state nursing education programs offering clinical experiences in Illinois are expected to maintain the standards for approved nursing education programs set forth in this Section.

2. Programs desiring to seek approval for student nurse clinical placement in Illinois shall submit the following documents:

A) Evidence of approval/accreditation by the Board of Nursing or other appropriate approval bodies in the state in which the institution is located.

B) A letter requesting approval to provide the clinical offering that indicates the time-frame during which the clinical experience will be conducted, the clinical agencies and the clinical units to be utilized.

C) A course syllabus for the clinical experiences to be offered that specifies the related objectives of the offering.

D) A copy of the executed contractual agreement between the academic institution and the clinical facility.

E) A faculty qualification and/or preceptor form for individuals providing instruction in Illinois.

3. Nursing Faculty

A) The institution responsible for conducting the nursing program and the administrator of the nursing education program shall be responsible for ensuring that the individual nursing faculty members are academically and professionally qualified.

B) Nurse faculty of a professional nursing program shall have at least:

i) 2 years' experience in clinical nursing practice; and

ii) A master's degree or higher with a major in nursing.

C) The nursing faculty shall be currently licensed as registered professional nurses in Illinois.

D) Clinical experience must be under direct supervision of qualified faculty as set forth in subsection (g) or with a registered nurse preceptor. The nurse preceptor shall be approved by the parent institution and shall work under the direction of a nurse faculty member.

E) The ratio of students to faculty in the clinical area shall be appropriate to the clinical learning experience.

i) When under direct supervision of the faculty, the ratio shall not exceed 10 to 1.

ii) When a registered nurse preceptor is used, the ratio of students to faculty member shall not exceed 12 to 1.

4. Approval for clinical offerings by out-of-state nursing programs shall be approved for a period of 2 years. A program representative may request renewal of the approval every 2 years. In order to renew, the program shall submit a written report that provides updated and current data as required by this subsection (n).

5. A written report of current clinical offerings and current data shall be submitted to the Division annually. Faculty qualification and preceptor forms shall be submitted when instructors are added or changed.

6. Failure to comply with the requirements set forth in this Part shall result in the immediate withdrawal of approval of the clinical experience offering.

o) If the name of the program is changed or the institution in which the program is located or with which it is affiliated changes its name, the program shall notify the Division within 30 days after the name change. If the Division is not notified within the 30 days, the program's approval may be withdrawn.

p) The Division has determined that nurse programs approved through the Commission on Collegiate Nursing Education (CCEN), Accreditation Commission for Education Nursing (ACEN), or the US Department of Education meet the requirements set forth in this Section, except for those programs whose curriculums do not include a concurrent theory and clinical practice education component as required by Section 50-70 of the Act.

History

• Source: Amended at 49 Ill. Reg. 6052, effective May 9, 2025

68 Ill. Adm. Code 1300.350 Standards of Professional Conduct for Registered Professional Nurses

a) The RN shall:

1. Practice in accordance with the Act and this Part;

2. Uphold federal and State regulations regarding controlled substances and alcohol;

3. Practice nursing only when in functional physical and mental health;

4. Be accountable for his or her own nursing actions and competencies;

5. Practice or offer to practice only within the scope permitted by law and within the licensee's own educational preparation and competencies;

6. Seek instruction and supervision from qualified individuals when implementing new or unfamiliar nursing activities;

7. Delegate nursing interventions only to individuals the licensee knows or has reason to know are competent by education or experience to perform those nursing interventions;

8. Delegate professional responsibilities only to individuals whom the licensee knows or has reason to know are licensed to perform;

9. Be accountable for the quality of nursing care delegated to others;

10. Report unsafe, unethical or illegal health care practice or conditions to appropriate authorities; and

11. Assume responsibility for continued professional growth and education to reflect knowledge and understanding of current nursing care practice.

b) Violations of this Section may result in discipline as specified in Section 70-5 of the Act.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.360 Rn Scope of Practice

The RN scope of nursing practice is the protection, promotion, and optimization of health and abilities, the prevention of illness and injury, the development and implementation of the nursing plan of care, the facilitation of nursing interventions to alleviate suffering, care coordination, and advocacy in the care of individuals, families, groups, communities, and populations. Practice as an RN means this full scope of nursing, with or without compensation, that incorporates caring for all patients in all settings, through nursing standards of practice and professional performance for coordination of care, and may include, but is not limited to, all of the following:

a) Collecting pertinent data and information relative to the patient's health or the situation on an ongoing basis through the comprehensive nursing assessment.

b) Analyzing comprehensive nursing assessment data to determine actual or potential diagnoses, problems, and issues.

c) Identifying expected outcomes for a plan individualized to the patient or the situation that prescribes strategies to attain expected, measurable outcomes.

d) Implementing the identified plan, coordinating care delivery, employing strategies to promote healthy and safe environments, and administering or delegating medication administration according to Section 50-75 of the Act.

e) Evaluating patient progress toward attainment of goals and outcomes.

f) Delegating nursing interventions to implement the plan of care.

g) Providing health education and counseling.

h) Advocating for the patient.

i) Practicing ethically according to the American Nurses Association Code of Ethics.

j) Practicing in a manner that recognizes cultural diversity.

k) Communicating effectively in all areas of practice.

l) Collaborating with patients and other key stakeholders in the conduct of nursing practice.

m) Participating in continuous professional development.

n) Teaching the theory and practice of nursing to student nurses.

o) Leading within the professional practice setting and the profession.

p) Contributing to quality nursing practice.

q) Integrating evidence and research findings into practice.

r) Utilizing appropriate resources to plan, provide, and sustain evidence-based nursing services that are safe and effective. (Section 60-35 of the Act)

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.370 Provision of Conscious Sedation by Registered Nurses in Ambulatory Surgical Treatment Centers

a) In accordance with Section 6.7 of the Ambulatory Surgical Treatment Center Act [210 ILCS 5], nothing in that Act precludes a registered nurse from administering medications for the delivery of local or minimal sedation ordered by a physician licensed to practice medicine in all of its branches, podiatrist or dentist.

b) If the ASTC policy allows the registered nurse to deliver moderate sedation ordered by a physician licensed to practice medicine in all its branches, podiatrist or dentist, the following are required:

1. The registered nurse must be under the supervision of a physician licensed to practice medicine in all its branches, podiatrist or dentist during the delivery or monitoring of moderate sedation and have no other responsibilities during the procedure.

2. The registered nurse must maintain current Advanced Cardiac Life Support certification or Pediatric Advanced Life Support certification as appropriate to the age of the patient.

3. The supervising physician licensed to practice medicine in all its branches, podiatrist or dentist must have training and experience in delivering and monitoring moderate sedation and possess clinical privileges at the ASTC to administer moderate sedation or analgesia.

4. The supervising physician licensed to practice medicine in all its branches, podiatrist or dentist must remain physically present and available on the premises during the delivery of moderate sedation for diagnosis, consultation and treatment of emergency medical conditions.

5. The supervising physician licensed to practice medicine in all its branches, podiatrist or dentist must maintain current Advanced Cardiac Life Support certification or Pediatric Advanced Life Support certification as appropriate to the age of the patient.

c) Local, minimal and moderate sedation are defined as follows:

1. "Local Anesthesia" is numbing medication injected into the skin or other surface at the site of the procedure. The injection is usually near the surface, but may be deeper in some cases. The total dose of local anesthesia does not exceed 50% of the commonly accepted toxic dose on a weight adjusted lean body mass basis.

2. "Minimal Sedation" (anxiolysis) is a drug-induced state during which patients respond normally to verbal commands. Although cognitive function and coordination may be impaired, respiratory and cardiovascular functions are unaffected.

3. "Moderate Sedation Analgesia" (conscious sedation) is a drug-induced depression of consciousness during which patients respond purposefully to verbal commands, either alone or accompanied by light tactile stimulation. No interventions are required to maintain a patient airway and spontaneous ventilation is adequate. Cardiovascular function is usually maintained.

d) Registered nurses shall be limited to administering medication for moderate sedation at doses rapidly reversible pharmacologically. [210 ILCS 5/6.7(c)] Acceptable medications are opioids, benzodiazepines and reversal agents: Meperidine, Fentanyl, Diazepam, Midazolam, naloxone and flumazenil. Nothing prohibits RN from monitoring or adjusting an FDA approved delivery device under the supervision of a physician.

68 Ill. Adm. Code 1300.400 Application for Licensure

a) An applicant for licensure as an advanced practice registered nurse shall file an application on forms provided by the Division. The application shall include:

1. Current Illinois registered professional nurse license number.

2. Proof of current national certification, which includes completion of an examination, from one of the following:

A) Nurse Midwife certification from:

i) The American Midwifery Certification Board (AMCB); or

ii) Other certifications approved by the Department under subsection (a)(3).

B) Nurse Practitioner certification from:

i) American Academy of Nurse Practitioners Certification Program (AANP) as a Nurse Practitioner;

ii) American Nurses Credentialing Center (ANCC) as a Nurse Practitioner;

iii) The Pediatric Nursing Certification Board (PNCB) as a Nurse Practitioner;

iv) American Association of Critical-Care Nurses (AACN);

v) National Certification Corporation (NCC): or

vi) Other certifications approved by the Department under subsection (a)(3).

C) Registered Nurse Anesthetist certification from:

i) National Board of Certification & Recertification of Nurse Anesthetists (NBCRNA); or

ii) Other certifications approved by the Department under subsection (a)(3).

D) Clinical Nurse Specialist certification from:

i) American Nurses Credentialing Center (ANCC) as a Clinical Nurse Specialist;

ii) American Association of Critical Care Nurses (AACN) as a Clinical Nurse Specialist; or

iii) Other certifications approved by the Department under subsection (a)(3).

3. The Board, in addition to the certifications listed in subsection (a)(2), may review and make a recommendation to the Division to accept a certification if the certifying body meets the following requirements:

A) Is national in the scope of credentialing;

B) Has no requirement for an applicant to be a member of any organization;

C) Has an examination that represents a specialty practice category;

D) Has an examination that evaluates knowledge, skills and abilities essential for the delivery of safe and effective specialty nursing care;

E) Has an examination whose content and distribution are specified in a test plan;

F) Has examination items reviewed for content validity, cultural sensitivity and correct scoring, using an established mechanism, both before use and periodically;

G) Has an examination evaluated for psychometric performance;

H) Has a passing standard established using acceptable psychometric methods and is re-evaluated periodically;

I) Has examination security maintained through established procedures;

J) Issues a certification based upon passing the examination;

K) Has mechanisms in place for communication to boards of nursing for timely verification of an individual's certification status, changes in certification status and changes in the certification program, including qualifications, test plan and scope of practice; and

L) Has an evaluation process to provide quality assurance in its certification program.

4. Proof of successful completion of a graduate degree appropriate for national certification in the clinical advanced practice registered nursing specialty or a graduate degree or post-master's certificate from a graduate level program in a clinical advanced practice registered nursing specialty.

5. An applicant seeking licensure in more than one advanced practice registered nursing category shall have met the requirements for at least one advanced practice registered nursing specialty; and

A) Submit proof of possession of an additional graduate education that results in a certificate for another clinical APRN category and that meets the requirements for the national certification from the appropriate nursing specialty; and

B) Submit proof of a current, national certification from the appropriate certifying body for that additional advanced practice registered nursing category.

6. Verification of licensure as an APRN from the state in which an applicant was originally licensed, current state of licensure or any other state in which the applicant has been actively practicing as an APRN within the last 5 years, if applicable, stating:

A) The time during which the applicant was licensed in that state, including the date of the original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

7. The fee required in Section 1300.30(a)(4).

b) An applicant for licensure as an APRN under Section 65-5 of the Act may apply to the Division for a temporary permit, on forms provided by the Division, to practice as an APRN prior to the issuance of the APRN license. Temporary permits will not be issued prior to granting an APRN full practice authority under Section 65-43 of the Act.

1. Application Requirements

A) The application shall include a completed, signed application for licensure, as set forth in subsection (a).

B) The application shall include documentation from an approved certifying body set forth in subsection (a)(2) indicating the date the applicant is scheduled to sit for the examination. Upon successful completion of the examination, proof of certification shall be submitted to the Division from the certifying body.

C) An APRN who will be practicing in a hospital or ambulatory surgical treatment center in accordance with Section 6.5 of the Ambulatory Surgical Treatment Center Act shall not be required to have prescriptive authority or a written collaborative agreement pursuant to the Act and this Part.

D) An APRN applicant who will be practicing outside of a hospital or ambulatory surgical treatment center shall provide a certifying statement indicating that the APRN applicant has entered into a written collaborative agreement as required by Section 65-35 of the Act.

E) The applicant shall include the processing fee set forth in Section 1300.30(a)(4).

2. Practice Pending Licensure

A) The Division will provide a letter to each applicant indicating the ability to practice pending licensure.

B) Practice pending licensure shall be terminated upon:

i) The issuance of a permanent license;

ii) Failure to complete the application process within 6 months from the date of application;

iii) A finding by the Division that the applicant has violated one or more of the grounds for discipline set forth in Section 70-5 of the Act;

iv) A finding by the Division that, within the last 5 years, the applicant has had a license or permit related to the practice of advanced practice registered nursing revoked, suspended or placed on probation by another jurisdiction, if at least one of the grounds is substantially equivalent to grounds in Illinois; or

v) A finding by the Division that the applicant does not meet the licensure requirements set forth in this Section.

C) The Division shall notify the applicant in writing of the termination and shall notify the applicant by email of the intent to deny licensure.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

d) An APRN license may be issued when the applicant meets the requirements set forth in this Section.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.410 Written Collaborative Agreements

a) A written collaborative agreement is required for all advanced practice registered nurses engaged in clinical practice, except for:

1. those APRNs who practice in a hospital, hospital affiliate or ambulatory surgical treatment center under Section 65-45 of the Act; and

2. those APRNs who are granted full practice authority by Section 65-43 of the Act. (Section 65-35(a))

b) A written collaborative agreement shall describe the relationship of the advanced practice registered nurse with the collaborating physician and shall describe the categories of care, treatment or procedures to be provided by the advanced practice registered nurse. (Section 65-35(b) of the Act) A written collaborative agreement with a dentist must be in accordance with Section 65-35(c-10) of the Act. A written collaborative agreement with a podiatric physician must be in accordance with Section 65-35(c-5) or (c-15) of the Act.

c) The agreement shall be defined to promote the exercise of professional judgment by the advanced practice registered nurse commensurate with his or her education and experience. The written agreement does not require an employment relationship. Methods of communication shall be available for consultation with the collaborating physician (for CRNAs, a physician, anesthesiologist, dentist or podiatric physician) in person or by telecommunications or electronic communications as set forth in the written agreement. Absent an employment relationship the written collaborative agreement may not:

1. restrict the categories of patients within the scope of the APRN training and experience;

2. limit third party payors or government health programs; or

3. limit the geographic area or practice location of the APRN. (Section 65-35(b) of the Act) For nurse practitioners, clinical nurse specialists and nurse midwives, the collaborative agreement shall not be construed to require the personal presence of the physician.

d) For anesthesia services provided by a CRNA, the written collaborative agreement may be between the CRNA and an anesthesiologist, physician, dentist or podiatric physician who shall participate through discussion of and agreement with the anesthesia plan and remain physically present and available on the premises during the delivery of anesthesia services for diagnosis, consultation and treatment of emergency medical conditions.

e) For any APRN who had a written collaborative agreement with a podiatric physician immediately before September 20, 2017, the APRN may continue in that collaborative relationship until the collaborative agreement ends or enter into a new written collaborative relationship with a podiatric physician per Section 65-35(c-15) of the Act.

f) A copy of the signed, written collaborative agreement must be available to the Department upon request from both the advanced practice registered nurse and the collaborating physician, dentist or podiatric physician. An advanced practice registered nurse shall inform each collaborating physician, dentist or podiatric physician of all collaborative agreements he or she has signed and provide a copy of these to any collaborating physician, dentist or podiatric physician, upon request. (Section 65-35(d) and (f) of the Act)

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.420 Collaboration and Consultation (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.430 Written Collaborative Agreement - Prescriptive Authority

a) A collaborating physician or podiatric physician who delegates prescriptive authority to an advanced practice registered nurse shall include that delegation in the written collaborative agreement. This authority may include prescription of, selection of, orders for, administration of, storage of, acceptance of samples of, and dispensing over the counter medications, legend drugs, medical gases, and controlled substances categorized as any Schedule III through V controlled substances, as defined in Article II of the Illinois Controlled Substances Act, and other preparations, including, but not limited to, botanical and herbal remedies. The collaborating physician or podiatric physician must have a valid current Illinois controlled substances license and federal registration to delegate authority to prescribe delegated controlled substances.

b) Pursuant to Section 65-40(d) of the Act, a collaborating physician may, but is not required to, delegate authority to an APRN to prescribe any Schedule II controlled substances by oral dosage or topical or transdermal application if all the following conditions apply:

1. The delegated Schedule II controlled substance is specifically identified by either brand name or generic name. For the purposes of this Section generic substitution pursuant to Section 25 of the Pharmacy Practice Act [225 ILCS 85] shall be allowed under this Section when not prohibited by a prescriber's indication on the prescription that the pharmacist "may not substitute".

2. The delegated Schedule II controlled substances are routinely prescribed by the collaborating physician or podiatric physician.

3. Any Schedule II controlled substance prescription must be limited to no more than a 30-day supply, with any continuation authorized only after prior approval of the collaborating physician or podiatric physician.

4. The APRN must discuss the condition of any patients for whom a Schedule II controlled substance is prescribed monthly with the delegating physician or podiatric physician.

5. The APRN meets the education requirements of Section 303.05 of the Illinois Controlled Substances Act [720 ILCS 570].

c) An APRN who has been given controlled substances prescriptive authority shall be required to obtain an Illinois mid-level practitioner controlled substances license in accordance with 77 Ill. Adm. Code 3100. The physician or podiatric physician shall file a notice of delegation of prescriptive authority with the Division and the Prescription Monitoring Program. (Section 65-40(c) of the Act) The delegation of authority form shall be submitted to the Division and the Prescription Monitoring Program prior to the issuance of a mid-level controlled substances license.

d) The APRN may only prescribe and dispense Schedule II controlled substances that the collaborating physician or podiatric physician prescribes. Licensed dentists may not delegate prescriptive authority.

e) The APRN shall sign his/her own name when writing and signing prescriptions. The collaborating physician's or podiatric physician's signature is not required.

f) An APRN may receive and dispense samples per the collaborative agreement.

g) Medication orders shall be reviewed periodically by the collaborating physician.

h) Nothing in this Section shall be construed to apply to an APRN granted full practice authority pursuant to Section 65-43.

i) Nothing in this Section shall apply to any prescribing authority, including Schedule II controlled substances, of an APRN providing care in a hospital, hospital affiliate, or ambulatory surgical treatment center (see Section 65-45 of the Act).

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.440 Aprn Scope of Practice

a) Advanced practice registered nursing by certified nurse practitioners, certified nurse anesthetists, certified nurse midwives, or clinical nurse specialists is based on knowledge and skills acquired throughout an advanced practice registered nurse's nursing education, training and experience.

b) Practice as an advanced practice registered nurse means a scope of nursing practice, with or without compensation, and includes the registered nurse scope of practice.

c) The scope of practice of an advanced practice registered nurse includes, but is not limited to, each of the following:

1. Advanced nursing patient assessment and diagnosis.

2. Ordering diagnostic and therapeutic tests and procedures, performing those tests and procedures when using health care equipment, and interpreting and using the results of diagnostic and therapeutic tests and procedures ordered by the advanced practice registered nurse or another health care professional.

3. Ordering treatments, ordering or applying appropriate medical devices, and using nursing, medical, therapeutic, and corrective measures to treat illness and improve health status.

4. Providing palliative and end-of-life care.

5. Providing advanced counseling, patient education, health education, and patient advocacy.

6. Prescriptive authority as defined in Section 65-40 of the Act.

7. Delegating selected nursing interventions to a licensed practical nurse, a registered professional nurse, or other personnel. (Section 65-30 of the Act)

d) An Illinois-licensed advanced practice registered nurse certified as a nurse practitioner, certified nurse midwife or clinical nurse specialist may be granted the authority to practice without a written collaborative agreement as set forth in Section 65-43 of the Act and Section 1300.465 of this Part.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.445 Standards of Professional Conduct for Aprns

APRNs shall:

a) Practice in accordance with the Act and this Part;

b) Uphold deferral and State regulations regarding controlled substances and alcohol;

c) Practice advanced practice nursing only when in functional physical and mental health;

d) Practice within the scope of his/her education, knowledge, experience, training and skill;

e) Provide directions and assistance to those they supervise;

f) Report unsafe, unethical or illegal health care practice or conditions to appropriate authorities; and

g) Assume responsibility for continued professional growth and education to reflect knowledge and understanding of current care practice.

History

• Source: Added at 45 Ill. Reg.228, effective January 4, 2021

68 Ill. Adm. Code 1300.450 Delivery of Anesthesia Services by a Certified Registered Nurse Anesthetist Outside a Hospital or Ambulatory Surgical Treatment Center

a) A certified registered nurse anesthetist (CRNA) who provides anesthesia services outside of a hospital or ambulatory surgical treatment center shall enter into a written collaborative agreement with an anesthesiologist or the physician licensed to practice medicine in all its branches or the podiatric physician performing the procedure. Outside of a hospital or ambulatory surgical treatment center, the CRNA may provide only those services that the collaborating podiatric physician is authorized to provide pursuant to the Podiatric Medical Practice Act of 1987 and rules adopted under that Act. A certified registered nurse anesthetist may select, order, and administer medication, including controlled substances, and apply appropriate medical devices for delivery of anesthesia services under the anesthesia plan agreed with by the anesthesiologist or the operating physician or operating podiatric physician.

b) A certified registered nurse anesthetist may be delegated prescriptive authority under Section 65-40 of the Act in a written collaborative agreement meeting the requirements of Section 65-35 of the Act.

c) In a physician's office, the CRNA may only provide anesthesia services if the physician has training and experience in the delivery of anesthesia services to patients. The physician's training and experience shall meet the requirements set forth in 68 Ill. Adm. Code 1285.340.

d) In addition, in a physician's office, any CRNA and physician who enter into a collaborative agreement shall obtain and maintain current Advanced Cardiac Life Support (ACLS) certification.

e) A CRNA who provides anesthesia services in a dental office shall enter into a written collaborative agreement with an anesthesiologist or the physician licensed to practice medicine in all its branches or the operating dentist performing the procedure. The agreement shall describe the working relationship of the CRNA and dentist and shall authorize the categories of care, treatment or procedures to be performed by the CRNA. In a collaborating dentist's office, the CRNA may only provide those services that the operating dentist with the appropriate permit is authorized to provide pursuant to the Illinois Dental Practice Act and rules adopted under that Act. For anesthesia services, an anesthesiologist, physician or operating dentist shall participate through discussion of and agreement with the anesthesia plan and shall remain physically present and be available on the premises during the delivery of anesthesia services for diagnosis, consultation and treatment of emergency medical conditions. A CRNA may select, order and administer medication, including controlled substances, and apply appropriate medical devices for delivery of anesthesia services under the anesthesia plan agreed with by the operating dentist.

f) In a podiatric physician's office, the CRNA may only provide those services the podiatric physician is authorized to provide pursuant to the Podiatric Medical Practice Act of 1987 and 68 Ill. Adm. Code 1360. Podiatric physicians may not administer general anesthetics.

g) A CRNA providing anesthesia services in a physician, dental or podiatric physician office shall do so with the active participation, approval, presence and availability of the physician, dentist or podiatric physician as well as in accordance with Standards 1 through 11 of the "Standards for Office Based Anesthesia Practice", American Association of Nurse Anesthetists, 222 South Prospect Avenue, Park Ridge, Illinois 60068 (2005), which are hereby incorporated by reference, with no later editions or amendments. If there is a conflict between the Nurse Practice Act or this Part and those standards, the Act and this Part shall prevail.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.460 Advanced Practice Registered Nursing in Hospitals or Ambulatory Surgical Treatment Centers

a) An advanced practice registered nurse may provide services in a licensed hospital or hospital affiliate as defined in the Hospital Licensing Act or the University of Illinois Hospital Act [110 ILCS 330], or a licensed ambulatory surgical treatment center without prescriptive authority or a written collaborative agreement pursuant to Section 65-35 of the Act. An APRN must possess clinical privileges recommended by the hospital medical staff and granted by the hospital or the consulting medical staff committee and ambulatory surgical treatment center in order to provide services. The medical staff or consulting medical staff committee shall periodically review the services of all APRNs granted clinical privileges. Authority may also be granted to individual APRNs to select, order and administer medications, including controlled substances as permitted under the Act and this Part, to provide delineated care. The attending physician shall determine an APRN's role in providing care for his or her patients, except as otherwise provided in the medical staff bylaws or consulting committee policies.

b) An APRN who does not meet the requirements of Section 65-43 of the Act and who is privileged to order medications, including controlled substances, may complete discharge prescriptions provided the prescription is in the name of the APRN and the attending or discharging physician.

c) An APRN granted full practice authority by Section 65-43 of the Act may be privileged to complete discharge orders and prescriptions under the APRN's name.

d) An APRN granted full practice authority by Section 65-43 of the Act practicing in a hospital affiliate may be, but is not required to be, privileged to prescribe Schedule II through V controlled substances when that authority is recommended by the appropriate physician committee of the hospital affiliate and granted by the hospital affiliate. To prescribe controlled substances in a hospital affiliate, the APRN must obtain a controlled substances license. Medication orders for controlled substances shall be reviewed periodically by the appropriate hospital affiliate physicians committee or its physician designee.

e) The hospital affiliate shall file with the Department notice of a grant of prescriptive authority and termination of the grant of authority for all APRNs who do not meet the requirements of Section 65-43 of the Act.

f) For anesthesia services provided by a certified registered nurse anesthetist, an anesthesiologist, physician, dentist, or podiatric physician shall participate through discussion of and agreement with the anesthesia plan and shall remain physically present and be available on the premises during the delivery of anesthesia services for diagnosis, consultation and treatment of emergency medical conditions, unless hospital policy adopted pursuant to Section 10.7(4)(B) of the Hospital Licensing Act or ambulatory surgical treatment center policy adopted pursuant to Section 6.5(4)(B) of the Ambulatory Surgical Treatment Center Act provides otherwise. A CRNA may select, order and administer medication for anesthesia services under the anesthesia plan agreed to by the anesthesiologist, physician, podiatric physician or dentist, in accordance with hospital alternative policy or the medical staff consulting committee policies of a licensed ambulatory surgical treatment center.

g) An advanced practice registered nurse who provides services in a hospital shall do so in accordance with Section 10.7 of the Hospital Licensing Act and the University of Illinois Hospital Act, and in an ambulatory surgical treatment center, in accordance with Section 6.5 of the Ambulatory Surgical Treatment Center Act.

h) Nothing in this Section shall be construed to require an APRN to have a collaborative agreement to practice in a hospital, hospital affiliate or ambulatory surgical treatment center.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.465 Full Practice Authority

a) An Illinois-licensed advanced practice registered nurse certified as a nurse practitioner, nurse midwife, or clinical nurse specialist may be granted the privilege of full practice authority, which provides the ability under this Section to practice without a written collaborative agreement.

b) An APRN certified as a nurse midwife, clinical nurse specialist, or nurse practitioner seeking full practice authority shall submit a form provided by the Department indicating he/she has met the necessary requirements in Section 65-43 of the Act. The documentation shall include:

1. Current APRN license number and current registered professional nurse license number. Only applicants whose APRN license and registered professional nurse license are current, active and unrestricted are eligible for full practice authority.

2. Notarized attestation, signed by the APRN, of completion of at least 250 hours of continuing education or training. Documentation of successful completion of this requirement shall be provided to the Department upon request.

A) Continuing education and training, as used in this Section, shall include, but not be limited to:

i) Formal CE hours conducted by approved CE sponsors and programs as set forth in Section 1300.130(c)(1);

ii) Completion of graduate education at universities or colleges;

iii) CE programs required for certification or recertification by appropriate professional associations;

iv) Other educational opportunities that comply with the continuing education standards in Section 1300.130.

B) The continuing education or training hours required shall be in the APRN's area of certification.

3. Notarized attestation of completion of at least 4000 hours of clinical experience after first attaining national certification. The clinical experience must be in the APRN's area of certification. The clinical experience shall be in collaboration with a physician or physicians. Completion of the clinical experience must be attested to by the collaborating physician or physicians and the APRN. For APRNs working in a hospital setting, the clinical experience may be attested to by the hospital medical staff committee or designee. Documentation of successful completion of this requirement shall be provided to the Department upon request.

4. The fee required by Section 1300.30(a)(5).

c) The scope of practice of an APRN granted full practice authority includes:

1. All matters included in Section 65-30(c) of the Act;

2. Practicing without a written collaborative agreement in all practice settings consistent with national certification;

3. Authority to prescribe both legend drugs and Schedule II through V controlled substances, except as provided in Section 1300.465(c)(4). This authority includes prescription of, selection of, orders for, administration of, storage of, acceptance of samples of, and dispensing over the counter medications, legend drugs, and controlled substances categorized as any Schedule II through V controlled substances, as defined in Article II of the Illinois Controlled Substances Act, and other preparations, including, but not limited to, botanical and herbal remedies;

4. Prescribing benzodiazepines or Schedule II narcotic drugs, such as opioids, only in a consultation relationship with a physician;

A) This consultation relationship shall be recorded in the Prescription Monitoring Program website, pursuant to Section 316 of the Illinois Controlled Substances Act, by the physician and advanced practice registered nurse with full practice authority;

B) Consultation is not required to be filed with the Department;

C) The specific Schedule II narcotic drug must be identified by either brand name or generic name;

D) May be administered by oral dosage or topical or transdermal application;

E) Delivery by injection or other route of administration is not permitted;

F) At least monthly, the APRN and the physician must discuss the condition of any patients for whom a benzodiazepine or opioid is prescribed;

G) Nothing in this subsection (c)(4) shall be construed to require a prescription by an APRN granted full practice authority to indicate a physician's name on the prescription; and

H) All consultation records shall be available to the Department upon request;

5. Authority to obtain an Illinois controlled substances license and a federal Drug Enforcement Administration number;

6. Use of only local anesthetic; and

7. The scope of practice of an APRN does not include operative surgery.

d) Upon issuance of an APRN license with full practice authority, the regular APRN license will go inactive.

e) Prior to prescribing as an APRN granted full practice authority, the APRN must apply for a practitioner license under the Illinois Controlled Substances Act.

f) Nothing in the Act shall be construed to authorize an advanced practice registered nurse with full practice authority to provide health care services required by law or rule to be performed by a physician, including, but not limited to, those acts to be performed by a physician in Section 3.1 of the Illinois Abortion Law of 1975 [720 ILCS 510]. (Section 65-43(e) of the Act)

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.466 Full Practice Authority Dispensing

a) Except when dispensing manufacturers' samples or other legend drugs in a maximum 72-hour supply, APRNs shall maintain a book or file of prescriptions as required in the Pharmacy Practice Act. Any person licensed under that Act who dispenses any drug or medicine shall dispense the drug or medicine in good faith and shall affix to the box, bottle, vessel or package containing the drug or medication a label indicating the:

1. Date on which the drug or medicine is dispensed;

2. Name of the patient;

3. Last name of the person dispensing the drug or medicine;

4. Directions for use of the drug or medication; and

5. Proprietary name or names or, if there are none, the established name or names, of the drug or medicine and the dosage and quantity, except as otherwise authorized by regulation of the Department.

b) The labeling requirements set forth in subsection (a) shall not apply to drugs or medicines in a package that bears a label of the manufacturer containing information describing its contents that is in compliance with requirements of the Federal Food, Drug, and Cosmetic Act (21 USC 301) and the Illinois Food, Drug, and Cosmetic Act [410 ILCS 620]. "Drug" and "medicine" have the meanings ascribed to them in the Pharmacy Practice Act. "Good faith" has the meaning ascribed to it in Section 102(u) of the Illinois Controlled Substances Act.

c) Prior to dispensing a prescription to a patient, the APRN shall offer a written prescription to the patient that the patient may elect to have filled by the APRN or any licensed pharmacy.

d) APRNs must indicate on their prescription orders that they have been granted full practice authority.

e) A violation of any provision of this Section shall constitute a violation of the Act and shall be grounds for disciplinary action provided for in the Act.

History

• Source: Amended at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.470 Advertising

a) Advertising shall contain all information necessary to make the communication informative and not misleading. Advertising shall identify the type of license held by the licensee whose services are being promoted. The form of advertising shall be designed to communicate information to the public in a direct, dignified and readily comprehensible manner.

b) If an advertisement is communicated to the public over television or radio, it shall be prerecorded and approved for broadcast by the advanced practice registered nurse and a recording of the actual transmission, including videotape, shall be retained, for at least 5 years, by the advanced practice registered nurse.

c) If an advanced practice registered nurse has a doctorate degree, when identifying himself or herself as "doctor" in a clinical setting, the APRN must clearly state that his or her educational preparation is not in medicine and that he or she is not a medical doctor or physician.

d) Advertising shall otherwise comply with Section 65-55 of the Act.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.480 Reports Relating to Aprn Professional Conduct and Capacity

a) All reports filed under Section 65-65 of the Act must contain sufficient current information to enable the Division to evaluate the impairment and determine the appropriateness of the supervision or the program of rehabilitation. If the Board finds the supervision or treatment plan submitted by the institution is not sufficient to meet the needs of the individual, the Board may direct the facility to work with the Division to revise the plan or treatment to meet the specific objections.

b) Contents of Reports. Reports under this Section shall be submitted in writing on forms provided by the Division that shall include but not be limited to the following information:

1. The name, address, telephone number and title of the person making the report;

2. The name, address, telephone number and type of health care institution where the maker of the report is employed;

3. The name, address, telephone number and professional license number of the person who is the subject of the report;

4. A brief description of the facts that gave rise to the issuance of the report, including but not limited to the dates of any occurrences deemed to necessitate the filing of the report;

5. If court action is involved, the identity of the court in which the action is filed, the docket number, and the date of filing of the action;

6. Any further pertinent information that the reporting party deems to be an aid in the evaluation of the report.

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.490 Adverse Occurrence Reporting for Certified Nurse Midwives

a) "Adverse occurrence" shall be defined for purposes of this Section as:

1. The death of a neonate under the licensee's care within 48 hours of delivery or attempted delivery, not including a still birth or miscarriage;

2. The death of a pregnant or postpartum patient under the licensee's care within 48 hours of delivery or attempted delivery;

3. The in-patient emergency hospitalization of a neonate under the licensee's care within 48 hours of delivery or attempted delivery; or

4. The in-patient emergency hospitalization of a patient under the licensee's care within 48 hours of delivery or attempted delivery.

b) "Emergency hospitalization" shall be defined for the purposes of this Section as a hospitalization of a neonate or patient suffering an acute injury or illness that poses an immediate risk to life or long-term health requiring immediate medical attention and that is related to delivery or attempted delivery.

c) Maternal emergency hospitalization events reportable under this Section include:

1. Acute myocardial infarction;

2. Aneurysm;

3. Acute renal failure;

4. Adult respiratory distress syndrome;

5. Amniotic fluid embolism;

6. Cardiac arrest/ventricular fibrillation;

7. Conversion of cardiac rhythm;

8. Disseminated intravascular coagulation;

9. Eclampsia;

10. Heart failure/arrest;

11. Puerperal cerebrovascular disorders;

12. Pulmonary edema/acute heart failure;

13. Severe anesthesia complications;

14. Sepsis;

15. Shock;

16. Sickle cell disease with crisis;

17. Air and thrombotic embolism;

18. Blood products transfusion;

19. Hysterectomy;

20. Temporary tracheostomy;

21. Ventilation;

22. Hemorrhage or excessive laceration bleeding requiring repair;

23. Retained placenta;

24. Cord prolapse; or

25. Other adverse conditions or occurrences equivalent to listed above.

d) Neonatal emergency hospitalization events reportable under this Section include:

1. Severe birth trauma

2. Severe hypoxia/asphyxia;

3. Severe shock and resuscitation;

4. Neonatal severe respiratory complications;

5. Neonatal severe infection;

6. Neonatal severe neurological complications;

7. Severe shock and resuscitation procedures;

8. Neonatal severe respiratory procedures;

9. Neonatal severe neurological procedures;

10. Sepsis; or

11. Other adverse conditions or occurrences equivalent to those listed above.

e) A licensee shall report to the Division within 24 hours each adverse occurrence that involves the death of a neonate or a patient. The report shall be submitted to the Division on a form provided by the Division and mailed to the Division or submitted electronically.

f) A licensee shall report to the Division within 14 days each adverse occurrence that involves the in-patient emergency hospitalization of a neonate or patient. The report shall be submitted to the Division on a form provided by the Division and mailed to the Division or submitted electronically.

g) The adverse occurrence report shall be in writing and include:

1. The licensee's name and license number;

2. The date and time of the occurrence;

3. The location of the occurrence, including the name and address of the birth center, if applicable;

4. The name of the patient;

5. The name of the hospital involved in the occurrence, if any; and

6. The circumstances involved in such occurrence.

h) The adverse occurrence report is required by the Division to assist in its mission of protecting the public. The filing of such a report by a licensee shall not constitute an admission by the licensee of any wrongdoing, malpractice, error or omission in treatment, or even that the death or in-patient emergency hospitalization is related to the licensee's care. A licensee shall be responsible for filing an adverse occurrence report only for those adverse occurrences of which the licensee has knowledge or should reasonably have been expected to have knowledge. In the event that a licensee does not have knowledge or cannot reasonably be expected to have knowledge, but subsequently obtains actual knowledge of an adverse occurrence, then such licensee shall file an adverse occurrence report within 24 hours after obtaining knowledge of the death of a neonate or patient or within 14 days of obtaining knowledge of the in-patient emergency hospitalization of a neonate or patient. An adverse occurrence report is an investigatory record and is confidential under Section 70-81 of the Act.

i) Failure to provide such a report to the Division shall be grounds for discipline (See Section 70-5(b)(7) of the Act and Section 1300.90).

j) This Section 1300.490 only applies to certified nurse midwives.

k) A Certified Nurse Midwife shall be deemed to be in compliance with the reporting requirements of this Section if the Certified Nurse Midwife is employed by or is practicing at a birth center and the birth center submits the report required by this Section.

History

• Source: Added at 49 Ill. Reg. 6052, effective May 9, 2025

68 Ill. Adm. Code 1300.600 Pilot Program (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.610 Application for Examination or Licensure as a Medication Aide (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.620 Medication Aide Licensure Examination (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.630 Qualified Employers and Facilities (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.640 Standards for Termination (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.650 Site Visits (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.660 Approved Curriculum (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.670 Medication Aide Scope of Practice (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.680 Required Reports of Qualified Facilities (repealed)

History

• Source: Repealed at 45 Ill. Reg. 228, effective January 4, 2021

68 Ill. Adm. Code 1300.APPENDIX A Additional Certifications Accepted for Licensure as an Advanced Practice Nurse (repealed)

History

• Source: Repealed at 43 Ill. Reg. 6924, effective June 14, 2019

68 Ill. Adm. Code 1300.EXHIBIT A Sample Written Collaborative Agreement

ADVANCED PRACTICE REGISTERED NURSING

WRITTEN COLLABORATIVE AGREEMENT

A.

ADVANCED PRACTICE REGISTERED NURSE INFORMATION

NAME:

ILLINOIS RN LICENSE NUMBER:

ILLINOIS APRN LICENSE NUMBER:

ILLINOIS CONTROLLED SUBSTANCES LICENSE NUMBER:

FEDERAL MID-LEVEL PRACTITIONER DEA NUMBER:

AREAS OF CERTIFICATION:

CERTIFYING ORGANIZATION:

CERTIFICATION EXPIRATION DATE:

CERTIFICATION NUMBER:

PRACTICE SITES: (Attach List of Sites)

CONTACT NUMBER:

FACSIMILE NUMBER:

EMERGENCY NUMBER:

ATTACHMENTS:

Copy of Certification/Recertification

Copies of RN & APRN License

Copy of Certificate of Insurance

Copy of Controlled Substances License

B.

COLLABORATING PHYSICIAN/PODIATRIC PHYSICIAN/DENTIST INFORMATION

NAME:

ILLINOIS MEDICAL LICENSE NUMBER:

PRACTICE AREA OR CONCENTRATION:

BOARD CERTIFICATION (if any):

CERTIFYING ORGANIZATION:

PRACTICE SITES: (Attach List of Sites)

CONTACT NUMBER:

FAX NUMBER:

EMERGENCY NUMBER:

C. ADVANCED PRACTICE REGISTERED NURSE COLLABORATING PHYSICIAN/ PODIATRIC PHYSICIAN/DENTIST WORKING RELATIONSHIP

1. WRITTEN COLLABORATIVE AGREEMENT REQUIREMENT

A written collaborative agreement is required for all Advanced Practice Registered Nurses (APRNs) engaged in clinical practice outside of a hospital, hospital affiliate, or ambulatory surgical treatment center (ASTC) except for those APRNs granted full practice authority. An APRN may provide services in a licensed hospital, hospital affiliate, or ASTC without a written collaborative agreement or delegated prescriptive authority.

2. SCOPE OF PRACTICE

Under this agreement, the APRN will collaborate with the collaborating physician, dentist or podiatric physician in an active practice to deliver health care services. This agreement includes, but is not limited to, advanced nursing patient assessment and diagnosis, ordering diagnostic and therapeutic tests and procedures, performing those tests and procedures when using health care equipment, interpreting and using the results of diagnostic and therapeutic tests and procedures ordered by the APRN or another health care professional, ordering treatments, ordering or applying appropriate medical devices, using nursing, medical, therapeutic and corrective measures to treat illness and improve health status, providing palliative and end-of-life care, providing advanced counseling, patient education, health education and patient advocacy, prescriptive authority, and delegating nursing activities or tasks to a LPN, RN or other personnel.

If applicable, the APRN shall maintain privileges at the following hospitals for the designated services:

Hospitals: _____________________________________________________________

A copy of this written collaborative agreement shall remain on file at all sites where the APRN renders service and shall be provided to the Illinois Department of Financial and Professional Regulation upon request.

3. COLLABORATION AND CONSULTATION

(A) Collaboration and consultation between a certified nurse midwife, certified nurse practitioner, or certified nurse specialist and the collaborating physician includes the following:

(i) The APRN seeking the advice or opinion of the collaborating physician through the mutually agreeable methods of communication, which may be in person or through telecommunications or electronic communications (see 225 ILCS 60/54.5(b)(3) and 225 ILCS 65/65-35(b));

(ii) Discussing the condition of any patients for whom a controlled substance has been prescribed under delegated prescriptive authority at least once a month for Schedule II controlled substances (see 225 ILCS 65/65-40(b) and (d)(4)); and

(iii) The APRN informing each collaborating physician of all written collaborative agreements he or she has signed with other physicians and providing a copy of these to any collaborating physician, upon request.

(B) Collaboration and consultation between a certified registered nurse anesthetist (CRNA) and the collaborating physician, dentist or podiatric physician includes the following:

(i) A licensed CRNA may provide anesthesia services pursuant to the order of a licensed physician, podiatric physician or dentist.

(ii) For anesthesia services, an anesthesiologist, physician, podiatric physician or dentist participates through discussion of, and agreement with, the anesthesia plan and is physically present and available on the premises during the delivery of anesthesia services for diagnosis, consultation and treatment of emergency medical conditions.

(iii) A CRNA may select, order and administer medications, including controlled substances, and apply appropriate medical devices for delivery of anesthesia services under the anesthesia plan agreed to by an anesthesiologist, or the operating physician, operating podiatric physician or operating dentist. (See 225 ILCS 65/65-35(c-5) and (c-10).)

(iv) In a physician's office, the CRNA may only provide anesthesia services if the physician has training and experience in the delivery of anesthesia services to patients.

(v) In a podiatric physician's office, the CRNA may only provide those services the podiatric physician is authorized to provide pursuant to the Podiatric Medical Practice Act.

(vi) A collaborative agreement between a CRNA and a dentist must be in accordance with 225 ILCS 65/65-35(c-10). In a dentist's office, the CRNA may only provide those services the dentist is authorized to provide pursuant to the Illinois Dental Practice Act.

4. DELEGATION OF PRESCRIPTIVE AUTHORITY

As the collaborating physician/podiatric physician, any prescriptive authority delegated to the APRN is set forth in an attached document, which must be filed with the Department of Financial and Professional Regulation and the Department of Human Services Prescription Monitoring Program.

NOTE: ADVANCED PRACTICE REGISTERED NURSES MAY ONLY PRESCRIBE CONTROLLED SUBSTANCES UPON RECEIPT OF A FEDERAL DEA REGISTRATION AND AN ILLINOIS MID-LEVEL PRACTITIONER CONTROLLED SUBSTANCES LICENSE. (See 225 ILCS 65/65-40(a) and 68 Ill. Adm. Code 1300.430(c).)

WE THE UNDERSIGNED AGREE TO THE TERMS AND CONDITIONS OF THIS WRITTEN COLLABORATIVE AGREEMENT.

Collaborating Physician/Podiatric Physician /Dentist

Signature/Date

Advanced Practice Registered Nurse

Signature/Date

(Physician's/Podiatric Physician's /Dentist's

Typed Name)

(Advanced Practice Registered Nurse's Typed Name)

History

• Source: Amended at 43 Ill. Reg. 6924, effective June 14, 2019

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.10 Statutory Authority (repealed)

History

• Source: Repealed at 13 Ill. Reg. 15653, effective September 25, 1989

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.20 Temporary License

a) An applicant for a temporary license shall file an application on forms supplied by the Department, together with:

1. A statement of sound physical and mental health, dated within one year preceding application, signed by a currently licensed physician, physician assistant, advanced practice registered nurse, or full practice authority advanced practice registered nurse (nothing in this subsection shall require a physical or mental examination for any applicant who is a member of a recognized church or religious denomination which teaches reliance on spiritual means alone for healing) (the Nursing Home Administrators Licensing and Disciplinary Act (the Act) [225 ILCS 70]);

2. Certification of graduation from high school or proof of a general education diploma (GED);

3. Certified education/experience records of any one of the following:

A) Graduation from an accredited college or university with the minimum of a baccalaureate degree;

B) Completion of an approved course of instruction in nursing home administration as outlined in Section 1310.40;

C) Graduation from a three year diploma nurse program and an employer's affidavit certifying to two years of qualifying experience as described in Section 1310.50; or

D) An associate degree or a minimum of 60 semester hours or 90 quarter hours of credit earned from an accredited college or university and an employer's affidavit certifying to two years of qualifying experience as described in Section 1310.50;

4. Certification, for those applying pursuant to Section 3(3) of the Act, that the applicant is certified by a recognized church or religious denomination which teaches reliance on spiritual healing, as having been approved to administer institutions certified by such church or denomination for the care and treatment of the sick in accordance with its teaching. Such applicant will be issued a Limited Temporary Nursing Home Administrator License which will allow the individual to be an administrator in an institution of the certifying church or denomination;

5. An employer's statement of the acceptance or appointment of the applicant as a full-time nursing home administrator in a facility licensed to provide nursing care by the Illinois Department of Public Health, which includes the expected beginning date of the applicant's employment as an administrator. For purposes of this Section, "full-time" shall mean working at least as many hours as the Illinois Department of Public Health requires of nursing home administrators in that particular facility;

6. A complete work history since completion of education set forth in subsection (a)(2) until present; and

7. The required fee set forth in Section 1310.65.

b) An applicant for a temporary license as a nursing home administrator may act as a nursing home administrator for a period of up to 60 days prior to the issuance of a license if the applicant has submitted the required fee and an application for licensure to the Department. This 60-day period may be extended until the next Board meeting if action by the Board is required. The applicant shall keep a copy of the submitted application on the premises where the applicant is engaged in the practice as a nursing home administrator. The authority to practice shall terminate immediately upon the denial of licensure by the Department or the withdrawal of the application. (Section 9 of the Act)

c) The holder of a temporary license shall only be authorized to serve as administrator of the facility indicated on the application. A temporary license as an administrator becomes void and shall be surrendered upon the termination, or interruption, of the holder's service as an administrator to the facility for which the temporary license was granted or one year from the date of issuance, whichever comes first. No permanent license will be issued until the temporary license has been returned to the Department. An individual shall be issued only one temporary license.

d) An applicant may request in writing an extension of a temporary license and pay a $20 processing fee which covers the cost of printing a new temporary license. Upon the recommendation of the Board and approval by the Department, a temporary license shall be extended for an additional 12 months, or any portion thereof, for the following reasons:

1. Interruption of work during the initial 12 month period of temporary licensure for service in the military;

2. Interruption of the initial 12 month period for incapacitating illness and/or hospitalization verified by a physician; or

3. Interruption of the initial 12 month period because of an unanticipated change of residence necessitating surrender of the temporary certificate.

e) A temporary license shall be extended upon request from the license holder pending the successful completion of the next available nursing home administrator examination and the permanent license being issued. No license will be issued until the temporary license has been returned to the Department. In the event the individual fails to take the next available examination or fails to successfully complete the next available examination for licensure set forth in Section 1310.60, the temporary license shall be void and the individual shall be practicing as a nursing home administrator without a license and subject to discipline in accordance with Section 17 of the Act.

f) Upon approval of the temporary license, the applicant shall be eligible to sit for the examination set forth in Section 1310.60.

History

• Source: Amended at 48 Ill. Reg. 12280, effective August 2, 2024

68 Ill. Adm. Code 1310.30 Application for Examination

a) An applicant for a license as a nursing home administrator shall file an application on forms supplied by the Department, at least 60 days prior to an examination date, together with:

1. Certification of graduation from high school or a GED;

2. Certified records of education and experience of any one of the following:

A) Graduation from an accredited college or university with the minimum of a baccalaureate degree;

B) Satisfactory completion of an approved course of instruction in nursing home administration as outlined in Section 1310.40;

C) Graduation from a three year diploma nurse program and an employer's affidavit certifying two years of qualifying experience as described in Section 1310.50; or

D) An associate degree or a minimum of 60 semester or 90 quarter hours of credit earned from an accredited college or university and an Employer's Affidavit certifying to the applicant's qualifying experience as described in Section 1310.50;

3. Certification, for those applying pursuant to Section 3(3) of the Act, that the applicant is certified by a recognized church or religious denomination which teaches reliance on spiritual means alone for healing, as having been approved to administer institutions certified by such church or denomination for the care and treatment of the sick in accordance with its teaching. Such applicant upon successful completion of the examination set forth in Section 1310.60(f), will be issued a Limited Nursing Home Administrator License which will allow the individual to be an administrator in an institution of the certifying church or denomination;

4. A statement of sound physical and mental health, dated within one year preceding application, signed by a currently licensed physician, physician assistant, advanced practice registered nurse, or full practice authority advanced practice registered nurse (nothing in this subsection shall require a physical or mental examination for any applicant who is a member of a recognized church or religious denomination which teaches reliance on spiritual means alone for healing (Section 3(3) of the Act));

5. A complete work history since completion of education set forth in subsection (a); and

6. The required fee set forth in Section 1310.65.

b) An applicant for a license by examination who has taken the National Association of Board of Examiners for Nursing Home Administrators examination in another jurisdiction shall have the examination scores submitted to the Department by the reporting entity. The passing score shall be 75 prior to July 1993. Beginning in July 1993, the passing score shall be a scale score of 113 in accordance with Section 1310.60.

History

• Source: Amended at 48 Ill. Reg. 12280, effective August 2, 2024

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.40 Approved Nursing Home Administration Courses

The Department, upon the recommendation of the Nursing Home Administrators Licensing and Disciplinary Board (the "Board"), shall approve courses of instruction in nursing home administration offered by an accredited college or university which include instruction in the following areas:

a) Nursing Home Administration; including planning, organization, operations and services, resource development, supervision of staff, and control and evaluation of facility performance. Government Relations; including state and federal laws (i.e., Social Security Act (42 USC 301 et seq.) and Nursing Home Care Act [210 ILCS 45]) and rules and regulations for both programs and physical plants which relate to the nursing home profession.

b) Personnel Management; including managing people for the specific needs of the long-term care facility, recruitment and selection, orientation, training and development of employees, development of employee appraisal programs, communications, wage and salary administration, union procedures, and employee-management relations, discipline and morale.

c) Accounting and Financial Management; including basic accounting, adjustment of accounts, preparation of financial statements, financial management planning, effective use of resources, financial performance evaluation, cost analysis, and budgeting.

d) Social Gerontology and/or Geriatrics; including biology of aging, psychology of aging, changing social roles of aging, personal adjustment to aging, programs for health improvement and rehabilitation, financial aspects of aging, retirement, independency and dependency of aging persons, societal disengagement, impact of living arrangements, and interaction between the institution and the needs of patients.

History

• Source: Amended at 23 Ill. Reg. 5728, effective April 30, 1999

68 Ill. Adm. Code 1310.50 Qualifying Experience

Qualifying experience for applicants under Sections 1310.20(a)(3)(C) and (D) and 1310.30 (a)(2)(C) and (D) shall include one of the following:

a) Two years of full-time employment as an assistant nursing home administrator or director of nursing in a facility licensed by the Illinois Department of Public Health pursuant to the Nursing Home Care Act;

b) Two years of management experience in a corporation which owns and operates licensed nursing home facilities. This experience shall include direct contact with the nursing home administrator in the implementing, coordinating, supervising, and evaluating the daily operations of the nursing homes under his charge and ensuring that the laws, regulations, policies, and procedures for nursing home facilities or related facility were implemented and followed.

History

• Source: Amended at 23 Ill. Reg. 5728, effective April 30, 1999

68 Ill. Adm. Code 1310.60 Examination

a) The first portion of the examination for licensure as a nursing home administrator shall be the national examination of the National Association of Boards of Examiners for Nursing Home Administrators. The passing score shall be 75 prior to July 1993. Beginning in July 1993, the passing score shall be a scale score of 113.

b) The second portion of the examination shall be the Illinois Supplemental examination which will cover the Nursing Home Care Act and the rules promulgated by the Illinois Department of Public Health for the administration of this Act (77 Ill. Adm. Code 300, 350 and 390) and the Nursing Home Administrators Licensing and Disciplinary Act and the rules set forth in this Part for the administration of the Act. The passing score on this portion of the examination shall be 75.

c) An applicant who fails either portion of the examination shall be required to retake only that portion in which a passing score was not achieved. The applicant shall have 3 years from the date of application to pass both portions of the examination.

d) If an applicant fails to pass either portion of the examination for licensure within three years after filing the application, the application shall be denied. However, each applicant may make a new application for examination, accompanied by the required fee and meeting the education and experience requirements for licensure at the time of application. Such applicant will be required to take both portions of the examination on the first examination attempt. If an applicant fails either portion, he/she shall be required to retake the examination in accordance with subsection (c) above.

e) For those individuals who are applying as members of a recognized church or religious denomination, which teaches reliance on spiritual means alone for healing (Section 3(3) of the Act), an examination will be administered which will not require the individual to demonstrate proficiency in any medical techniques.

f) An applicant for a license by examination, who has taken the National Association of Boards of Examiners for Nursing Home Administrators examination in another jurisdiction, shall have the examination scores submitted to the Department by the reporting entity. The passing score shall be 75 prior to July 1993. Beginning in July 1993, the passing score shall be a scale score of 113 as set forth in subsection (a) above.

History

• Source: Amended at 17 Ill. Reg. 17220, effective September 27, 1993

68 Ill. Adm. Code 1310.65 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees.

1. The fee for application for a license as a nursing home administrator is $100. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service, shall result in the forfeiture of the examination fee.

2. The application fee for a license as a nursing home administrator certified or licensed under the laws of another jurisdiction is $150.

3. The application fee for a temporary license as provided for in the Act is $75.

4. The application fee for a continuing education sponsor is $500. State agencies, State colleges and State universities in Illinois shall be exempt from this fee.

b) Renewal Fees.

1. The fee for the renewal of a license shall be calculated at the rate of $50 per year.

2. The fee for renewal as a continuing education sponsor shall be calculated at the rate of $250 per year.

c) General Fees.

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license which has been lost or destroyed or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Department records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination administered by the Department reviewed and verified is $20, plus any fee charged by the testing service.

5. The fee for a wall certificate showing licensure shall be the actual cost of producing such certificate.

6. The fee for a roster of persons licensed as nursing home administrators in this State shall be the actual cost of producing such a roster.

History

• Source: Added at 22 Ill. Reg. 3887, effective February 5, 1998

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.70 Endorsement

a) An applicant for a license as a nursing home administrator who is licensed under the laws of another jurisdiction of the United States shall file an application with the Department, together with:

1. Certification of graduation from high school or a GED;

2. Verification, on forms provided by the Department, of education and/or qualifying experience of any one of the following:

A) Graduation from an accredited college or university with the minimum of a baccalaureate degree;

B) Completion of an approved course of instruction in nursing home administration as outlined in Section 1310.40;

C) Graduation from a three year diploma nurse program and an employer's affidavit certifying to two years of qualifying experience as described in Section 1310.50;

D) An associate degree or a minimum of 60 semester or 90 quarter hours of credit earned from an accredited college or university and an employer's affidavit certifying to the applicant's qualifying experience as described in Section 1310.50; or

E) Certification of completion of the Professional Certification Program for Nursing Home Administrators developed by the Foundation of the American College of Health Care Administrators;

3. Certification, for those applying pursuant to Section 3(3) of the Act, that the applicant is certified by a recognized church or religious denomination which teaches reliance on spiritual means alone for healing, as having been approved to administer institutions certified by such church or denomination for the care and treatment of the sick in accordance with its teaching. Such applicant will be issued a Limited Nursing Home Administrator License which will allow the individual to be an administrator in an institution of the certifying church or denomination;

4. A certification from the U.S. jurisdiction of original licensure, stating:

A) The time during which the applicant was licensed in that state;

B) Whether the file on the applicant contains any record of any disciplinary actions taken or pending pursuant to Section 17 of the Act; and

C) Examination(s) taken and examination scores received;

5. A statement of sound physical and mental health, dated within one year preceding application, signed by a currently licensed physician, physician assistant, advanced practice registered nurse, or full practice authority advanced practice registered nurse (nothing in this subsection (a)(3) shall require a physical or mental examination for any applicant who is a member of a recognized church or religious denomination which teaches reliance on spiritual means alone for healing) (Section 3(3) of the Act);

6. A work history since completion of education as set forth in subsection (a)(1);

7. Successful completion of the Illinois Supplemental examination in accordance with Section 1310.60(b); and

8. The required fee as set forth in Section 1310.65.

b) The Department shall examine each endorsement application to determine whether the requirements in the other jurisdiction at the date of licensure were substantially equivalent to the requirements then in force in this State, if the applicant's qualifications were, at the date of licensure in the other jurisdiction, substantially equivalent to the requirements then in force in this State, and whether the applicant has otherwise complied with the Act.

c) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Department because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure by endorsement shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

d) The Department shall either approve an applicant to sit for the Illinois Supplemental examination or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 48 Ill. Reg. 12280, effective August 2, 2024

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.75 Renewals

a) Every license issued under the Act shall expire on November 30 of each odd numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee and certifying to fulfilling the continuing education requirements set forth in Section 1310.85 of this Part.

b) It is the responsibility of each licensee to notify the Department of any change of address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or offering to practice on a license which has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 17 of the Act.

History

• Source: Amended at 16 Ill. Reg. 12565, effective July 27, 1992

68 Ill. Adm. Code 1310.80 Restoration

a) A person seeking restoration of a license which has expired for 5 years or less shall have the license restored upon payment of $20 plus all lapsed renewal fees required by Section 1310.65 of this Part and proof of the successful completion of 36 hours of continuing education or 3 semester hours of completed college level course work in accordance with Section 1310.85 during the 2 years prior to restoration.

b) A person seeking restoration of a license which has been placed on inactive status for 5 years or less shall have the license restored upon payment of the current renewal fee and proof of the successful completion of 36 hours of continuing education or 3 semester hours of completed college level course work in accordance with Section 1310.85 during the 2 years prior to restoration.

c) A person applying for restoration of a license as a nursing home administrator which has been expired or on inactive status for more than 5 years shall file an application with the Department, together with proof of 36 hours of continuing education or 3 semester hours of completed college level course work in accordance with Section 1310.85 during the 2 years prior to restoration and the fee required by Section 1310.65 of this Part. The applicant shall also:

1. Submit certification of licensure as a nursing home administrator in another jurisdiction and active practice for 3 of the last 5 years prior to application. Such certification of licensure shall include a statement from the appropriate board of licensing authority in another jurisdiction that the licensee was licensed and in good standing; or

2. Submit an affidavit attesting to military service as provided in Section 11 of the Act; or

3. Submit proof of an additional 36 hours of continuing education in accordance with Section 1310.85 completed within 2 years prior to restoration application; or

4. Pass both portions of the examination provided for in Section 1310.60.

d) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Department because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Department, an applicant shall have the license restored.

History

• Source: Amended at 23 Ill. Reg. 5728, effective April 30, 1999

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.85 Continuing Education

a) Continuing Education Hour Requirements

1. Every renewal applicant shall complete 36 hours of continuing education (CE) relevant to the practice of nursing home administration required during each prerenewal period. The Department shall conduct random audits to verify compliance with this Section. The prerenewal period is the 24 months preceding the expiration date of the license.

2. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

3. Nursing home administrators licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

b) Activities for which CE credit may be earned are as follows:

1. Verified attendance or participation in any CE course approved by the National Continuing Education Review Service of the National Association of Boards of Examiners of Nursing Home Administrators.

2. Verified attendance at or participation in a program given by a sponsor as set forth in subsection (c)(1).

3. A maximum of 12 hours per prerenewal period for:

A) Papers prepared or delivered before recognized nursing home administration and nursing home organizations;

B) Papers published in nationally recognized nursing home administration journals; and

C) A chapter in a book of nursing home administration.

4. A licensee who serves as an instructor, speaker or discussion leader of an approved course will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course and will only be allowed for additional study or research. In no case shall credit for actual time of presentation and preparation be given for more than 9 hours during any renewal period.

5. The CE hours used to satisfy the CE requirements for renewal of a nursing home administrator license held in another jurisdiction shall be applied to fulfillment of the CE requirements for renewal of an Illinois nursing home administrator license.

6. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 12 CE hours for each semester hour or 8 CE hours for each quarter hour of school credit awarded.

7. A CE hour equals 60 minutes. After completion of the initial CE hour, credit may be given in one-half hour increments.

8. No credit will be given for activities including, but not limited to, attendance at meetings or reading of journals.

9. All CE hours may be obtained through online courses.

c) CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) LeadingAge Illinois;

B) The Illinois Council on Long Term Care;

C) Illinois Health Care Association;

D) The Illinois Nursing Home Administrators Association;

E) National Continuing Education Review Service;

F) The Illinois Chapter of American College of Health Care Administrators; or

G) Any other school, college or university, State agency, or any other person, firm, or association that has been approved and authorized by the Department to coordinate and present CE courses and programs in conjunction with this Section.

2. A sponsor shall file a sponsor application, along with the required fee set forth in Section 1310.65, certifying that:

A) All courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(5) and all other criteria in this Section. The applicant shall be required to submit a sample 3 hour CE program with course materials, presenter qualifications, and course outline for review prior to being approved as a CE sponsor;

B) The sponsor will be responsible for verifying attendance at each course or program and provide a certificate of completion as set forth in subsection (c)(7); and

C) Upon request by the Department, the sponsor will submit such evidence as is necessary to establish compliance with this Section. The evidence shall be required when the Department has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance.

3. Each sponsor shall submit, by November 30 of each odd-numbered year, a sponsor renewal application, along with the required fee set forth in Section 1310.65. With the renewal application, the sponsor shall be required to submit to the Department a list of all courses and programs offered in the past 2 years that includes a description, location, date and time the course was offered.

4. State agencies, colleges and universities shall submit a sponsor application in accordance with subsections (c)(2) and (3); however, they shall be exempt from payment of the fee in accordance with Section 1310.65.

5. All courses and programs shall:

A) Contain materials that contribute to the advancement, extension and enhancement of professional skills and knowledge in the practice of nursing home administration;

B) Specify the course objectives, course content and teaching methods to be used;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal; and

E) Include some mechanism by which participants evaluate the overall quality of the program.

6. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the program may also be identified, but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance, and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

7. All programs given by sponsors shall be open to all licensed nursing home administrators and not be limited to the members of a single organization or group.

8. Certificate of Attendance or Participation. It shall be the responsibility of the sponsor to provide each participant in an approved program or course with a certificate of attendance or participation that shall contain the following information:

A) The name and address of the sponsor;

B) The name, address and license number of the participant;

C) A brief statement of the subject matter;

D) The number of clock hours actually attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

9. The sponsor shall maintain course materials and attendance records containing all information in subsection (c)(8) for not less than 5 years, except for the signature of the sponsor.

10. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

11. If a sponsor should fail to comply with any of the foregoing requirements, the Department, after notice to the sponsor and hearing before, and recommendation by, the Board, shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE activities until the Department receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Department or Board may evaluate any sponsor of any CE program at any time.

13. The Department shall maintain a list of all approved CE sponsors.

d) Continuing Education Earned in Other Jurisdictions

1. If a renewal applicant will be earning or has earned CE hours in another jurisdiction, but is not licensed in that jurisdiction, and when the course is not presented by an approved sponsor, the applicant shall submit an individual program approval request form, along with a $20 processing fee, to have the program reviewed. The Board shall review and recommend approval or disapproval of the programs using the criteria set forth in subsection (c)(5). Applicants may seek individual program approval prior to participation in the course or program. All individual program approval requests shall be submitted prior to the expiration date of the license.

2. If a licensee fails to submit an out-of-state CE approval form within the required time, late approval may be obtained by submitting the application with the $20 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, to full compliance with the CE requirements set forth in subsection (a).

2. The Department may require additional documentation in order to demonstrate compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The additional documentation will be required in the context of the Department's random audit.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board, at which time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

f) Restoration of Nonrenewed License. Upon evidence of compliance with CE requirements, the Department shall restore the license upon payment of the required fee.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with this Section shall file with the Department a renewal application, the required renewal fee, a statement setting forth the facts concerning the non-compliance, and a request for waiver of the CE requirements on the basis of these facts. If the Department, upon the written recommendation of the Board, finds from the applicant's affidavit or any other evidence submitted, that extreme hardship has been shown to substantiate the granting of a waiver, the Department shall waive enforcement of those requirements for the renewal period for which the applicant has applied.

2. If an interview with the Board is requested at the time the request for the waiver is filed with the Department, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

3. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness, documented by a currently licensed physician, physician assistant, advanced practice registered nurse, or full practice authority advanced practice registered nurse;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician, physician assistant, advanced practice registered nurse, or full practice authority advanced practice registered nurse; or

D) Any other similar extenuating circumstances (i.e., family illness and prolonged hospitalization).

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, pursuant to the provisions of this Section, shall be deemed to be in good standing until the Department's final decision on the application has been made.

History

• Source: Amended at 48 Ill. Reg. 12280, effective August 2, 2024

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1310 Nursing Home Administrators Licensing and Disciplinary Act

68 Ill. Adm. Code 1310.90 Granting Variances

a) The Director may grant variances from these rules in individual cases where he/she finds that:

1. the provision from which the variance is granted is not statutorily mandated;

2. no party will be injured by the granting of the variance; and

3. the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Nursing Home Administrators Licensing Board of the granting of such variance, and the reasons therefore, at the next meeting of the Board.

History

• Source: Amended at 16 Ill. Reg. 12565, effective July 27, 1992

68 Ill. Adm. Code 1310.100 Professional Conduct Standards

The Department may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action, based upon its finding of "unethical, unauthorized, or unprofessional conduct" within the meaning of Section 17 of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

a) Practicing, condoning, facilitating or collaborating with any form of discrimination against any person or group on the basis of race, color, sex, sexual orientation, age, religion, national origin, marital status, political belief, mental or physical handicap, or any other preference or personal characteristic, condition or status.

b) Engaging in the sexual exploitation of clients.

c) Engaging in or condoning sexual harassment, which is defined as deliberate or repeated comments, gestures or physical contacts of a sexual nature.

d) Failing to take appropriate steps to protect the privacy of a client and avoid unnecessary disclosures of confidential information.

e) Performing, or claiming to be able to perform, professional services beyond one's scope of practice and one's competency.

f) Submission of fraudulent claims for services to any person or entity including, but not limited to, health insurance companies or health service plans or third party payors.

History

• Source: Added at 23 Ill. Reg. 5728, effective April 30, 1999

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1315 Illinois Occupational Therapy Practice Act

68 Ill. Adm. Code 1315.90 Application for Licensure Under Section 14 of the Act (repealed)

History

• Source: Repealed at 18 Ill. Reg. 7373, effective May 2, 1994

68 Ill. Adm. Code 1315.100 Approved Programs

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) shall approve a program of occupational therapy education as reputable and in good standing if it meets the following minimum criteria:

1. Is from an institution legally recognized and authorized by the jurisdiction in which it is located to confer either a masters or doctoral degree in occupational therapy, or its equivalent, or an associate degree as an occupational therapy assistant, or its equivalent.

2. Has a faculty that consists of a sufficient number of full-time instructors to ensure educational obligations to the student are fulfilled. The faculty must have demonstrated competence in their area of teaching as evidenced by appropriate degrees from reputable professional colleges or institutions.

3. Has a curriculum of sufficient content for the achievement of entry level competencies, including liberal and technical education. Documentation shall include instructional objectives, outlines, methods and learning experiences.

4. Accepts only those persons who have graduated from an accredited high school or its equivalent.

5. Maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

6. Maintains or is formally affiliated with a field work education center that provides a sufficient number and variety of occupational therapy cases for the student's practical instruction.

7. Publishes the requirements for graduation and degrees in a regularly issued catalog.

b) In determining whether a program should be approved, the Division shall take into consideration, but not be bound by, accreditation or approval by the Accreditation Counsel for Occupational Therapy (ACOTE).

c) The Division has determined that all occupational therapy programs accredited or approved by the ACOTE as of July 1, 1996, meet the minimum criteria set forth in this Section and are, therefore, approved.

d) The Division has determined that all occupational therapist (OT) or occupational therapy assistant (OTA) programs approved by the National Board for Certification in Occupational Therapy (NBCOT) as of July 1, 1996 meet the minimum criteria set forth in this Section and are, therefore, approved.

History

• Source: Amended at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.110 Application for Licensure

a) Any person seeking licensure as a registered occupational therapist shall file an application with the Division, on forms supplied by the Division, along with the following:

1. Certification that the applicant has completed an approved program of occupational therapy as set forth in Section 1315.100;

2. Verification of the successful completion of the Certification Examination for Occupational Therapist, which shall be received directly from the designated testing service;

3. Verification of approval to sit for the examination if an applicant wishes to practice prior to passing the examination pursuant to Section 3(6) of the Illinois Occupational Therapy Act [225 ILCS 75] (Act);

4. The required fee set forth in Section 1315.130(a) of this Part; and

5. Certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) Any person seeking licensure as an occupational therapy assistant shall file an application with the Division, on forms supplied by the Division, along with the following:

1. Certification that the applicant has completed an approved program as an occupational therapy assistant as set forth in Section 1315.100;

2. Verification of the successful completion of the Certification Examination for Occupational Therapy Assistants, which shall be received directly from the designated testing service;

3. Verification of approval to sit for the examination if an applicant wishes to practice prior to passing the examination pursuant to Section 3(6) of the Act;

4. The required fee set forth in Section 1315.130(a) of this Part; and

5. Certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Illinois Occupational Therapy Board (the Board) because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

d) An applicant for licensure whose examination scores are more than 5 years old and who is not actively practicing as an occupational therapist or occupational therapy assistant shall be required to successfully complete the examination before the Division may issue a license.

e) If the applicant has been determined eligible for licensure except for passing of the examination, the applicant shall be issued a letter of authorization which allows him/her to practice under supervision in accordance with Section 3(6) of the Act. Supervision means the presence of the licensed occupational therapist on site at least 75% of the employee's work hours. The applicant shall not begin practice as an occupational therapist or occupational therapist assistant, license pending, until the letter of authorization is received from the Division or until the employer verifies that the application is on file with the Division.

History

• Source: Amended at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.120 Examination

a) The examination for licensure as a registered occupational therapist shall be the certification examination for the National Board for Certification in Occupational Therapy, Inc. (Certification Examination for Occupational Therapist, Registered).

b) The examination for licensure as a certified occupational therapy assistant shall be the certification examination for the National Board for Certification in Occupational Therapy, Inc. (Certification Examination for Occupational Therapy Assistants).

c) Candidates shall make application for the examination and pay the appropriate examination fee directly to the designated testing service.

d) Unsuccessful candidates may retake the examination as many times as they wish.

e) Passage of the certification examination according to testing service standards shall be required for licensure.

History

• Source: Amended at 23 Ill. Reg. 2304, effective January 22, 1999

68 Ill. Adm. Code 1315.130 Fees for the Administration of the Act

The following fees shall be paid to the Department for the functions performed by the Division under the Act and shall be non-refundable:

a) Application Fees

1. The fee for application for a license as an occupational therapist or occupational therapy assistant is $25. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application as a continuing education sponsor is $250. State colleges, universities, and State agencies are exempt from payment of this fee.

b) Renewal Fees

1. The fee for the renewal of a license as an occupational therapist shall be calculated at the rate of $20 per year.

2. The fee for the renewal of a license as an occupational therapy assistant shall be calculated at the rate of $10 per year.

3. The fee for renewal of continuing education sponsor approval is $125 for the renewal period.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $110.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license that has been lost or destroyed or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

History

• Source: Amended at 48 Ill. Reg. 5980, effective April 5, 2024

68 Ill. Adm. Code 1315.140 Renewal

a) Every license issued under the Act shall expire on December 31 of each odd numbered year. The holder of the license may renew such license during the month preceding the expiration date by paying the required fee. Beginning with the December 31, 2005 renewal and every renewal thereafter, a renewal applicant will be required to complete 24 contact hours of continuing education as set forth in Section 1315.145 of this Part.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing on an expired license shall be considered unlicensed practice.

History

• Source: Amended at 35 Ill. Reg. 17609, effective November 4, 2011

68 Ill. Adm. Code 1315.145 Continuing Education

a) Continuing Education (CE) Hour Requirements

Continuing education requirements under this Section are intended to help safeguard public health, safety, welfare, and quality outcomes. CE must be related to a licensee's current or anticipated roles and responsibilities in occupational therapy and must directly or indirectly serve to protect the public by enhancing the licensee's continuing competence.

1. Every occupational therapist and occupational therapy assistant shall complete 24 contact hours of CE relevant to the practice of occupational therapy during each prerenewal period as a condition of renewal. A prerenewal period is the 24 months preceding December 31 in the year of the renewal. 24 contact hours of CE is equivalent to 12 units of Continued Competency Activities (CCA) (2 contact hours = 1 unit).

2. In each renewal period, one contact hour shall include a course in ethics.

3. In each renewal period, one contact hour shall include a course in sexual harassment prevention training (see 20 ILCS 2105/2105-15.5 and 68 Ill. Adm. Code 1130.400).

4. In each renewal period, one contact hour shall include a course on implicit bias awareness training (see 20 ILCS 2105/2105-15.7 and 68 Ill. Adm. Code 1130.500).

5. In each renewal period, one contact hour shall include a course on dementia recognition training, which shall only apply to licensees who provide health care services to, and have direct patient interactions with, adult populations age 26 or older in the practice of the licensee's profession. [20 ILCS 2105/2105-365]

6. A CE contact hour equals 50 minutes. After completion of the initial CE hour, credit may be given in one-half hour increments.

7. Courses that are part of the curriculum of an accredited university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded. There is no restriction on the amount of CE hours that can be earned in this manner per renewal period.

8. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

9. Individuals licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

10. CE credit hours used to satisfy the CE requirements of another state may be submitted for approval for fulfillment of the CE requirements of the State of Illinois if they meet the requirements for CE in Illinois.

11. Credit shall not be given for courses taken in Illinois from unapproved sponsors.

b) Approved Continuing Education

1. All CE activities shall:

A) Be relevant to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of occupational therapy or fulfilling the other professional roles of an occupational therapist or occupational therapy assistant;

B) Provide experiences that contain scientific integrity, relevant subject matter and course materials; and

C) Be developed and presented by persons with education and/or experience in the subject matter of the program.

2. Regardless of delivery method, all CE hours must be earned by verified attendance or participation in a program that is offered by an approved CE sponsor who meets the requirements set forth in subsection (d), or by other CE activities set forth in subsection (c). This includes distance learning CE courses. Distance learning courses include, but are not limited to, web‑based courses, webinars, moderated teleconferences or audio cassettes, CDs or videos of professional presentations offered by approved sponsors.

c) CE may also be earned from the following activities:

1. Independent Study

A) Independent study activities include, but are not limited to, reading books or journal articles.

B) A licensee may earn contact hours spent in an independent study activity with a maximum of 4 contact hours per renewal period.

C) Documentation shall include title, author, publisher, time spent, and date of completion. A licensee shall include a statement that describes how the activity relates to a licensee's current or anticipated roles and responsibilities.

2. Professional Study Group

A) A licensee may earn up to 12 contact hours per renewal period participating in a professional study group or online study group designed to advance knowledge through active participation.

B) Documentation shall include goals and objectives, summary of the discussion, and dates, times and results of the study group.

3. Mentorship/Participation as a Mentor/Mentee

A) Participation in a formalized mentorship agreement with a mentor as defined by a signed contract between the mentor and mentee that outlines specific goals and objectives and designates the plan of activities that are to be met by the mentee.

B) A mentor/mentee may earn contact hours spent in activities directly related to achievement of goals and objectives with a maximum of 8 contact hours per renewal period.

C) Documentation shall include name of mentor and mentee, copy of signed contract, dates, hours spent in and focus of mentorship activities, and outcomes of mentorship agreement.

4. Fieldwork Educator

A) A licensee, as the primary clinical fieldwork educator for a Level I/Level II OT or OTA fieldwork student or OT/OTA students completing clinical assignments for academic courses, may earn 1 contact hour per week of supervision for each student supervised. A licensee may earn a maximum of 12 contact hours for student supervision per renewal period.

B) Documentation shall include verification provided by the school to the fieldwork educator with the name of student, school, and dates of fieldwork or the signature page of the completed student evaluation form. Evaluation scores and comments should be deleted or blocked out.

C) If student supervision is provided by more than one OT or OTA, each OT or OTA may claim only the hours actually spent in supervision.

5. Doctoral Capstone Experience Mentorship

A) A licensee, as the primary capstone mentor for the doctoral capstone experience for an entry-level Occupational Therapy Doctorate (OTD) student may earn 1 contact hour per week of mentorship for each student supervised. A licensee may earn a maximum of 14 contact hours for student capstone mentorship per renewal period.

B) Documentation shall include verification provided by the school to the capstone mentor with the name of student, school, and dates of the capstone experience or the signature page of the completed student evaluation form. Evaluation scores and comments must not be provided.

C) Only the hours actually spent in supervision by each individual mentor may be claimed with a maximum of 14 hours.

6. Professional Writing

A) First time publication of a professional or non-professional book, chapter, or article. A licensee may earn a maximum per renewal period as follows:

i) 18 hours as an author of a book;

ii) 12 hours as an author of a chapter;

iii) 12 hours as an author of an article in a professional publication;

iv) 6 hours as an author of an article in a non-professional publication;

v) 12 hours as an editor of a book.

B) Documentation shall consist of full reference for publication including: title, author, editor, and date of publication, or copy of acceptance letter if not yet published.

7. Presentation and Instruction

A) First time or significantly revised presentation of an academic course or workshop, seminar, in-service, electronic or Web-based course. Speeches made at luncheons or banquets or any other presentation not within the guidelines of this Part are not eligible for CE credit.

B) A licensee who serves as an instructor, speaker or discussion leader of a CE program will be allowed CE course credit for actual presentation time, plus actual preparation time of up to two hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course and will only be allowed for additional study or research. In no case shall credit for actual time of presentation and preparation be given for more than 12 hours during any renewal period.

C) Documentation shall include a copy of official program/schedule/syllabus, including presentation title, date, hours of presentation, and type of audience, or verification of the presentation signed by the sponsor.

8. Research

A) Development of or participation in a research project or development of an evidence based project.

B) A licensee may earn credit for hours spent working on a research project or evidence based project, for a maximum of 12 hours per renewal period.

C) Documentation includes verification from the primary investigator indicating the name of the research project or evidence based project, dates of participation, major hypotheses or objectives of the project, and licensee's role in the project.

9. Grants

A) Development of a grant proposal.

B) A licensee may earn credit for hours working on a grant proposal for a maximum of 12 hours per renewal period.

C) Documentation includes name of grant proposal, name of grant source, purpose and objectives of the project, and verification from the grant author regarding licensee's role in the development of the grant if not the author.

10. Professional Meetings and Activities

A) Participation in board or committee work with agencies or organizations in professionally related community based programs to promote and enhance the practice of occupational therapy.

B) A licensee may earn 2 contact hours per appointment on a committee or board for one year for a maximum of 8 hours per renewal period.

C) Documentation includes name of committee or board, name of agency or organization, purpose of service, and description of licensee's role. Participation must be validated by an officer or representative of the organization or committee.

11. Volunteer Service

A) Provide volunteer services that utilize occupational therapy skills and experiences to enhance and/or better the lives of organizations, populations, communities or individuals.

B) A licensee may earn 2 contact hours per 5 hours of volunteer service, for a maximum of 12 hours per renewal period.

C) Documentation includes the name of the agency or organization, purpose of the service, and a description of the licensee's role with dates, hours and outcomes of volunteer service. Participation must be validated by an officer or representative of the organization or agency.

12. Advanced Competence Recognition/Specialty Certification

A) Advanced recognition and/or specialty certification from a nationally recognized certifying body or approved provider.

B) A licensee may earn 12 contact hours for each advanced competence recognition or specialty certification credential earned during a renewal period.

C) Documentation includes certificate of completion or other documentation that identifies satisfactory completion of requirements for obtaining advanced competence or specialty certification.

D) American Occupational Therapy Association (AOTA) approved post-professional clinical residency or fellowship. A licensee may earn 1 contact hour for every 2 hours spent in a clinical residency or fellowship, for a maximum of 24 hours per renewal period.

d) Continuing Education Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) American Occupational Therapy Association (AOTA) and its affiliates;

B) American Physical Therapy Association (APTA) and the Illinois Physical Therapy Association (IPTA);

C) AOTA approved sponsors;

D) American Speech and Hearing Association (ASHA) and the Illinois Speech and Hearing Association (ISHA);

E) American Medical Association (AMA) and the Illinois State Medical Society (ISMS) and their affiliates;

F) Colleges, universities, community colleges or institutions with occupational therapy or occupational therapy assistant education programs accredited by the American Council for Occupational Therapy Education (ACOTE).

G) Regionally accredited colleges and universities;

H) American Society of Hand Therapists;

I) Licensed hospitals;

J) State agencies;

K) Educational institutions that provide occupational therapy services, including, but not limited to, public or private primary and secondary schools;

L) Educational associations that offer continuing education opportunities such as the National Educational Association (NEA), Illinois Education Association (IEA);

M) Illinois State Board of Education (ISBE); and

N) Any other person, firm, association, corporation, or group that has been approved and authorized by the Division pursuant to subsection (d)(8) upon the recommendation of the Board to coordinate and present CE courses or programs.

2. Entities seeking a license as a CE sponsor pursuant to subsection (d)(1)(N) shall file a sponsor application, along with the required fee set forth in Section 1315.130. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The applicant shall certify to the following:

A) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (d) and all other criteria in this Section. The applicant shall be required to submit a sample 3 hour CE program with course materials, presenter qualifications and course outline for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each course or program, and provide a certification of attendance as set forth in subsection (d)(7); and

C) That, upon request by the Division, the sponsor will submit evidence necessary to establish compliance with this Section. This evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. Each sponsor shall submit by December 31 of each odd numbered year a sponsor application along with the renewal fee set forth in Section 1315.130. With the application, the sponsor shall be required to submit to the Division a list of all courses and programs offered in the prerenewal period, which includes a course description and location, date and time the course was offered.

4. Each CE program shall provide a mechanism for written evaluation of the program and instructor by the participants. The evaluation forms shall be kept for 5 years and shall be made available to the Division upon written request.

5. All courses and programs shall:

A) Contribute to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of occupational therapy;

B) Provide experiences that contain scientific integrity, relevant subject matter and course materials; and

C) Be developed and presented by persons with education and/or experience in the subject matter of the program.

6. All programs given by approved sponsors shall be open to all licensees and not be limited to the members of a single organization or group and shall specify the number of CE hours that may be applied toward Illinois CE requirements for licensure renewal.

7. Certificate of Attendance

A) It shall be the responsibility of the sponsor to provide each participant in a program with a certificate of attendance signed by the sponsor. The sponsor's certificate of attendance shall contain:

i) The name and address and license number of the sponsor;

ii) The name of the participant and his/her license number;

iii) A detailed statement of the subject matter;

iv) The number of hours actually attended in each topic;

v) The date of the program; and

vi) Signature of the sponsor.

B) The sponsor shall maintain these records for not less than five years.

8. The sponsor shall be responsible for assuring verified continued attendance at each program. No renewal applicant shall receive credit for time not actually spent attending the program.

9. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board pursuant to the Administrative Hearing Rules (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept CE credit for attendance at or participation in any of that sponsor's CE programs until the Division receives reasonably satisfactory assurances of compliance with this Section.

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned CE hours in another jurisdiction from a nonapproved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, that applicant shall submit an application along with a $20 processing fee prior to taking the program or 90 days prior to the expiration date of the license. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

2. If a licensee fails to submit an out-of-state CE approval form within the required time, late approval may be obtained by submitting the application with the $20 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

f) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board, at which time the Board may refer the case for disciplinary proceedings.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, the renewal fee set forth in Section 1315.130, a statement setting forth the facts concerning the non-compliance, and a request for waiver of the CE requirements on the basis of these facts. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division shall waive enforcement of these requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of such period; or

B) Extreme hardship, which shall be determined on an individual basis by the Board and shall be limited to documentation of:

i) An incapacitating illness documented by a currently licensed physician;

ii) A physical inability to travel to the sites of approved programs; or

iii) Any other similar extenuating circumstances.

3. If an interview with the Board is requested at the time the request for the waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

4. Any renewal applicant who submits a request for waiver pursuant to subsection (g)(1) shall be deemed to be in good standing until the Division's final decision on the application has been made.

History

• Source: Amended at 48 Ill. Reg. 5980, effective April 5, 2024

68 Ill. Adm. Code 1315.150 Endorsement

a) An applicant who is licensed under the laws of another jurisdiction shall file an application with the Division, along with the following:

1. Certification that the applicant has completed an approved program of occupational therapy as set forth in Section 1315.100;

2. Verification of the successful completion of the Certification Examination for Occupational Therapist, Registered or Certification Examination for Occupational Therapy Assistants, which shall be received directly from the designated testing service;

3. Certification, on forms provided by the Division, from the state or territory of the United States in which the applicant was originally licensed and the state in which the applicant predominantly practices and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.160 Restoration

a) A person seeking restoration of a license that has expired or been placed on inactive status for 5 years or more shall file an application with the Division, on forms supplied by the Division, along with the required fees specified in Section 1315.130 and proof of 12 hours of continuing education in accordance with Section 1315.145 for each year the license was lapsed or inactive up to a maximum of 24 hours. All 24 hours must have occurred within 24 months prior to the restoration application. Three hours of continuing education must include attaining relevant updates to core knowledge of the occupational therapy profession consistent with material found in guiding practice in occupational therapy. In addition, the applicant shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 11 of the Act (no fee is required when restoring from a period of military service if application is made within 2 years after termination of the service); or

3. Verification of successful completion of the Certification Examination of the NBCOT for licensure as a registered occupational therapist or certified occupational therapy assistant within the last 5 years prior to applying for restoration; or

4. Evidence of successful completion of a re-entry program through an accredited college or university that provides an approved program for OTs or OTAs. The re-entry program will be clearly labeled as such and may include courses from an accredited entry level OT or OTA program. The certificate of completion or transcript will be submitted to the Division. After receipt of the license, the applicant shall complete 30 hours of supervised work and keep documentation of the supervised work.

b) A registrant seeking restoration of a license that has been expired for less than 5 years shall have the license restored upon payment of fees required by Section 1315.130. A licensee seeking restoration of a license shall be required to submit proof of the required 12 hours of continuing education in accordance with Section 1315.145 for each year the license was lapsed or inactive, up to a maximum of 60 hours. At least 24 hours must have occurred within 24 months prior to the restoration application.

c) A registrant seeking restoration of a license that has been on inactive status for less than 5 years shall have the license restored upon payment of the current renewal fee. A licensee seeking restoration of a license shall be required to submit proof of the required 12 hours of continuing education in accordance with Section 1315.145 for each year the license was lapsed or inactive, up to a maximum of 60 hours. At least 24 hours must have occurred within 24 months prior to the restoration application.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 48 Ill. Reg. 5980, effective April 5, 2024

68 Ill. Adm. Code 1315.162 Modalities in Occupational Therapy

Occupational therapy services include the use of physical agent modalities for occupational therapists and occupational therapy assistants who have the training, skill and competency to apply these modalities.

a) Physical agent modalities:

1. refer to those modalities that produce a response in soft tissue through the use of light, water, temperature, sound, electricity, or pressure;

2. are characterized as adjunctive methods used in conjunction with or in immediate preparation for: patient involvement in purposeful occupation or daily life activity; the use of ergonomic principles; the adaptation of environments and processes to enhance functional performance; or the promotion of health and wellness; and

3. include but are not limited to the following:

A) modalities using electricity. These would cover pain control, edema reduction, and muscle reeducation. Examples include, but are not limited to, biofeedback, neuromuscular electrical stimulation/functional electrical stimulation (NMES/FES), transcutaneous electrical nerve stimulation (TENS), high volt pulsed stimulation (HVPS), interferential, and iontophoresis;

B) thermal modalities, including superficial and deep heat and cryotherapy. Examples include, but are not limited to, hot and cold packs, ice massage, fluidotherapy, warm whirlpool, cool whirlpool, ultrasound, phonophoresis, paraffin and contrast baths, and lasers;

C) modalities using mechanical forces including touch, pressure, traction, stretch, stroke, petrissage, friction, vibration, oscillating and/or translating in different vectors/planes. Examples include, but are not limited to, soft tissue mobilization such as manual lymph drainage, elastic taping application, joint mobilization and tool assisted fascial remodeling such as assisted soft tissue mobilization (ASYM), dynamic cupping or pneumatic compression; and

D) dry needling/Intramuscular Manual Therapy.

b) Training required for occupational therapists and occupational therapy assistants to use physical agent modalities that use electricity, thermal or mechanical forces.

1. The training shall include:

A) a minimum of 14 hours of didactic training in a program defined in subsection (b)(2) that includes demonstration and return demonstration as part of a lab component and an examination. The training session shall include the mechanics and precautions of using the modality safely as well as case studies and problem solving on when to use. The ethics, economics, liability, and insurance issues related to using modalities shall also be addressed in the educational process.

B) five clinical treatments in each modality supervised by a licensed health care professional trained in the use of the modality.

2. The didactic training shall be obtained through educational programs, workshops, or seminars offered or approved by a college or university, the Illinois Occupational Therapy Association, the American Occupational Therapy Association and its affiliates, the Illinois Physical Therapy Association, the American Physical Therapy Association, the National Board for Certification in Occupational Therapy (NBCOT), or the Hand Therapy Certification Commission.

3. The training shall be documented and made available to the Division or Board upon request. Training shall be completed prior to the use of these modalities. Documentation shall include:

A) a transcript or proof of successful completion of the coursework, including the number of educational hours;

B) the name and address of the individual or organization sponsoring the activity;

C) the name and address of the facility at which the activity was presented;

D) a copy of the course, workshop, or seminar description that includes topics covered, learning objectives, credentials of presenters and instructional methods; and

E) documentation of the 5 clinical treatments that includes date of the treatments, the modality and the name and credentials of the supervisor.

4. The clinical treatment demonstration shall include:

A) The ability to evaluate or contribute to the evaluation of the client, and make an appropriate selection of the modality to be utilized;

B) A thorough knowledge of the effects of the modality that is to be utilized;

C) The ability to explain the precaution, contraindication and rationale of the specific modality utilized;

D) The ability to formulate and justify the occupational therapy intervention plan, specifically delineating the adjunctive strategy associated with the use of each modality;

E) The capability to safely and appropriately administer the modality; and

F) The ability to properly document the parameters of intervention, which include the client's response to treatment and the recommendation for the progression of the intervention process.

5. The clinical supervisor for the treatment session shall:

A) Be licensed or certified and in good standing in this profession or another profession within Illinois that permits the use of the physical agent modalities; and

B) Be a practitioner with demonstrated competence in the physical agent modality; and

C) Have a minimum of 1 year of clinical experience, within the previous 3 years, in the use of the physical agent modalities.

c) Occupational therapists and occupational therapy assistants who, prior to January 1, 2002, have attended training programs and have developed competencies in the use of physical agent modalities may demonstrate competency through proof of one or more of the following:

1. documentation of previous attendance and completion of the required training as stated in subsection (b);

2. documentation of professional experience at the work place through policy and procedures indicating the use of modalities, in-service training, proof of prior use. The experience shall include at least 20 applications for each modality within the last 3 years;

3. documentation of attendance at educational programs, including post‑professional programs, in-service training and specific certifications in the use of modalities; or

4. documentation of certification as a hand therapist from the Hand Therapy Certification Commission.

d) The training required for the use of dry needling/intramuscular manual therapy under Section 3.7 of the Act must include:

1. Successful completion of 50 hours of college-level instruction from an accredited program approved by the Division in the following areas:

A) the musculoskeletal and neuromuscular system;

B) the anatomical basis of pain mechanisms, chronic pain and referred pain;

C) myofascial trigger point theory; and

D) universal precautions.

2. Completion of at least 30 hours of didactic course work specific to intramuscular manual therapy. This requirement can be fulfilled, regardless of delivery method, by the didactic pre-study required for the intramuscular manual therapy practicum course. This may include, but is not limited to, distance learning such as web-based courses or webinars, required textbook assignments and pre-course work.

3. Practicum Hours.

A) Successful completion of at least 54 practicum hours in intramuscular manual therapy offered through an approved CE sponsor as defined in Section 1315.145. Each instructional course shall specify what anatomical regions are included in the instruction and describe whether the course offers introductory or advanced instruction in intramuscular manual therapy. Each instruction course shall include the following areas:

i) intramuscular manual therapy technique;

ii) intramuscular manual therapy indications and contraindications;

iii) documentation of intramuscular manual therapy;

iv) management of adverse effects;

v) practical psychomotor competency; and

vi) the Occupational Safety and Health Administrations Bloodborne Pathogens standard.

B) Classes qualifying for completion of the mandated 54 hours of intramuscular manual therapy shall be in one or more modules, with the initial module being no fewer than 27 hours. The 54 practicum hours must be completed within 24 months after the start of study.

4. Completion of at least 200 patient treatment sessions.

A) Occupational therapists must complete the treatment sessions under general supervision by a medical professional who has previously fulfilled the necessary dry needling/intramuscular manual therapy credentials.

B) Occupational therapy assistants must complete the treatment sessions under direct line of sight supervision by a licensed occupational therapist who has previously met the requirements for dry needling/intramuscular manual therapy credentials.

5. Successful completion of a competency examination approved by the Division. The Division will accept competency examinations administered as part of the intramuscular manual therapy practicum course work.

6. Each licensee is responsible for maintaining records of the completion of the requirements of this subsection (a) and shall be prepared to produce those records upon request by the Division.

7. Intramuscular manual therapy may be performed by a licensed occupational therapist and only be delegated to a licensed occupational therapy assistant that has met the requirements of this subsection (d) and is supervised by a licensed occupational therapist who has met the requirements of this subsection (d) and maintains direct line of sight observation and supervision of the occupational therapy assistant at all times while the treatment is rendered.

8. An occupational therapist or occupational therapy assistant shall not advertise, describe to patients or the public, or otherwise represent that dry needling/intramuscular manual therapy is acupuncture, nor shall he or she represent that he or she practices acupuncture unless separately licensed under the Acupuncture Practice Act [225 ILCS 2].

e) Nothing in this Section shall be construed as preventing or restricting the practices, services or activities of any person licensed in this State by any other law or occupation for which the person is licensed.

History

• Source: Amended at 48 Ill. Reg. 5980, effective April 5, 2024

68 Ill. Adm. Code 1315.163 Supervision of an Occupational Therapy Assistant

a) A certified occupational therapy assistant shall practice only under the supervision of a registered occupational therapist. Supervision is a process in which 2 or more persons participate in a joint effort to establish, maintain and elevate a level of performance and shall include the following criteria:

1. To maintain high standards of practice based on professional principles, supervision shall connote the physical presence of the supervisors and the assistant at regularly scheduled supervision sessions.

2. Supervision shall be provided in varying patterns as determined by the demands of the areas of patient/client service and the competency of the individual assistant. Such supervision shall be structured according to the assistant's qualifications, position, level of preparation, depth of experience and the environment within which he/she functions.

3. The supervisors shall be responsible for the standard of work performed by the assistant and shall have knowledge of the patients/clients and the problems being discussed. Co-signature does not reflect supervision.

4. A minimum guideline of formal supervision is as follows:

A) The occupational therapy assistant who has less than one year of work experience or who is entering new practice environments or developing new skills shall receive a minimum of 5% on-site face‑to-face supervision from a registered occupational therapist per month. On-site supervision consists of direct, face-to-face collaboration in which the supervisor must be on the premises. The remaining work hours shall be supervised by a combination of telephone, electronic communication, telecommunication, technology or face-to-face consultation.

B) The occupational therapy assistant with more than one year of experience in his/her current practice shall have a minimum of 5% direct supervision from a registered occupational therapist per month. The 5% direct supervision shall consist of 2% direct, face-to-face collaboration. The remaining 3% of supervision shall be a combination of telephone, electronic communication, telecommunication technology or face-to-face consultation. The remaining work hours will be supervised in accordance with subsection (a)(2).

b) Record Keeping. It is the responsibility of the occupational therapy assistant to maintain on file at the job site signed documentation reflecting supervision activities. This supervision documentation shall contain the following: date of supervision, means of communication, information discussed and the outcomes of the interaction. Both the supervising occupational therapist and the occupational therapy assistant must sign each entry.

History

• Source: Amended at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.164 Supervision of an Aide in Occupational Therapy

a) An aide in occupational therapy may also be called an occupational therapy technician (tech) or occupational therapy paraprofessional. This is a person who is not licensed by the Board and provides supportive services to occupational therapists and occupational therapy assistants that may include client-related and non-client related duties and that do not require the knowledge, skills or judgment of an occupational therapist or occupational therapy assistant. An aide in occupational therapy works under the direct on-site supervision of an occupational therapist and/or occupational therapy assistant who is ultimately responsible for the use of aides in occupational therapy.

b) An occupational therapist and/or occupational therapy assistant may delegate to an aide in occupational therapy only specific tasks, which are neither evaluative, selective nor recommending in nature, only after insuring that the aide has been appropriately trained for the performance of the task.

c) Any duties assigned to an aide in occupational therapy must be determined and appropriately supervised by an occupational therapist and/or occupational therapy assistant and must not exceed the level of training, knowledge, skill and competence of the individual being supervised.

d) Duties and/or functions that aides in occupational therapy may perform include, but are not limited to:

1. Under supervision:

A) routine department maintenance work;

B) transportation of individuals/patients/clients;

C) preparation or setting up of treatment equipment and work areas;

D) taking care of individuals'/patients'/clients' personal needs during treatment that are not part of occupational therapy treatment;

E) clerical, secretarial, administrative activities; and

F) assisting in the construction of adaptive equipment.

2. On-site supervision and within the visual field of the occupational therapist or occupational therapy assistant:

A) following up with selected routine activity or exercise; and

B) aiding the occupational therapist and/or the occupational therapy assistant during occupational therapy treatment of the individual, patient or client.

e) Duties or functions that aides in occupational therapy shall not perform include, but are not limited to:

1. initiate and/or interpret referrals for occupational therapy services;

2. perform evaluative/assessment procedures;

3. develop, plan, adjust or modify treatment procedures;

4. act on behalf of the occupational therapist and/or occupational therapy assistant in any matter related to direct individual/patient/client care that requires judgment or decisionmaking;

5. document services reported as occupational therapy; or

6. represent himself or herself as an occupational therapist or an occupational therapy assistant.

f) An aide in occupational therapy may not provide direct individual/patient/client treatment.

History

• Source: Amended at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.165 Professional Conduct Standards

All licensed occupational therapists or occupational therapy assistants shall comply with the standards of professional conduct set forth in this Section. Any violation of these conduct rules may be considered unethical, unauthorized or unprofessional conduct. The Division may suspend or revoke a license, refuse to issue or renew a license, or take other disciplinary action, based upon the finding of "unethical, unauthorized or unprofessional conduct" within the meaning of Section 19 of the Act.

a) Individuals licensed under the Act shall be required, when signing official patient records, to designate licensure by including the notation OT/L (Occupational Therapist, Licensed) or OTR/L (Occupational Therapist, Registered/Licensed) or COTA/L (Certified Occupational Therapy Assistant/Licensed) after the licensee's signature.

b) Occupational therapy practitioners shall respect the rights of the recipients of their services.

1. Occupational therapy practitioners should act to prevent and eliminate discrimination against any person or group on the basis of race, color, sex, sexual orientation, age, religion, national origin, marital status, political belief, mental or physical handicap, or any other preference or personal characteristic, condition or status.

2. Occupational therapy practitioners shall avoid those relationships or activities that interfere with professional judgment and objectivity. Occupational therapy practitioners shall not have relationships that exploit the recipient of services sexually, physically, emotionally, financially, socially or in any other manner.

3. Occupational therapy practitioners shall strive to ensure that fees are fair, reasonable and commensurate with the service performed and are set with due regard for the service recipient's ability to pay.

4. Occupational therapy practitioners shall collaborate with service recipients or their surrogates in determining goals and priorities throughout the intervention process.

5. Occupational therapy practitioners shall fully inform the service recipients of the nature, risks and potential outcomes of any interventions.

6. Occupational therapy practitioners shall obtain informed consent from subjects involved in research activities indicating they have been fully advised of the potential risks and outcomes.

7. Occupational therapy practitioners shall respect the individual's right to refuse professional services or involvement in research or educational activities.

8. Occupational therapy practitioners shall protect the confidential nature of information gained from educational, practice and research activities.

c) Occupational therapy practitioners shall achieve and continually maintain high standards of competence.

1. Occupational therapy practitioners shall take responsibility for maintaining competence by participating in professional development and educational activities.

2. Occupational therapy practitioners shall perform their duties on the basis of accurate and current information.

3. Occupational therapy practitioners shall protect service recipients by ensuring that duties assumed by or assigned to other occupational therapy personnel are commensurate with their qualifications and experience.

4. Occupational therapy practitioners shall provide appropriate supervision to consult with other service providers when additional knowledge and expertise are required.

5. Occupational therapy practitioners shall refer recipients to other service providers or consult with other service providers when additional knowledge and expertise are required.

d) Occupational therapy practitioners shall comply with laws and rules in relation to the profession of occupational therapy.

1. Occupational therapy practitioners shall understand and abide by local, State and federal laws and institutional rules.

2. Occupational therapy practitioners shall require those they supervise in occupational therapy activities to adhere to the professional conduct rules established in this Part.

3. Occupational therapy practitioners shall accurately record and report all information related to professional activities.

e) Occupational therapy practitioners shall provide accurate information about occupational therapy services.

1. Occupational therapy practitioners shall accurately represent their qualifications, education, experience, training and competence.

2. Occupational therapy practitioners shall disclose to recipients any affiliations that may pose a conflict of interest.

3. Occupational therapy practitioners shall refrain from using or participating in the use of any form of communication that contains false, fraudulent, deceptive, or unfair statements or claims.

f) Occupational therapy practitioners shall treat colleagues and other professionals with fairness, discretion and integrity.

1. Occupational therapy practitioners shall safeguard confidential information about colleagues and staff.

2. Occupational therapy practitioners shall accurately represent the qualifications, views, contributions and findings of colleagues.

g) Pursuant to Section 19(8) of the Act, the Division incorporates by reference the Occupational Therapy Code of Ethics of the American Occupational Therapy Association, 4720 Montgomery Lane, Ste. 200, Bethesda, Maryland 20814-3489, April 2015, with no later amendments or editions.

History

• Source: Amended at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.166 Confidentiality

All information collected by the Department in the course of an examination or investigation of a licensee or applicant, including, but not limited to, any complaint against a licensee filed with the Department and information collected to investigate any such complaint, shall be maintained for the confidential use of the Department and shall not be disclosed. The Department may not disclose the information to anyone other than law enforcement officials, other regulatory agencies that have an appropriate regulatory interest as determined by the Secretary, or to a party presenting a lawful subpoena to the Department. Information and documents disclosed to a federal, State, county, or local law enforcement agency shall not be disclosed by the agency for any purpose to any other agency or person. A formal complaint filed against a licensee by the Department against a licensee or applicant shall be a public record, except as otherwise prohibited by law. (Section 19.2a of the Act)

History

• Source: Added at 39 Ill. Reg. 14520, effective November 6, 2015

68 Ill. Adm. Code 1315.170 Advertising

a) Persons licensed to practice occupational therapy in the State of Illinois may advertise in any medium or other form of public communication in a manner that is truthful and is not fraudulent, deceptive, inherently misleading or proven to be misleading in practice. Advertising shall contain all information necessary to make the communication not misleading and shall not contain any false or misleading statement or otherwise operate to deceive. The form of communication shall be designed to communicate the information to the public in a direct, dignified and readily comprehensible manner.

b) Information that may be contained in advertising shall include:

1. Licensee's name, address, office hours and telephone number;

2. Schools attended;

3. Announcement of the opening of, change of, or return to practice;

4. Announcement of additions to or deletions from professional staff;

5. Licensee's hospital affiliation(s);

6. Areas of specialization, including Board certification, professional society memberships and any limitations or concentration of practice;

7. Credit arrangements and/or acceptance of Medicare/Medicaid patients and credit cards;

8. Foreign language ability;

9. Usual and customary fees for routine professional services which must include a statement that fees may be adjusted due to complications or unforeseen circumstances;

10. Description of offices in which licensee practices (e.g., accessibility to the disabled, laboratory facilities on the premises, convenience of parking); and

11. Other information about the licensee, the licensee's practice, or the types of practice in which the licensee will accept employment, which a reasonable person might regard as relevant in determining whether to seek the licensee's service.

c) If an advertisement is communicated to the public over television or radio, it shall be prerecorded and approved for broadcast by the licensee, and a recording of the actual transmission, including videotape, shall be retained by the licensee for a period of 3 years.

d) Information which may be untruthful, fraudulent, deceptive, inherently misleading, or which has proven to be misleading in practice includes that which:

1. Contains a misrepresentation of fact or omits a material fact required to prevent deception;

2. Guarantees favorable results or creates false or unjustified expectations of favorable results;

3. Takes advantage of the potential client's fears, anxieties, vanities or other emotions;

4. Contains testimonials and/or exaggerations pertaining to the quality of occupational therapy care;

5. Describes as available products or services which are not permitted by the laws of this State and/or applicable Federal laws; and

6. Advertises professional services that the licensee is not licensed to render.

History

• Source: Amended at 18 Ill. Reg. 7373, effective May 2, 1994

68 Ill. Adm. Code 1315.180 Conduct of Hearings (repealed)

History

• Source: Repealed at 18 Ill. Reg. 7373, effective May 2, 1994

68 Ill. Adm. Code 1315.200 Granting Variances

The Director may grant variances from this Part in individual cases, when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance;

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 5980, effective April 5, 2024

Part 1316 Music Therapy Licensing and Practice Act

68 Ill. Adm. Code 1316.10 Definitions

"Act" means the Music Therapy Licensing and Practice Act [225 ILCS 56].

"Board" means the Music Therapy Advisory Board.

"Department" means the Department of Financial and Professional Regulation of the State of Illinois.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

68 Ill. Adm. Code 1316.15 Application for Licensure

a) An applicant for licensure as a licensed professional music therapist shall file an application on forms provided by the Division. Applicants must be at least 18 years of age and be of good moral character. The application shall include:

1. An official transcript and diploma or official transcript and certification of graduation evidencing that the applicant has received a baccalaureate degree or higher in music therapy from an accredited educational institution that meets the standards provided in Section 1316.20;

2. Certification of successful completion of an examination as provided in Section 1316.25. The certification shall be forwarded to the Division from the testing entity; and

3. The fee required in Section 1316.55.

b) In lieu of meeting the requirements in subsection (a)(1), an applicant who has at least a baccalaureate degree (not in music therapy) may complete a music therapy degree equivalency program offered by a university approved by the American Music Therapy Association without earning a second baccalaureate degree. Applicants shall meet all other requirements for licensure.

68 Ill. Adm. Code 1316.20 Professional Education Curriculum and Instruction Standards

a) The educational requirements for licensure are as follows:

1. Baccalaureate degree or higher in music therapy shall be from a college, university, or school that is a regionally accredited institution of higher education and recognized by the United States Department of Education;

2. The programs, wherever they may be administratively housed, must be clearly identified, and labeled as offering music therapy or similar degree programs. Such a program must specify in institutional catalogues and brochures its intent to educate and train music therapists;

3. The program is an organizational entity within the institution;

4. The program has an integrated, organized sequence of study;

5. The program must require an individual to graduate from a program with courses that cover each of the areas listed in this subsection (see Appendix A (Course Descriptions) for a definition of the subject content for each area):

A) Music Foundations

i) Music theory and history;

ii) Composition and arranging skills;

iii) Major performance medium skills;

iv) Functional music skills;

v) Conducting skills; and

vi) Movement skills.

B) Clinical Foundations

i) Therapeutic applications;

ii) Therapeutic principles; and

iii) The therapeutic relationship.

C) Music Therapy

i) Foundations and principles;

ii) Client assessment;

iii) Treatment planning;

iv) Therapy implementation;

v) Therapy evaluation;

vi) Documentation;

vii) Termination/Discharge planning;

viii) Professional role and ethics;

ix) Interprofessional collaboration;

x) Supervision and administration; and

xi) Research methods.

6. The program has faculty responsible for the program and has a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled;

7. The program has an identifiable body of students who are matriculated in that program for a degree; and

8. The program involves interaction with faculty and other matriculated students.

b) For the purpose of this Section, a course shall be defined as an integrated, organized course of study. No student designed courses, independent study courses, workshops, or correspondence courses may be used to satisfy the course requirements in this Section.

c) The Division has determined that all baccalaureate degree and higher degree programs approved by the American Music Therapy Association are approved programs.

d) Individual Program Requirements

1. Individuals applying for licensure as a professional music therapist who have not graduated from a program listed in subsection (c) shall submit their official transcripts and program materials to the Division for evaluation by the Board to determine if they meet the requirements of this Section.

2. Individuals applying for licensure who are deficient in any of the content areas set forth in subsection (a)(5) may complete any content area deficiencies in a music therapy program or similar degree program. No student designed courses, independent study courses, workshops, or correspondence courses may be used to satisfy the course requirements in this Section.

68 Ill. Adm. Code 1316.25 Examination

a) The examination approved by the Division for licensure as a licensed professional music therapist is the Music Therapy Board Certification Examination of the Certification Board for Music Therapists. The passing score on the examination shall be the passing score established by the testing entity.

b) An applicant who fails an examination may retake the examination in accordance with the procedures established by the testing entity.

c) The applicant shall pay examination fees to the testing entity. These fees are in addition to the license application fee payable to the Division.

68 Ill. Adm. Code 1316.30 Endorsement

a) An applicant for licensure as a licensed professional music therapist who is licensed under the laws of another state shall file an application on forms provided by the Division. Applicants must be at least 18 years of age. The application shall include:

1. A certification from the jurisdiction of original licensure and current licensure stating:

A) The date of issuance and status of the license; and

B) Whether the records of the licensing authority contain any record of any disciplinary actions taken or pending.

2. Proof of the following:

A) Official transcript and diploma or official transcript and certification of graduation that complies with Section 1316.15(a)(1) or (b); and

B) Certification of previous successful completion of an examination that is the same or similar to the examination as provided for in Section 1316.25. If the applicant does not meet this requirement, the applicant must successfully complete the examination provided for in Section 1316.25.

3. The fee required in Section 1316.55.

b) The Division shall examine each endorsement application to determine whether the requirements in the other state at the date of licensing were substantially equivalent to the requirements of the Act and this Part.

68 Ill. Adm. Code 1316.35 Renewals

a) All licenses issued under the Act shall expire October 31 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee.

b) Compliance with the continuing education requirement in Section 1316.40 is a condition of renewal.

c) Practice on an expired license shall be considered unlicensed practice and shall be grounds for discipline pursuant to Section 40 of the Act.

68 Ill. Adm. Code 1316.40 Continuing Education

a) Continuing Education Requirements

1. Beginning with the 2026 renewal period, all licensed professional music therapists shall complete 40 hours of approved continuing education per 2-year license renewal cycle. For licensees who have direct patient interactions with adult populations age 26 or older, at least one of the continuing education hours must include completion of a course on the diagnosis, treatment, and care of individuals with Alzheimer's disease and other dementias.

2. All continuing education must be completed in the 24 months preceding expiration of the license.

3. A renewal applicant shall not be required to comply with continuing education requirements for the first renewal of an Illinois license.

4. Licensed professional music therapists licensed in Illinois but residing and practicing in other states shall comply with the continuing education requirements set forth in this Section.

5. Continuing education hours used to satisfy the continuing education requirements of another jurisdiction may be applied to fulfill the continuing education requirements of the State of Illinois.

b) Approved Continuing Education Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) Certification Board for Music Therapists;

B) American Music Therapy Association;

C) Illinois Association for Music Therapy;

D) Great Lakes Region of the American Music Therapy Association;

E) Any Illinois university or college that offers a degree in music therapy; or

F) Any other accredited school, college, or university, State agency, or association approved by the Division upon recommendation of the Board.

2. All programs shall:

A) Contribute to the advancement, extension, and enhancement of the professional skills and scientific knowledge of the licensee in the profession of music therapy;

B) Foster the enhancement of the music therapy profession and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content, and teaching methods to be used; and

E) Specify the number of continuing education hours that may be applied to fulfilling the Illinois continuing education requirements for license renewal.

3. Continuing education may be offered in a classroom setting or by online instruction.

4. Each continuing education program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or electronic means. The sponsor and instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. A sponsor approved pursuant to subsection (b)(1) may subcontract with individuals or organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the approved sponsor. The presenter of the program may also be identified but should be identified as a presenter. When an approved sponsor subcontracts with a presenter, the sponsor retains all responsibility for monitoring attendance, providing certificates of attendance, and ensuring the program meets all of the criteria established by the Act and this Section, including the maintenance of records.

6. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The sponsor's name and, if applicable, sponsor approval number;

B) The name of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

7. The sponsor shall maintain attendance records for not less than 5 years.

8. The sponsor shall be responsible for assuring that no renewal applicant will receive continuing education credit for time not actually spent attending the program.

9. Upon the failure of the sponsor to comply with any of the requirements of subsection (b), the Division, after notice to the sponsor, shall thereafter refuse to accept for continuing education attendance at or participation in any of that sponsor's continuing education programs until the Division receives assurances of compliance with this Section. The Division will post such information on its website.

10. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved continuing education program at any time to ensure compliance with requirements of this Section.

c) Certification of Compliance with Continuing Education Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the continuing education requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the continuing education requirements (e.g., certificates of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with continuing education requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings.

d) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned continuing education hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit towards full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (b)(2).

2. If a licensee fails to submit an out-of-state continuing education approval form within the required time, late approval may be obtained by submitting the approval request with the $25 processing fee plus a late fee of $50 per continuing education hour, not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (b)(2).

e) Waiver of Continuing Education Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these continuing education requirements shall file with the Division a renewal application, along with the fee set forth in Section 1316.55, an affidavit setting forth the facts concerning noncompliance and a request for waiver of the continuing education requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division will waive enforcement of continuing education requirements for the renewal period for to which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the continuing education requirements during the applicable pre-renewal period because of:

A) Full-time service in the Armed Forces of the United States during a substantial part of the pre-renewal period;

B) An incapacitating illness documented by a statement from a currently licensed health care provider;

C) A physical inability to access the sites of approved programs or online sources documented by a currently licensed health care provider; or

D) Any other similar extenuating circumstances.

3. When the licensee is requesting a waiver due to physical or mental illness or incapacity, the licensee shall provide a current fitness to practice statement from a currently licensed health care provider familiar with the licensee’s medical history.

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

68 Ill. Adm. Code 1316.45 Restoration

a) A person seeking restoration of a license that has expired for 3 years or less shall have the license restored upon payment of all lapsed renewal fees required by Section 1316.55 and proof of completion of the continuing education required under Section 1316.40.

b) A person seeking restoration of a license that has been placed on inactive status for 3 years or less shall have the license restored upon payment of the current renewal fee required by Section 1316.55 and proof of completion of the continuing education required under Section 1316.40.

c) A person seeking restoration for a license after it has expired or been placed on inactive status for more than 3 years shall file an application, on forms supplied by the Division, proof of completion of the continuing education required under Section 1316.40, and payment of the restoration fee required by Section 1316.55.

d) A person seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation for 3 years or less shall comply with the same requirements provided in subsection (b), provide sufficient evidence to establish that the person has been rehabilitated in accordance with Section 1316.50, and pay of the restoration fee required by Section 1316.55.

e) A person seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation for more than 3 years shall comply with the same requirements provided in subsection (d) provide sufficient evidence to establish that the person is fit to practice music therapy, and provide sufficient evidence to establish that the person has been rehabilitated in accordance with 1360.50. Establishing that the person is fit to practice may include, but is not limited to, passage of an examination or completion of additional training or education.

f) Except for persons seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation, when the accuracy or sufficiency of any submitted documentation is questioned by the Division because of a lack of information, discrepancies, or conflicts in information given or a need for clarification, the person seeking restoration of a license may be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflict in information.

68 Ill. Adm. Code 1316.50 Rehabilitation

a) Upon written petition for restoration of a license from discipline pursuant to Section 1315.45, the Board shall consider, but is not limited to, the following in determining if the person is to be deemed sufficiently rehabilitated to warrant the public trust:

1. The seriousness of the offense that resulted in the disciplinary action being considered or being taken;

2. The length of time that elapsed since the disciplinary action was taken;

3. The profession, occupation, and outside activities in which the petitioner has been involved;

4. Any counseling, medical treatment, or other rehabilitative treatment received by the petitioner;

5. Compliance with Section 1316.55(c), except for payment of renewal fees, which is a condition for petitioning for restoration;

6. Continuing education courses or other types of courses taken to correct the grounds for the past disciplinary action;

7. Written reports and oral testimony by other persons relating to the skill, knowledge, honesty, integrity, and contriteness of the petitioner;

8. Restitution to injured parties;

9. Future plans of the petitioner;

10. Involvement of the petitioner's family and friends in the petitioner's rehabilitation process;

11. A written report of a physical or mental examination given by a physician selected by the Board and paid for by the petitioner;

12. Any other information evidencing rehabilitation that would bear upon the petitioner’s request for restoration of a license;

13. Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

14. The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

15. Whether there has been compliance with any probationary terms imposed.

b) In addition to the factors contained in subsection (a), the Board may find that there is sufficient evidence in the record to recommend to the Director that the petitioner must also successfully complete a competency examination in compliance with Section 1316.25 and paid for by the petitioner, prior to restoration of a license.

68 Ill. Adm. Code 1316.55 Fees

The following fees shall be paid to the Division and are not refundable:

a) The fee for application for a license under Sections 1316.15 or 1316.30 is $400.00.

b) The fee for renewal of a license is $300.00.

c) The fee for restoration of a license other than from inactive status is $50.00 plus payment of all lapsed renewal fees. The fee for restoration of a license from inactive status is the current renewal fee.

d) The fee for certification of a licensee’s record for any purpose is $20.00.

e) The fee for a continuing education sponsor subject to the approval of the Board is $500.00. The fee is waived for a State agency, State university, or community college.

f) The fee for a two-year renewal for a continuing education sponsor subject to approval of the Board is $250.00. The renewal fee is waived for State agency, State university, or community college.

68 Ill. Adm. Code 1316.60 Dishonorable, Unethical, or Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its findings of dishonorable, unethical, or unprofessional conduct pursuant to Section 95(a)(8) of the Act, which includes, but is not limited to, the following acts or practices:

a) Engaging in conduct likely to deceive, defraud, or harm the public, or demonstrating a willful disregard for the health, welfare, or safety of a client. Actual injury need not be established.

b) A departure from or failure to conform to the standards of practice as set forth in the Act or this Part. Actual injury need not be stablished.

c) Engaging in behavior that violates professional boundaries (including, but not limited to, signing wills or other documents not related to client health care).

d) Engaging in sexual conduct with a client or conduct that may reasonably be interpreted by a client as sexual, or behavior that is sexually harassing to a client, including any verbal behavior that is sexually harassing.

e) Demonstrating actual or potential inability to practice with reasonable skill, safety, or judgment by reason of illness, use of alcohol, drugs, chemicals, or any other material or as a result of any mental or physical condition.

f) Misrepresenting educational background, training, credential, or competence.

g) Committing any other act or omission that breaches the music therapist's responsibility to a client according to accepted standards of practice.

h) Practicing, condoning, facilitating, collaborating with, or engaging in discrimination based on age, culture, disability, ethnicity, race, religion, sex, gender, gender identity, sexual orientation, marital status/partnership, language preference, socioeconomic status, or any basis prescribed by law.

i) Revealing facts, data, or information relating to a client, except as allowed under Section 90 of the Act or under the Mental Health and Developmental Disabilities Confidentiality Act or any other federal or State law.

j) Failing to take appropriate steps to protect the privacy of a client and avoid unnecessary disclosures of confidential information. The right to privacy belongs to clients and may be waived. A written waiver shall be signed by the client and the information revealed shall be in accordance with the terms of the waiver.

k) Submission of fraudulent claims for services to any person or entity including, but not limited to, health insurance companies or health service plans or third party payors.

l) Any violation of the Code of Ethics adopted by the American Music Therapy Association, 10125 Colesville Road #136, Silver Springs, Maryland 20901, effective February 1, 2019, with not later amendments or editions, which is hereby incorporated by reference (https://www.musictherapy.org/about/ethics/).

68 Ill. Adm. Code 1316.65 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1316.APPENDIX A Course Descriptions

The following music therapy education course content areas are defined, and subject areas outlined herein. However, this is not an all-inclusive list. Each area identified may be a single course or part of one course or multiple courses.

a) Music Foundations

1. Music theory and history: standard works in the literature; elemental, structural, and stylistic characteristics of music from various periods and cultures; sight-singing melodies of both diatonic and chromatic makeup; taking aural dictation of melodies, rhythms, and chord progressions; transposing simple compositions.

2. Composition and arranging skills: composing songs with simple accompaniment; adapt, arrange, transpose, and simplify music compositions for small vocal and non-symphonic instrumental ensembles.

3. Major performance medium skills: performing appropriate undergraduate repertoire; demonstrating musicianship, technical proficiency, and interpretive understanding on a principal instrument or voice; performing in small and large ensembles.

4. Functional music skills: basic foundation on voice, piano, guitar, and percussion; developing original melodies, simple accompaniments, and short pieces extemporaneously in a variety of moods and styles, vocally and instrumentally; improvisation on pitched and unpitched instruments and vocally in a variety of settings including individual, dyad, small, or large group; care and maintenance of instruments.

5. Conducting skills: conducting basic patterns with technical accuracy; conducting small and large vocal and instrumental ensembles.

6. Movement skills: directing structured and improvisatory movement experiences; moving in a structured and/or improvisatory manner for expressive purposes.

b) Clinical Foundations

1. Therapeutic applications: the potential, limitations, and problems of populations served; the causes, symptoms of, and basic terminology used in medical, mental health, and educational classifications; typical and atypical human systems and development; the primary neurological processes of the brain.

2. Therapeutic principles: the dynamics and processes of a therapist-client relationship; the dynamics and processes of therapy groups; accepted methods of major therapeutic approaches.

3. The therapeutic relationship: the impact of one's own feelings, attitudes, and actions on the client and the therapy process; interpersonal relationships with clients and team members that are appropriate and conducive to therapy; using oneself effectively in the therapist role in both individual and group therapy, e.g., appropriate self-disclosure, authenticity, empathy, etc. toward affecting desire therapeutic outcomes; the dynamics and processes of groups to achieve therapeutic goals; awareness of the influence of race, ethnicity, language, religion, marital status, gender, gender identity or expression, sexual orientation, age ability, socioeconomic status, or political affiliation on the therapeutic process.

c) Music Therapy

1. Foundations and principles: existing music therapy methods, techniques, materials, and equipment with their appropriate applications; principles and methods of music therapy assessment, treatment, evaluation, and termination for the populations served; the psychological aspects of musical behavior and experience including, but not limited to, perception, cognition, affective response, learning, development, preference, and creativity; the psychological aspects of the musical experience including, but not limited to, central nervous system, peripheral nervous system, and psychomotor responses; philosophical, psychological, physiological, and sociological basis of music as therapy; current technologies in music therapy assessment, treatment, evaluation, and termination.

2. Client assessment: effective culturally based methods for assessing the client's strengths, needs, musical preferences, level of musical functioning, and development; the client's responses to assessment; the client's functional and dysfunctional behaviors; the client's therapeutic needs through analysis and interpretation of assessment data; communication of assessment findings and recommendations in written and verbal forms.

3. Treatment planning: selecting or creating music therapy experiences that meet the client's objectives; goals and objectives for individual and group therapy based upon assessment findings; identification of the client's primary treatment needs in music therapy; preliminary estimates of frequency or duration of treatment; selection and adaptation of music, musical instruments, and equipment consistent with the strengths and needs of the client; music therapy strategies for individuals and groups based upon the goals and objectives adopted; creation of a physical environment that is conducive to treatment; planning music therapy sessions; determination of the client's appropriate music therapy group and/or individual placement; coordination of treatment plan with other professionals.

4. Therapy implementation: recognizing, interpreting, and responding appropriately to significant events in music therapy sessions as they occur; providing music therapy experiences that address assessed goals and objectives for populations served; verbal and nonverbal directions and cues necessary for successful client participation; models for communication expectations of behavior to clients; therapeutic verbal skills in music therapy sessions; proving feedback on, reflect, rephrase, and translate the client's communications; assisting the client in communicating more effectively; sequencing and pacing music experiences within a session according to the client's needs and situational factors; conducting or facilitating group and individual music therapy; implementing the music therapy treatment plan; promoting a sense of group cohesiveness and/or a feeling of group membership; developing and maintaining a repertoire of music for age, culture, and stylistic differences; recognition and appropriate response to effects of the client's medications; implementing new technologies as needed to support client progress towards treatment goals and objectives.

5. Therapy evaluation: methods for evaluating and measuring client progress and the effectiveness of therapeutic strategies; realistic time frames for evaluating the effects of therapy; recognition of significant changes and patterns in the client’s response to therapy; recognition and appropriate response to situations in which there are clear and present dangers to the client and/or others; modification of treatment approaches based on the client's response to therapy; reviewing and revising treatment plans as needed.

6. Documentation: documentation that accurately reflects client outcomes and meets the requirements of legal, regulatory, and reimbursement bodies; documentation of clinical data; writing professional reports describing the client throughout all phases of the music therapy process in an accurate, concise, and objective manner; effective oral and written communication with the client and client's team members; documentation of revisions to the treatment plan; data-gathering techniques during all phases of the clinical process including assessment, treatment, evaluation, and termination.

7. Termination/Discharge planning: assessing potential benefits or detriments of termination of music therapy; music therapy termination plan; integration of the music therapy termination plan with plans for the client's discharge from the facility; preparation of the client for approaching termination from music therapy; closure of music therapy services by time of termination or discharge.

8. Professional role and ethics: recognized and accepted music therapy ethics and standards; professional behavior with clients and other professionals; compliance with laws and regulations; confidentiality; music therapy service reimbursement and financing sources; ethical use of technology in any professional capacity.

9. Interprofessional collaboration: professional roles and duties; developing working relationships with other disciplines in client treatment programs; communication to other departments and staff the rationale for music therapy services and the role of the music therapist; the role of music therapy in the client's total treatment program; collaboration with team members in designing and implementing interdisciplinary treatment programs.

10. Supervision and administration: multiple forms of supervision; management and maintenance of music therapy equipment and supplies; routine administrative duties.

11. Research methods: use of professional research literature; purpose and methodology of historical, quantitative, and qualitative research; performing data-based literature searches; integration of the best available research, music therapists' expertise, and the needs, values, and preferences of the individuals served.

Part 1320 Optometric Practice Act of 1987

68 Ill. Adm. Code 1320.20 Approved Programs of Optometry

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) shall, upon the recommendation of the Illinois Optometric Licensing and Disciplinary Board (the Board), approve an optometry program if it meets the following minimum criteria:

1. The educational institution is legally recognized and authorized by the jurisdiction in which it is located to confer the Doctor of Optometry degree.

2. Has a faculty that comprises a sufficient number of full-time instructors to make certain that the educational obligations to the students are fulfilled. The faculty must have demonstrated competence in their area of teaching as evidenced by appropriate degrees from professional colleges or institutions.

3. Has a curriculum of at least the following subject areas:

Basic Science, including Anatomy, Physiology and Biochemistry

Practical Optics

Anatomy and Physiology of the Eye

Pathology of the Eye

Physiological Optics

Theoretical Optometry

Practical Optometry

Clinical Optometry

Theory and Practice of Contact Lens

Fitting

Pharmacology

Diagnosis, treatment and management of ocular disease and recognition of systemic diseases with ocular symptoms

4. Has a course of study of 4 academic years above the undergraduate level.

5. Maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

b) In determining whether a school or college should be approved, the Division shall take into consideration but not be bound by accreditation by the Accreditation Council on Optometric Education (ACOE).

c) Procedures taught in schools and colleges of optometry approved by the Division that are considered for approval in the practice of optometry shall be adopted pursuant to rule or regulation by the Division upon recommendation of the Board. Before adoption of such rules or regulations, the Board shall first evaluate the procedure in accordance with criteria it has previously adopted. Furthermore, the Board shall specify training and demonstration of competency required before an optometrist may perform such procedures. In any event, the Division, upon recommendation of the Board, has determined that surgery, including surgery performed with a laser, is not an optometric procedure.

d) Program Evaluation

1. An applicant from an optometry program that has not been evaluated will be requested by the Division to provide documentation concerning the criteria in this Section.

2. Once the Division has received the documentation or after 6 months have elapsed from the date of application, whichever comes first, the Board will evaluate the program based on all documentation received from the school and any additional information the Division has received which it deems to be reliable.

e) Withdrawal of Approval

1. The Director of the Department of Financial and Professional Regulation-Division of Professional Regulation (Director) may, upon a written recommendation submitted by the Board, withdraw, suspend or place on probation the approval of an optometry program when the quality of the program has been materially affected by any of the following causes:

A) Gross or repeated violations of any provision of the Illinois Optometric Practice Act of 1987 [225 ILCS 80] (the Act);

B) Gross or repeated violations of any of this Part;

C) Fraud or dishonesty in furnishing documentation for evaluation of the optometry program; or

D) Failure to continue to meet the established criteria of an approved optometry program as set forth in this Section.

2. An optometry program whose approval is being reconsidered by the Division shall be given written notice prior to any recommendation by the Board and the officials in charge may either submit written comments or request a hearing before the Board in accordance with 68 Ill. Adm. Code 1110.

History

• Source: Amended at 41 Ill. Reg. 11400, effective September 8, 2017

68 Ill. Adm. Code 1320.30 Application for Licensure

An individual applying for a license to practice optometry shall file an application on forms supplied by the Division. The application shall include:

a) Certification of graduation from a 4-year optometry graduate level program approved by the Division in accordance with Section 1320.20;

b) Certification of passage of the National Board of Examiners in Optometry (NBEO) examinations as set forth in Section 1320.40. The applicant shall have the examination scores submitted to the Division directly from NBEO;

c) Certification from the jurisdiction of original licensure and current licensure, if applicable, stating:

1. The period of time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

2. A description of the licensure examination in that jurisdiction;

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending; and

d) The required fee set forth in Section 1320.400 of this Part.

History

• Source: Amended at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.35 Application for a Limited Residency License (repealed)

History

• Source: Repealed at 41 Ill. Reg. 11400, effective September 8, 2017

68 Ill. Adm. Code 1320.40 Examinations

a) The examination for licensure as an optometrist in Illinois shall be Part I, Part II, including passage of the Treatment and Management of Ocular Disease (TMOD) section after January 1, 1996, and Part III of the examination administered by the National Board of Examiners in Optometry (NBEO).

b) An applicant must direct NBEO to submit evidence of the passage of the entire NBEO examination, by NBEO standards, to the Division.

History

• Source: Amended at 29 Ill. Reg. 20616, effective December 6, 2005

68 Ill. Adm. Code 1320.45 Fees (emergency Expired)

History

• Source: Emergency rule added at 12 Ill. Reg. 1925, effective January 1, 1988, for a maximum of 150 days, emergency expired May 30, 1988

68 Ill. Adm. Code 1320.50 Endorsement

a) An applicant who is licensed under the laws of another jurisdiction shall submit an application to the Division, together with:

1. Certification of Graduation

A) Certification of graduation after January 1, 2008 from an optometry program approved by the Division in accordance with Section 1320.20; or

B) Certification of graduation between January 1, 1994 and December 31, 2007 from an optometry program approved by the Division in accordance with Section 1320.20 and:

i) Evidence that the applicant has practiced optometry for a minimum of 5 years utilizing ocular pharmaceutical agents including oral agents under the laws of another jurisdiction that are deemed by the Board, pursuant to subsection (b), to be substantially equivalent to those of Illinois; or

ii) Evidence of completion of a course or its equivalent as determined by the Board, pursuant to subsection (b), in oral ocular pharmaceutical agents as designated in Section 1320.335(b); or

C) Certification of graduation prior to January 1, 1994 from an optometry program approved by the Division in accordance with Section 1320.20 and:

i) Evidence that the applicant has practiced optometry for a minimum of 10 years utilizing ocular pharmaceutical agents under the laws of another jurisdiction that are deemed by the Board to be substantially equivalent to those of Illinois; or

ii) Evidence of completion of:

• a course or its equivalent as determined by the Board in diagnostic pharmaceutical agents. The course shall be approved by the Division upon the recommendation of the Board and shall include a curriculum of at least 55 hours of lecture in the diagnosis of eye disease, including the use of diagnostic pharmaceutical agents. The course shall be conducted by an approved school of optometry and shall include a comprehensive examination. Documentation of the content of the course shall be provided to the Division by the applicant; and

• satisfactory training in diagnostic and topical ocular pharmaceutical agents and therapeutic clinical procedures, including, but not limited to: a comprehensive course in ocular pharmaceutical agents as determined by the Board, within 3 years prior to application. Applicants will be required to submit documentation of the course to the Division when applying under this subsection (a)(2); or

iii) Evidence of completion of the requirements set forth in subsection (a)(1)(B)(i) or (ii);

2. Certification from the jurisdiction of original licensure and current licensure stating:

A) The period of time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the licensure examination in that jurisdiction;

C) Whether the records of the licensing entity contains any record of disciplinary actions taken or pending against the applicant;

3. Certification of passage of Part I and Part II, including passage of the Treatment and Management of Ocular Disease (TMOD) section of the National Board of Examiners in Optometry (NBEO) examination, by NBEO standards, or an equivalent comprehensive examination administered in another jurisdiction;

4. Certification of passage of Part III of the examination administered by NBEO, by NBEO standards, or an equivalent comprehensive practical examination administered in another jurisdiction; and

5. The required fee as set forth in Section 1320.400.

b) The Division shall examine each endorsement application to determine whether the requirements in the jurisdiction at the date of licensure were substantially equivalent to the requirements then in force in this State. The applicant may be required to submit a copy of the Act and rules in effect at the time of original licensure. If an applicant has taken a licensure examination other than Part I and Part II of the National Board prior to 1970, the examination and results will be required by the Board to determine that substantially equivalent requirements have been met. The Division may, within a reasonable time, either issue a license by endorsement to the applicant or notify the applicant of the reasons for the denial of the application.

c) The Division may, in individual cases, upon recommendation of the Board, in accordance with Section 12 of the Act, waive the comprehensive practical examination for an applicant for endorsement, after full consideration of the applicant's optometric education, training and experience, including, but not limited to, whether the applicant has achieved special honors or awards, has had articles published in professional journals, has participated in writing textbooks relating to optometry, and any other attribute which the Board accepts as evidence that such applicant has outstanding and proven ability in optometry.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.55 Renewals (renumbered)

History

• Source: Section 1320.55 renumbered to Section 1320.420 at 19 Ill. Reg. 17150, effective December 12, 1995

68 Ill. Adm. Code 1320.60 Inactive Status

a) Any licensed optometrist who notifies the Division in writing on forms prescribed by the Division may elect to place his/her license on inactive status and shall be excused from the payment of renewal fees until he/she notifies the Division in writing of the desire to resume active status.

b) Any licensee seeking restoration from inactive status shall do so in accordance with Section 1320.70 of this Part.

c) Any licensed optometrist whose license is on inactive status shall not practice optometry in the State of Illinois.

d) Practicing optometry with a license that has been placed on inactive status shall be considered to be the unlicensed practice of optometry and subject to discipline pursuant to Section 24 of the Act.

History

• Source: Amended at 29 Ill. Reg. 20616, effective December 6, 2005

68 Ill. Adm. Code 1320.70 Restoration

a) A licensee seeking restoration of a license after it has expired or been placed on inactive status for more than 3 years shall submit an application, on forms supplied by the Division, together with:

1. Proof of completion of the continuing education requirements during the 2 years prior to restoration in accordance with Section 1320.80. Acceptable proof of completion shall be in the form of certificates of attendance or certificates of completion provided by sponsors of approved continuing education programs;

2. Either:

A) Evidence of an existing therapeutic pharmaceutical agent certification at the time the license was placed in inactive or expired status; or

B) Proof of completion of the requirements of Section 1320.50(a)(1)(A), (B) or (C); and

3. The proper fees, either:

A) The restoration fees, when restoring an expired license, specified in Section 1320.400(c)(1); or

B) The renewal fees, when restoring an inactive license, specified in Section 1320.400(b)(1).

b) In addition to satisfying the requirements of subsection (a), the licensee shall also submit:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice;

2. An affidavit attesting to military service as provided in Section 16 of the Act. If application is made within 2 years of discharge, and if all other provisions of Section 16 of the Act are satisfied, the applicant will not be required to pay a restoration fee or any lapsed renewal fees;

3. Evidence of other education or experience acceptable to the Division of the licensee's fitness to have the certificate restored. The evidence shall be reviewed on a case by case basis by the Board; or

4. Certification of passage of Part III of the examination administered by NBEO, by NBEO standards. The Board may, in its discretion and in individual cases, make a recommendation to the Director for the waiver of the clinical skills examination or Part III of the examination in accordance with Section 11 of the Act based on quality of education, training and experience including, but not limited to, special honors and awards, articles published in optometry journals, writing or participation in the writing of textbooks in optometry or any other circumstances or attribute which the Board accepts as evidence that such applicant has outstanding and proven ability in optometry.

c) A licensee seeking restoration of a license that has expired or been on inactive status for less than 3 years, or has been placed in non-renewed status for failure to comply with continuing education (CE) requirements shall submit an application on forms provided by the Division, together with:

1. Proof of completion of CE requirements during the 2 years prior to restoration in accordance with Section 1320.80. Acceptable proof of completion shall be in the form of certificates of attendance provided by sponsors of approved continuing education programs;

2. Either:

A) Evidence of an existing therapeutic pharmaceutical agent certification at the time the license was placed in inactive or expired status; or

B) Proof of completion of the requirements of Section 1320.50(a)(1)(A), (B) or (C); and

3. The restoration fees specified in Section 1320.400. For the purpose of restoring from inactive status the Division shall consider that no renewal fees have lapsed during the period of inactive status.

d) Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 12 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the continuing education requirements.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is reasonably questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or there is a need for clarification, the licensee seeking restoration of the license will be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for interviews before the Board when the information available to the Board is insufficient to evaluate the individual's current competency to practice under the Act. Upon the recommendation of the Board, and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.80 Continuing Education

a) Continuing Education (CE) Hour Requirements

1. Every renewal applicant shall complete 30 hours of CE relevant to the practice of optometry required during each pre-renewal period. A pre-renewal period is the 24 months preceding March 31 in the year of the renewal.

2. A CE hour equals 50 minutes. CE credit may be given only in one hour increments.

3. A renewal applicant is not required to comply with full CE requirements for the first renewal following the original issuance of the license.

4. Optometrists licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

5. All renewal applicants must complete state mandated training/continuing education during all renewal cycles.

b) Approved CE

1. All CE hours must be earned by verified attendance at or participation in a program that is offered by an approved CE sponsor who meets the requirements set forth in subsection (c). Beginning April 1, 2024, all continuing education, except for certified courses or transcript quality courses that meet the requirements of 68 Ill. Adm. Code 1320.80(b)(2)(A), may be completed online through live, real-time presentations or by pre-recorded video provided by an approved continuing education sponsor.

2. As part of the 30 hours of required CE, each licensee shall complete during each pre-renewal period at least 12 hours of credit that is certified by an approved optometry college in accordance with Section 1320.20, osteopathic or medical college or university pursuant to the Medical Practice Act of 1987 [225 ILCS 60], or a pharmacy college pursuant to the Pharmacy Practice Act [225 ILCS 85].

A) Each certified course shall include at least 2 hours of actual course presentation and shall include the successful completion of a post-course evaluation of the attendee's understanding of the course material. No additional credit may be given for the required post- course evaluation.

i) The post-course evaluation may be taken on-site immediately following the course presentation. An examination distributed on-site shall not be removed from the site.

ii) The post-course evaluation may be a correspondence evaluation mailed or electronically provided to the attendee and returned to the provider. The sponsor shall not distribute a post-course evaluation at the site.

iii) The post-course evaluation must consist of a minimum of 5 questions per course hour.

iv) At the sponsor's discretion, the attendee may be allowed one retake of a failed post-course evaluation in order to receive credit for certified CE.

B) Licensees who attend a certified education course without completion or passage of a post-course evaluation may apply the actual course hours toward fulfillment of the non-certified CE requirements set forth in subsection (a)(1).

C) Any approved CE sponsor may offer, in conjunction with the above-referenced college or university, a certified course. However, certified CE shall not be provided, sponsored, co-sponsored or in any way supported or financially underwritten by a CE sponsor or others who may receive patient referrals from optometrists licensed under the Act. Approved optometry programs in subsection (b)(2) are not deemed in violation of this Section. Faculty of an adjunct institution to an approved optometry program may present certified CE on the primary campus of the approved optometry program under this exception. Nothing in this Section shall prohibit the listing of courses in a professional journal or newsletter or prevent an approved school, college or university from certifying a course.

D) Transcript quality CE courses shall be deemed equivalent to the certified courses if they meet the requirements set forth in subsection (b)(2)(A).

E) CE sponsors shall state in their course materials the type of post-course evaluation which will be given and whether the applicant will be allowed to retake the evaluation.

F) Certified CE courses shall be courses in which the attendees are in actual attendance in the same room as the presenter. No online, self-instruction or correspondence courses shall be considered certified CE courses.

3. Eighteen hours of CE credit may be earned as follows (not accepted for certified CE):

A) A maximum of 12 hours per pre-renewal period for verified teaching of students at an optometry school approved by the Division. One hour of teaching at an optometry school approved by the Division is equal to one hour of CE.

B) A maximum of 4 hours per pre-renewal period for courses in practice management that includes business management.

C) As part of the continuing education requirements, licensees shall be required to complete mandatory state trainings regarding Sexual Harassment, as set forth in 68 Ill. Adm. Code 1130.400, Implicit Bias Awareness as set forth in 68 Ill. Adm. Code 1130.500, and Alzheimer's disease and other dementias (see 20 ILCS 2105/2105-365). Licensees holding controlled substance licenses must also complete Opioid Education as required by 720 ILCS 570/315.5, the Illinois Controlled Substances Act, prior to being considered eligible for renewal. Additionally, new licensees will have to fulfill the requirements of this subsection even if they are exempt from the full 30 hours of continuing education. This requirement shall become effective for all applicable license renewals on or after January 1, 2023. These courses must be repeated for each subsequent renewal period.

4. CE credit hours used to satisfy the CE requirements of another state may be submitted for approval for fulfillment of the CE requirements of the State of Illinois.

5. Credit shall not be given for courses taken in Illinois from unapproved sponsors.

6. The licensee shall maintain proof of completion of the CE requirements, in the form of CE certificates, for 3 license renewal cycles (6 years) from the end of the licensing period in which the CE course was taken.

c) CE Sponsors and Programs

1. An approved continuing education sponsor is a person, firm, association, corporation, or any other entity that has been approved by the Division pursuant to subsection (c)(2) to coordinate and present continuing education courses and programs.

2. A sponsor shall submit a sponsor application, along with the required fee set forth in Section 1320.400(a)(4), that includes:

A) Certification

i) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in this Section;

ii) That the sponsor will be responsible for verifying attendance at each course or program or session thereof utilizing signature sheets or other means of attendance verification and for providing a certificate of completion as set forth in subsection (b); and

iii) That, upon request by the Division, the sponsor will submit such evidence as is necessary to establish compliance with this Section;

B) A history and the experience of the sponsor as an educational provider;

C) A copy of a sample program with faculty, course materials and syllabi;

D) The name and address of the contact person responsible for all recordkeeping; and

E) A list of all principals of the organization applying for a sponsor license.

3. Each sponsor shall submit by March 31 of each even-numbered year a sponsor application along with the required fee set forth in Section 1320.400(b)(2). With the application, the sponsor shall be required to submit to the Division a list of all courses and programs offered in the pre-renewal period, which includes a description, location, date and time the course was offered.

4. All courses and programs shall:

A) Contribute to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of optometry;

B) Provide experiences that contain scientific integrity, relevant subject matter and course materials; and

C) Be developed and presented by persons with education and/or experience in subject matter of the program.

5. The tuition fees charged for programs conducted by approved sponsors shall be reasonable and directly related to the sponsor's actual expense in conducting the programs.

6. All programs given by approved sponsors shall be open to all licensed optometrists and not be limited to the members of a single organization or group and shall specify the number of CE hours and categories that may be applied toward Illinois CE requirements for licensure renewal.

7. Certificate of Attendance

A) It shall be the responsibility of the sponsor to provide each participant in a program with a certificate of attendance signed by the sponsor. The sponsor's certificate of attendance shall contain:

i) The name, sponsor number and address of the sponsor;

ii) The participant's name and optometry license number;

iii) A detailed statement of the subject matter;

iv) The number of hours actually attended in each topic;

v) The date of the program;

vi) Whether the course qualifies for certified continuing education.

B) A separate certification of passage or failure of the post-course evaluation shall be issued by the approved certifying institution when the course is for certified CE credit.

C) The sponsor shall maintain these records for 3 license renewal cycles (6 years) from the end of the licensing period in which the CE course was presented. These records shall include all test materials utilized for certified courses.

8. The sponsor shall be responsible for assuring verified continued attendance at each program. No renewal applicant shall receive CE credit for time not actually spent attending the program.

9. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board in accordance with 68 Ill. Adm. Code 1110 (Rules of Practice in Administrative Hearings), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until such time as the Division receives reasonably satisfactory assurances of compliance with this Section.

d) CE Earned in Other States

1. A licensee who requests credit toward CE compliance in Illinois for CE hours earned in another jurisdiction shall submit an out-of-state CE approval form along with a $25 processing fee within 90 days prior to or after the course. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

2. If a licensee fails to submit an out-of-state CE approval form within the required 90 days, late approval may be obtained by submitting the application along with the $25 processing fee plus a $50 per hour late fee not to exceed $300. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

3. The Board has determined that the Council on Optometric Practitioner Education (COPE), Transcript-quality (TQ), and Continuing Education with Examination (CEE) approved courses are acceptable for out-of-state CE. If a licensee attends an out-of-state COPE/TQ approved course, the licensee will not be required to submit the out-of-state CE approval form and the $25 processing fee.

4. Online courses are not eligible for out of state CE credit.

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of such compliance for a period of 5 years.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board, at which time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65]. These proceedings may result in fines and/or disciplinary action.

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license under Section 1320.420 who has not fully complied with the CE requirements of Section 1320.180 shall submit to the Division a renewal application, the renewal fee set forth in Section 1320.400(b)(1), a statement setting forth the facts (including time frames) concerning the non-compliance, and a request for waiver of the CE on the basis of the facts. If the Division, upon the written recommendation of the Board, finds from such affidavit or any other evidence submitted, that good cause has been shown for granting a waiver, the Division shall waive enforcement of the requirements for the renewal period for which the applicant has applied.

2. Good cause is defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full time service in the armed forces of the United States of America during a substantial part of such period; or

B) Extreme hardship, which shall be determined on an individual basis by the Board and shall be limited to documentation of:

i) An incapacitating illness documented by a currently licensed physician;

ii) A physical inability to travel to the sites of approved programs; or

iii) Any other similar extenuating circumstances.

3. If an interview with the Board is requested at the time the request for the waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

4. Any renewal applicant who submits a request for waiver pursuant to subsection (f)(1) shall be deemed to be in good standing until the Division's final decision on the application has been made.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.90 Minimum Eye Examination

In the absence of good clinical reasons to the contrary as documented in the record, the following minimum examination shall be performed and findings recorded by an optometrist, and he/she shall keep a record for a period of 6 years:

a) Complete case history, including medical conditions.

b) Visual acuity.

1. Monocular.

2. Aided or unaided.

c) External examination, including pupil reactivity.

d) Internal examination (ophthalmoscopic examination) with dilation if indicated.

e) Retinoscopy or equivalent.

f) Subjective refraction to best visual acuity at distance and near.

g) Measurement of binocularity and ocular motility.

h) Color vision screening.

i) Tonometry.

History

• Source: Amended at 36 Ill. Reg. 10006, effective June 29, 2012

68 Ill. Adm. Code 1320.95 Minimum Equipment List

a) Each office in which the practice of optometry is conducted shall contain, in good working condition, the following minimum equipment:

1. Ophthalmoscope − Direct and Indirect

2. Retinoscope or its equivalent

3. Tonometer

4. Automated Threshold Visual Field Testing Device

5. Color Vision Testing Device

6. Keratometer or its equivalent

7. Biomicroscope

8. Lenses for subjective testing

9. Blood Pressure Measuring Device

b) An Automated Threshold Visual Field Testing Device, as specified in subsection (a)(4), is not required at an ancillary location where all prospective patients are unable to perform this test and this circumstance is reported in the application for an ancillary registration.

History

• Source: Amended at 36 Ill. Reg. 10006, effective June 29, 2012

68 Ill. Adm. Code 1320.100 Practice of Optometry

a) The practice of optometry, as defined in Section 3 of the Act, shall include, but not be limited to, the following functions:

1. Prescribing and fitting of any ophthalmic lenses including contact lenses.

2. Retinoscopy.

3. Tonometry.

4. Keratometry.

5. Subjective lens testing.

6. Phoria testing.

7. Biomicroscopy.

8. Ophthalmoscopy.

9. Electronic or computerized examination techniques that utilize devices that perform any of the above functions.

10. Visual screening.

11. Diagnosis and treatment of any ocular abnormality, disease or visual or muscular anomaly of the human eye or visual system.

b) Visual Screening

1. Nothing in this Section shall prohibit visual screening conducted without a fee other than a voluntary donation by a charitable organization or governmental agency, acting in the public welfare under the supervision of a committee composed of persons licensed by the State to practice optometry or medicine in all of its branches.

2. Visual screening is defined as a limited series of ocular observations, measurements or tests provided without a fee to determine if a complete eye examination, as described in Section 1320.90, by a licensed optometrist or a physician licensed to practice medicine in all of its branches, is recommended.

3. When a visual screening is performed, the recipient of the screening shall be clearly informed in writing and shall receive a copy of the following:

A) Results and limitations of the screening;

B) That the screening is not representative of or a substitute for an eye exam;

C) That the screening will not result in a prescription for visual correction;

D) That visual screening referral criteria for a complete eye examination must meet accepted optometric professional standards criteria; and

E) The name and address of the charitable organization sponsoring the screening and the chairperson of the supervisory committee.

4. A copy of the screening results shall be maintained for 6 years by the chairperson of the supervisory committee or the optometrist performing the screening.

5. Visual screening includes ocular disease specific screenings that may be conducted for charitable purposes in accordance with this Section.

c) No ophthalmic lenses, prisms, or contact lenses may be sold or delivered to an individual without a prescription signed by a licensed optometrist or a physician licensed to practice medicine in all of its branches.

d) The following acts shall not be performed by an individual not licensed in this State as an optometrist or to practice medicine in all of its branches except while acting under the direct supervision of a person so licensed:

1. Conducting or performing examinations of the human eye or its appendages employing either objective or subjective means, or both for the purpose of adapting lenses to the eyes of any person;

2. Using instruments or appliances of any type to determine the curvatures of the eye or of the cornea of any person for the purpose of ordering or supplying contact lenses for the person;

3. Determining, selecting or specifying the lens characteristics or the lens curvatures of contact lenses to be supplied to any person;

4. Converting, altering, or varying in any manner a prescription for contact lenses prepared by an optometrist or a person licensed to practice medicine in all its branches in this State;

5. Converting, altering, or varying in any manner a prescription for spectacles prepared by an optometrist or a person licensed to practice medicine in all of its branches in this State, including converting a spectacle prescription into a prescription for contact lenses;

6. Inserting, removing, adjusting or adapting contact lenses for the purpose of selecting, specifying or furnishing contact lenses for use by any person;

7. Conducting or performing any examination of the human eye or its appendages employing either objective or subjective means or both for the purpose of determining the effects that may have resulted from wearing contact lenses by any person;

8. When a person has been provided with contact lenses pursuant to a prescription by an optometrist or a person licensed to practice medicine in all of its branches in this State, adjusting, adapting or changing the lens characteristics or the lens curvatures of the contact lens in any manner whatsoever;

9. Advertising, representing or informing the general public by any means, including, but not limited to, display advertising in newspapers and telephone directories within the State of Illinois, that the individual will fit or adapt contact lenses for the use of any person.

e) Direct supervision of any person assisting an optometrist means:

1. The optometrist personally performs those procedures requiring professional judgment. Professional judgment requires that the optometrist shall perform those procedures for the diagnosis and treatment of anomalies of the eye, adnexa, and the visual system, including for example, but not limited to, biomicroscopy, ophthalmoscopy, all therapeutic procedures and the prescribing of any ophthalmic lenses, including contact lenses.

2. The optometrist shall specify all procedures to be performed by the assistant.

3. The optometrist is present in the facility while the assistant performs the procedure (does not mean that the optometrist must be present with the patient while the specified procedures are being performed).

4. The optometrist approves the results of the procedures performed by the assistant before dismissal of the patient.

f) Requirements for the minimum eye exam as outlined in Section 1320.90 are still applicable and are not changed or altered by the provisions of this Section.

g) When the practice of optometry is conducted at a mobile or non-permanent location, the following shall apply:

1. Notice shall be given to the Division of the locations of the mobile examinations and the times they will be given. Notices shall be postmarked no later than 15 days prior to the examination.

2. Notice shall be given to the Division and the patient of the location where examination records are to be maintained in accordance with Section 1320.90 and the name and address of the individual or office where the patient can access and obtain copies of his or her records.

3. Notice shall be given to the Division and the patient of the name and address of the examining optometrists and the location where follow-up services will be provided. A protocol shall be established for each mobile location to provide for the follow-up and referral of the patient to appropriate permanent optometric or healthcare locations when needed.

4. If the patient is a minor child, parental approval shall be obtained prior to any examination and the case history as required by Section 1320.90 shall be obtained from the parent or guardian.

5. All equipment required by Section 1320.95 shall be present, operable and available for use.

6. All ancillary registrations (see Section 1320.411) shall be displayed in plain view of the patient. An optometrist shall obtain an ancillary registration prior to providing services at the mobile location.

7. Vision screenings conducted in conjunction with a mobile location shall be done in accordance with subsection (b).

8. Mobile locations must meet all other requirements of the Act and this Part and any other State or federal requirements.

9. Mobile locations do not include homes, hospitals or institutions at which a licensee is entitled to practice under Section 1320.411(d) or Section 7 of the Act.

History

• Source: Amended at 41 Ill. Reg. 11400, effective September 8, 2017

68 Ill. Adm. Code 1320.105 Recordkeeping

Every licensed optometrist shall keep a record of examinations made and prescriptions issued, which record shall include the names of persons examined and for whom prescriptions were prepared, and that shall be signed by the licensed optometrist and retained by him or her in the office in which the professional service was rendered. [225 ILCS 80/6]

a) Ownership of Records

1. Independent Optometric Practice

A licensed optometrist shall maintain full and independent responsibility and control over all records, including any prescriptions, relating to the patients. All such records shall remain confidential, except as otherwise provided by law, and shall be maintained by the licensed optometrist in compliance with this Section, Section 6 of the Act, HIPAA and Section 1320.90. For purposes of this subsection (a)(1), "maintain full and independent responsibility and control" means that the records shall be maintained by the licensed optometrist and that the optometrist shall not share, delegate or relinquish either possession of the records, including any prescriptions, or his or her responsibility or control over those records with or to any entity that is not itself licensed by the Division unless the entity is a "covered entity" under HIPAA. The optometrist may transfer custody of his or her records including prescriptions to a covered entity under HIPAA so long as the covered entity has designated an Illinois licensed optometrist or ophthalmologist as the custodian of the records. In this case, the optometrist shall receive copies of any records of his or her patients upon request as needed for continued patient care. The original records shall be available to the optometrist for compliance with statutory and regulatory requirements or for use in other legal proceedings. In no case may records remain in the custody of a non-licensed individual. A custodian named under this Section shall be reported to the Department and shall be responsible for compliance with all laws regarding the maintenance of records.

2. Optometric Practice of an Employee of a Non-Medical Entity Not Licensed by the Division or the Department of Public Health

A) A licensed optometrist shall maintain responsibility and control over all records, including any prescriptions, relating to the patients examined while they are employed. All such patient records shall remain confidential, except as otherwise provided by law, and shall be kept under the supervision of the licensed optometrist in compliance with this Section, Section 6 of the Act, HIPAA and Section 1320.90. However, a person, firm or corporation who is a covered entity under HIPAA may maintain patient records under the supervision of the optometrists employed by the covered entity pursuant to Section 8 of the Act.

B) If the optometrist leaves the employ of the non-medical entity, the patient records, including any prescriptions, shall remain with the employer on the condition that an Illinois licensed optometrist or ophthalmologist is named by the employer as the custodian for the purpose of keeping the records in compliance with HIPAA and the Act. All such records shall maintain patient confidentiality pursuant to HIPAA. The previously employed optometrist shall receive copies of any records of his or her patients upon request as needed for continued patient care. The original records shall be available to the optometrist for compliance with statutory and regulatory requirements or for use in other legal proceedings. In no case may records remain in the custody of a non-licensed individual. A custodian named under this Section shall be reported to the Department and shall be responsible for compliance with all laws regarding the maintenance of records.

3. Optometrists Employed by Other Division Licensees

Patient records, including any prescriptions, are the property and responsibility of the examining optometrist, except when the examining optometrist is employed by an optometrist or ophthalmologist. In this circumstance, the patient records are the property and responsibility of the optometrist or ophthalmologist who employs the optometrist, or remain the property and responsibility of the examining optometrist if agreed to by both parties under contract or other written agreement. In all circumstances, records must be available to the original optometrist for continued patient care and for compliance with statutory and regulatory recordkeeping requirements.

4. Multidiscipline Group Practice

The records including prescriptions relating to the patients of a multidisciplinary group of licensed optometry care professionals, or relating to the patients of a partnership or professional association, may be maintained by the group practice, partnership or professional association on behalf of all licensed optometrists employed by the group practice, partnership or professional association. The optometrist may transfer ownership of his or her records, including any prescriptions, to another licensed optometrist or group of optometrists provided that the records are available to the original optometrist for continued patient care and for compliance with statutory and regulatory recordkeeping requirements.

5. Hospital, Clinic or Nursing Home Facility Practice

If an optometrist examines or writes a prescription for a patient in a hospital, clinic or nursing home, he or she may elect to utilize the recordkeeping system of the facility, if he or she determines that the system is accurate and secure and the records are available to the optometrist for compliance with statutory and regulatory recordkeeping requirements.

b) Transfer of Ownership of Records

Upon the sale of a practice or the disability or death of an optometrist, the records must be transferred to a licensed optometrist or ophthalmologist or a health care facility licensed by the Department of Public Health for compliance with this Section, Section 6 of the Act, HIPAA and Section 1320.90. Patients are to be informed of the location of their records unless they are to be maintained at their original location. Copies of records must be made available, within 10 days after the death of an optometrist, to patients upon their request. Another optometrist or ophthalmologist may use these records to meet the patient's needs until their next regularly scheduled eye exam. Failure to provide records under this Section by a non-licensed individual shall be considered to be a violation under Section 4.5 of the Act and may result in fines or civil penalties provided for in the Act.

c) Necessity for Having Contract Provisions that Preserve the Optometrist's Statutory Recordkeeping Requirement

No agreement, lease or other contract entered into, renewed or extended between an optometrist and any entity that itself is not licensed by the Division as an optometrist or ophthalmologist or by the Department of Public Health as a health care facility shall contain any provision that:

1. Impedes an optometrist's ability to gain access to his or her professional office or patient records, including any prescriptions, provided any such agreement, lease or other contract shall contain a provision that establishes reasonable protocol for the optometrist to gain access to the premises during non-business hours for medical emergencies; or

2. Limits, inhibits or prevents an optometrist's ability to communicate with his or her patients at any time.

d) Record Retention

1. All patient records including prescriptions shall be maintained by the examining optometrist at the location of the examination or shall be available at that location for inspection upon reasonable request if stored in a secure off-site location for 6 years pursuant to Section 1320.90. Records may be maintained on paper or in electronic format, as follows:

A) If records are maintained electronically, an optometrist shall keep either a duplicate hard-copy record or a back-up unalterable electronic record off-site. If a record request is made, and the off-site location is out-of-state, the optometrist is required to obtain the records in order to comply with the request. Electronic records must be keyed to record the time and date of any patient record transactions or alterations.

B) Any patient record that is created or maintained in an electronic format must have the capability of printing a paper record.

2. Failure to keep patient records for the statutory minimum of 6 years shall constitute "dishonorable or unprofessional conduct" as that phrase is used in Section 24 of the Act, and any such action may subject the licensee to disciplinary action by the Division.

3. Records of patients examined in nursing homes and other residential care facilities shall be maintained, in accordance with this Section, at both the facility and the licensed location of the optometrist responsible for the record.

e) Patient Record Requests, Charges and Fees

A copy of patient records shall be provided, upon written request of the patient or any person, entity or organization presenting a valid authorization for release of records signed by that patient or the patient's legally authorized representative and payment of appropriate fees, to the person examined or his or her designee, in compliance with federal law.

f) Other Authorized Record Requests

Releasing records under a lawful subpoena in a criminal or civil proceeding, or pursuant to a subpoena issued by the Division or the Illinois Optometric Licensing and Disciplinary Board, is permissible in accordance with federal law. Document production compliance under a lawful subpoena is mandated by law. If the records sought are maintained at a location other than the optometrist's office where the subpoena was served, the optometrist is responsible for obtaining and producing the records to comply with the subpoena.

History

• Source: Amended at 41 Ill. Reg. 11400, effective September 8, 2017

68 Ill. Adm. Code 1320.110 Advertising

a) The name of the licensed optometrist shall be conspicuously displayed at the entrance of each office or store where eyecare and eyewear services are offered. In an establishment where other services or goods are offered in addition to eyecare and eyewear, the name of the optometrist shall be conspicuously displayed at the entrance of the eyecare and eyewear section.

b) All advertising of optometric services, including, but not limited to, the advertising of optometric examinations in connection with the advertising of optical goods, shall contain the statement that all optometric services are performed by a licensed optometrist.

c) Only licensed optometrists are permitted to advertise or imply that they are authorized to measure the power of vision.

d) Only licensed optometrists are permitted to advertise or imply the provision of diagnosis and treatment of eye disease or emergency ocular services.

e) Nothing in this Section shall prohibit any person licensed in this State under any other Act from advertising services for which he/she is licensed to provide.

History

• Source: Amended at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.120 Granting Variances (renumbered)

History

• Source: Section 1320.120 renumbered to Section 1320.430 at 19 Ill. Reg. 17150, effective December 12, 1995

68 Ill. Adm. Code 1320.200 Standards (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.210 Application for Diagnostic Certification (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.220 Approved Diagnostic Topical Ocular Pharmacological Training (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.230 Approved Diagnostic Topical Ocular Pharmaceutical Agents Pursuant to Section 15.1 of the Act (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.240 Restoration of Diagnostic Certification (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.250 Endorsement of Diagnostic Certification (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.260 Renewal of Certification (repealed)

History

• Source: Repealed at 19 Ill. Reg. 17150, effective December 12, 1995

68 Ill. Adm. Code 1320.270 Display of Certification (repealed)

History

• Source: Repealed at 19 Ill. Reg. 17150, effective December 12, 1995

68 Ill. Adm. Code 1320.300 Definitions and Standards

a) Emergency care involves an acute condition that in the judgment of the optometrist may be life or sight threatening, requires the optometrist to initiate non-surgical emergency procedures and may require patient referral and consultation with another appropriate health care professional.

b) Any optometrist shall be authorized to obtain diagnostic and therapeutic ocular pharmaceutical agents and to utilize and to prescribe such drugs in the regular course of practicing optometry. The prescribing of the drugs shall be the personal act of the optometrist and may not be delegated to any other person. The use of such drugs may only be delegated to another person under the direct supervision of the optometrist. A signed written prescription for legend drugs must be presented to the patient, if applicable, and the optometrist shall be required to keep a copy of all prescriptions written.

c) An optometrist's license may be revoked, suspended or placed on probation and fines levied by the Division upon recommendation of the Board based upon any of the following causes:

1. The use of any diagnostic or therapeutic ocular pharmaceutical agent that is not approved for use;

2. The misuse of any diagnostic or therapeutic ocular pharmaceutical agent or procedure where the optometrist knew or should have known that such use was improper or contraindicated;

3. Failure to take reasonable steps to ensure or arrange for follow-up care or for referral of a patient to an appropriate health care professional after providing ophthalmic emergency care;

4. Failure to take reasonable steps to ensure or arrange for the care or referral of a patient when the optometrist is not available;

5. Any other violations of the Act or this Part.

d) In determining what constitutes grave or repeated misuse of any ocular pharmaceutical agent, the Board shall consider the following standards as they relate to the person who is the subject of the proposed disciplinary action. The standards shall include but not be limited to:

1. A consideration of whether the act or acts of the person are of a glaringly obvious nature or are repetitiously committed and resulted in a breach of standards of practice.

2. A consideration that said act or acts committed constituted a breach of standards of practice to possess and apply knowledge, skill and care in using approved diagnostic or therapeutic ocular pharmaceutical agents for the purpose of aiding in the diagnosis and treatment of abnormal conditions that are ordinarily used by an optometrist.

3. A consideration that a mere mistake that is not indicative of a lack of knowledge, skill and care does not constitute misuse. Nor is a bad or unexpected result evidence of misuse unless such a result would not ordinarily occur in the absence of misuse.

4. A consideration that, in determining the applicable standard of use, the Board shall consider the opinion and the testimony of experts.

History

• Source: Amended at 32 Ill. Reg. 3243, effective February 21, 2008

68 Ill. Adm. Code 1320.310 Application for Therapeutic Certification (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.315 Controlled Substance License Requirement

Licensed optometrists, in order to prescribe controlled substance oral analgesic therapeutic ocular pharmaceutical agents as set forth in Section 1320.330(a)(7), shall apply for a controlled substance license pursuant to 77 Ill. Adm. Code 3100. The licensee is limited to prescribing Schedule III, IV and V agents in a quantity sufficient to provide treatment for up to 30 days and in accordance with the Illinois Controlled Substances Act [720 ILCS 570]. No prescriptions for a Schedule II controlled substance are permitted, with the exception of Dihydrocodeinone (Hydrocodone) with one or more active, non-narcotic ingredients only in a quantity sufficient to provide treatment for up to 72 hours.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.320 Approved Therapeutic Ocular Training (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.330 Approved Therapeutic Ocular Pharmaceutical Agents Pursuant to Section 15.1 of the Act

a) The following categories of therapeutic ocular pharmaceutical agents are approved for use by licensed optometrists:

1. Anti-Infective Agents

2. Anti-Allergy Agents

3. Anti-Glaucoma Agents (except oral carbonic anhydrase inhibitors, which may be prescribed only in a quantity sufficient to provide treatment for up to 72 hours)

4. Anti-Inflammatory Agents. Oral steroids may be prescribed only in a quantity to provide treatment for up to 7 days.

5. Topical Anesthetic Agents

6. Over the Counter Agents

7. Analgesic Agents

8. Mydriatic Reversing Agents

9. Anti-Dry Eye Agents

10. Agents for the treatment of hypotrichosis

11. Topical ophthalmic treatment for acquired blepharoptosis

b) Licensed optometrists shall be permitted to use topical anesthetics, mydriatics, cycloplegics and miotics.

c) Oral pharmaceutical agents may be prescribed for a child under 5 years of age only in consultation with a physician licensed to practice medicine in all its branches.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.335 Oral Pharmaceutical Agents

a) Any optometrist licensed before January 1, 2008, prior to utilizing or prescribing any oral pharmaceutical agents permitted under the Act (except non-narcotic oral analgesic and over the counter agents), shall successfully complete a course of study and testing as designated in Section 1320.335(b). Graduates from an approved program of optometry subsequent to January 1, 2008 shall not be required to complete the course and may utilize and prescribe all oral pharmaceutical agents permitted by the Act.

b) An approved course of study in oral pharmaceutical agents shall be approved by the Board and shall meet the following requirements:

1. The program has a faculty that comprises a sufficient number of instructors to make certain that the educational obligations to the students are fulfilled. The faculty must have demonstrated competence in their area of teaching as evidenced by appropriate degrees from accredited colleges or institutions and clinical and teaching experience.

2. The program has a curriculum that contains updates in at least the following areas:

A) Patient medical history/drug history.

B) General pharmacokinetics or oral administration.

C) Concerns in special populations.

D) Treatment of ocular disease with oral pharmaceutical agents, including contraindications, drug interactions, systemic toxicities and ocular effects for the following:

i) Oral anti-infective agents

• Oral anti-bacterial

• Oral anti-fungals

• Oral anti-virals

ii) Oral anti-glaucoma agents

• CAIs

• Osmotic agents

iii) Oral anti-allergy agents

• Antihistamines

• Mast-cell degranulation inhibitors

• Decongestant combinations

iv) Oral anti-inflammatory agents

• Steroids

• NSAIDS

v) Oral analgesics

• NSAIDS

• Opiates

E) Clinical case studies, including the use of controlled substances, treatment options, patient management and referral in the following areas:

i) Infectious ocular disease

• Bacterial

• Viral

• Fungal

ii) Glaucoma

iii) Allergic eye disease

iv) Inflammatory ocular disease

v) Management of ocular pain

vi) Treatment of drug induced emergencies

F) Jurisprudence

Illinois Optometric Practice Act Rules – pharmaceutical agents

i) Requirements

ii) Restrictions

3. The program includes a minimum of 12 instructional hours with an examination designed to test the student's knowledge and ability to apply the program's subject matter.

A) The examination shall be administered and proctored by a licensed CE sponsor. All examinations must be developed and approved by a program of optometry approved under Section 1320.20.

B) Verification of student identification shall be required.

C) The content of all examinations shall be made available to the Division for review upon request.

4. In addition to all other requirements, the program must meet the requirements of Section 1320.80 (Continuing Education). 12 hours of continuing education credit will be granted for successful completion of the course and test in the renewal period in which the lecture portion of the course was completed.

5. Requests for course approval must be submitted to the Division no later than 90 days prior to the beginning of the course. Sponsors shall provide course documentation and any other documentation required by the Board.

c) Failure to successfully complete an approved educational course in oral pharmaceutical agents prior to March 31, 2010 shall result in the licensee being placed in non-renewed status until such a course is successfully completed. A licensee in non-renewed status may not practice optometry within the State of Illinois.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.340 Restoration of Therapeutic Certification (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.350 Endorsement of Therapeutic Certification (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4339, effective March 5, 2007

68 Ill. Adm. Code 1320.400 Fees

a) Application Fees

1. The fee for application for an original license as an optometrist is $500.

2. Applicants for any examination shall be required to pay, either to the Division or its designated testing service, a fee covering the cost of determining the applicant's eligibility and providing the examination.

3. The fee for application for licensure of a person licensed as an optometrist in another jurisdiction is $500.

4. The fee for a sponsor of continuing education is $500.

b) Renewal Fees

1. The fee for renewal of an optometrist license is $200 per year.

2. The fee for renewal as a sponsor of continuing education is $250 per year.

c) General Fees

1. The fee for restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees. For the purposes of restoring from inactive status, the Division shall consider that no renewal fees have lapsed during the period of inactive status.

2. The fee for issuance of a duplicate license or for the issuance of a replacement license for a license that has been lost or destroyed is $20.

3. The fee for the issuance of a license with a change of name or address other than during the renewal period is $20.

4. The fee for the certification of a license for any purpose is $20.

5. The fee for a wall certificate showing licensure is the actual cost of producing the license.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

68 Ill. Adm. Code 1320.410 Ancillary Licenses (repealed)

History

• Source: Repealed at 36 Ill. Reg. 10006, effective June 29, 2012

68 Ill. Adm. Code 1320.411 Ancillary Registrations

a) Ancillary registrations, as used in this Part, shall mean registration of a practice location, pursuant to Section 7 of the Act, by a licensed optometrist who is engaged in the practice of optometry at more than one address.

b) An ancillary registration shall be submitted by the licensee on forms provided by the Division for each location in which a licensee practices optometry prior to practicing optometry at that location. The form shall include the address of the branch office location being reported.

c) An optometrist shall submit an ancillary registration for each additional location where he or she practices optometry and shall display a copy of his or her optometry license in a conspicuous place in each office.

d) Each licensee shall maintain a copy of his or her ancillary registration in the office registered and, upon request, shall exhibit this registration and a copy of his or her optometry license to any representative of the Division.

e) Registration of a location other than where a licensee actually practices optometry shall be considered a violation of the Act.

f) An ancillary registration expires with the expiration of the primary optometry license and a new application for ancillary registration must be submitted to the Division for all locations requiring an ancillary registration.

History

• Source: Added at 36 Ill. Reg. 10006, effective June 29, 2012

68 Ill. Adm. Code 1320.420 Renewals

a) Every license issued under the Act shall expire on March 31 of each even-numbered year. The holder of a license may renew that license during the 60 days preceding the expiration date of the license by paying the required fee andcompleting the CE requirements set forth in Section 1320.80.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew the license in a timely manner.

c) Practicing after a license has expired shall be considered the unlicensed practice of optometry and subject to discipline pursuant to Section 24 of the Act.

History

• Source: Amended at 41 Ill. Reg. 11400, effective September 8, 2017

68 Ill. Adm. Code 1320.430 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated or waiver of the provision is not prohibited by statute;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 6008, effective April 5, 2024

Part 1325 Orthotics, Prosthetics and Pedorthics Practice Act

68 Ill. Adm. Code 1325.5 Definitions

"Act" means the Orthotics, Prosthetics and Pedorthics Practice Act [225 ILCS 84].

"Board" means the Board of Orthotics, Prosthetics, and Pedorthics.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Orthotist" means a person who measures, designs, fabricates, fits, or services orthoses and assists in the formulation of the order of orthoses as ordered by a licensed physician for the support or correction of disabilities caused by neuro-musculoskeletal diseases, injuries, or deformities.

"Pedorthist" means a person who measures, designs, fabricates, fits or services pedorthic devices and assists in the formulation of the order of pedorthic devices as ordered by a licensed physician or licensed podiatrist for the support or correction of disabilities caused by neuro-musculoskeletal diseases, injuries, or deformities.

"Prosthetist" means a person who measures, designs, fabricates, fits, or services prostheses and assists in the formulation of the order of prostheses as ordered by a licensed physician for the replacement of external parts of the human body lost due to amputation or congenital deformities or absences.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.10 Examination

a) Orthotics. The examination for licensure as an orthotist shall be the orthotics certification examination of the American Board for Certification in Orthotics, Prosthetics & Pedorthics, Inc. (ABC).

b) Prosthetics. The examination for licensure as a prosthetist shall be the prosthetics certification examination of the American Board for Certification in Orthotics, Prosthetics & Pedorthics, Inc.

c) Pedorthics. The examination for licensure as a pedorthist shall be the American Board for Certification in Orthotics, Prosthetics & Pedorthics, Inc.

d) Candidates shall make application for the examination, and pay the examination fee, directly to the designated testing service.

e) Unsuccessful candidates may retake the examination as many times as they wish. Retake application shall be made to the designated testing service.

f) Application to the designated testing service for purposes of taking the examination shall not constitute application to the Division.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.15 Application for Licensure as an Orthotist

a) Any person seeking licensure as an orthotist shall file an application with the Division on forms provided by the Division. The application shall include the following:

1. Either:

A) Proof of a baccalaureate degree in an orthotics and prosthetics program approved by the Commission on Accreditation of Allied Health Education Programs (CAAHEP) or its predecessor or successor agency; or

B) Proof of a baccalaureate degree from a regionally accredited school, college or university and a certificate from a CAAHEP accredited orthotics program;

2. Proof of a clinical residency as set forth in Section 1325.30;

3. Verification of successful completion of the orthotics examination set forth in Section 1325.10 received directly from the designated testing service; and

4. The required fee specified in Section 1325.50.

b) An individual who meets the requirements of the Act and this Part and obtains a license in Illinois is considered to have met the internationally accepted standards of orthotics and prosthetics as set forth by the International Society for Prosthetics and Orthotics.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.20 Application for Licensure as a Prosthetist

a) Any person seeking licensure as a prosthetist shall file an application with the Division on forms provided by the Division. The application shall include the following:

1. Either:

A) Proof of a baccalaureate degree in an orthotic and prosthetic program approved by the Commission on Accreditation of Allied Health Education Programs (CAAHEP) or its predecessor or successor agency; or

B) Proof of a baccalaureate degree from a regionally accredited school, college or university and a certificate from a CAAHEP accredited prosthetic program;

2. Proof of a clinical residency as set forth in Section 1325.30;

3. Verification of successful completion of the prosthetics examination set forth in Section 1325.10 received directly from the designated testing service; and

4. The required fee specified in Section 1325.50.

b) An individual who meets the requirements of the Act and this Part and obtains a license in Illinois is considered to have met the internationally accepted standards of orthotics and prosthetics as set forth by the International Society for Prosthetics and Orthotics.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.25 Application for Licensure as a Pedorthist

a) Any person seeking licensure as a pedorthist shall file an application with the Division on forms provided by the Division. The application shall include the following:

1. Proof of graduation from high school or its equivalent;

2. Proof of formal pedorthic education from a program recognized by the Division for certification in Pedorthics pursuant to Section 10 of the Act;

3. Proof of completion of a qualified work experience set forth in Section 1325.35;

4. Verification of successful completion of the pedorthic examination set forth in Section 1325.10 received directly from the designated testing service; and

5. The required fee specified in Section 1345.50.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.30 Clinical Residency in Orthotics and Prosthetics

a) Applicants must complete a clinical residency of at least 1900 hours in the area for which the license is being sought (either orthotics or prosthetics). The residency shall meet the following criteria:

1. The clinical experience shall be under the direct supervision of a licensed orthotist or prosthetist or an ABC certified orthotist, prosthetist or prosthetist/orthotist and shall be in a facility that has received accreditation for an Orthotic and/or Prosthetic Residency Program from the National Commission on Orthotic and Prosthetic Education (NCOPE), or its successor.

2. A maximum of 45 hours worked in any seven-day period may be applied toward meeting the 1900 hour requirement. The 1900 hours may be accumulated over a period not to exceed 24 months. The 1900 hour period must have been obtained within 10 years prior to the date of the application.

3. Experience shall be obtained subsequent to education. Experience should be at all levels of orthotic and/or prosthetic care.

b) Applicants who submit evidence of completion of a 1900 hour residency that is approved by the National Commission on Orthotic and Prosthetic Education (NCOPE) or Commission for Accreditation of Allied Health Education Programs (CAAHEP) meet the requirements set forth in this Section.

c) Applicants who submit evidence of completion of an 18 month dual orthotic and prosthetic residency that is approved by the National Commission on Orthotic and Prosthetic Education (NCOPE) or the Commission for Accrediation of Allied Health Education Programs (CAAHEP) meet the requirements set forth in this Section. An applicant who has completed an approved 18 month dual orthotics and prosthetic residency may apply for and receive a license in orthotics and a license in prosthetics without additional clinical training.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.35 Qualified Work Experience in Pedorthics

a) Applicants must complete a qualified work experience of at least 1000 hours in pedorthics. This is a hands on internship program designed to promote the applicant's ability to provide quality patient care by enhancing his/her performance level of basic pedorthic tasks. The applicant shall meet the following critera:

1. The clinical experience shall be under the direct supervision of a licensed pedorthist or a licensed orthotist or a person certified as a Certified Pedorthist (C.Ped) or Certified Orthotist (CO) whose practice is located outside of the State. The clinical experience shall be in an accredited facility pursuant to Section 10 of the Act.

2. A maximum of 45 hours worked in any 7 day period may be applied toward meeting the 1000 hour requirement. The 1000 hours may be accumulated over a period not to exceed 24 months. The 1000 hour period must have been obtained within 5 years prior to the date of the application.

3. Experience shall be obtained subsequent to education. Experience shall be at all levels of pedorthic care.

b) Applicants who submit evidence of completion of a qualified work experience that is approved by the American Board for Certification of Orthotics, Prosthetics & Pedorthics, Inc., meet the requirements set forth in this Section so long as the experience is completed under the supervision of an individual who is licensed as a pedorthist under the Act, is certified by ABC, or is otherwise approved by the Board.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.40 Supervision

a) Non-licensed caregivers (assistants, technicians, residents, or students) may provide orthotic, prosthetic, or pedorthic services only under the supervision of a licensee under the Act. All services must be performed pursuant to the supervisor's order, control, oversight, guidance and full professional responsibility. The following sets forth four levels of supervision and identifies the supervisory relationship between the licensed orthotist, prosthetist, or pedorthist and other non-licensed orthotic, prosthetic, or pedorthic caregivers.

1. Independent – The licensed caregiver is qualified to provide independent, unsupervised, direct patient care as well as confer or consult with colleagues, physicians or other allied health professionals in providing patient care within the scope of practice.

2. Indirect Supervision – The non-licensed caregiver is qualified to provide patient care independent of a licensee; however, the licensed supervisor must review and countersign all entries in the patient's clinical record within 15 working days following the delivery of care. The supervisor must be physically available for consultation within 60 minutes during the delivery of care.

3. Close Supervision – The non-licensed caregiver is qualified to provide patient care independent of the designated clinical supervisor (licensed orthotist, prosthetist, or pedorthist); however, the supervisor must personally review the assessment and care rendered. The supervisor must be physically present in the facility and available for consultation throughout the delivery of care. The supervisor is responsible for countersigning all entries in the patient's clinical record.

4. Direct Supervision – The non-licensed caregiver is not qualified to provide patient care independent of the designated clinical supervisor (licensed orthotist, prosthetist, or pedorthist) and is only qualified to provide care under supervision. The supervisor must review the results of care rendered by the supervised individual before dismissal of the patient. The supervisor is available for consultation throughout the patient care process. The supervisor is responsible for countersigning all entries by the caregiver in the patient's clinical record before dismissal of the patient.

b) Assistants may provide all levels of care. Supervision is based on training and experience of the assistant and the classification of the device. Custom fabricated and fitted devices and custom fitted devices (high complexity) should be provided under direct or close supervision. Custom fitted devices (low complexity) should be provided under close or indirect supervision. Off-the-shelf devices and over-the-counter devices may be provided under indirect supervision.

c) Technicians shall only provide care involving technical implementation skills and no clinical assessment or patient management skills. The care shall be under close or direct supervision depending on the complexity of the care.

d) Residents shall provide all levels of care under supervision. Supervision should progress from direct supervision to indirect supervision as the resident progresses through the residency program.

e) Students shall provide all levels of care under direct supervision.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.45 Classification of Devices

a) The Centers for Medicare and Medicaid Services' (CMMS) Common Procedure Coding System (HCPCS) is used as a universal coding database for orthotic, prosthetic, and pedorthic devices. To determine the appropriate level of supervision, the following categorizations are used:

1. "Custom fabricated and fitted device" means an orthosis, prosthesis, or pedorthic device fabricated to original measurements and/or a mold for patient use in accordance with a prescription and that requires substantial clinical and technical judgment in its design and fitting. Licensees or non-licensed caregivers under direct or close supervision of a licensee should provide custom fabricated and fitted devices.

2. "Custom fitted device" means a prefabricated orthosis, prosthesis, or pedorthic device sized and/or modified for patient use in accordance with a prescription, and that requires substantial clinical judgment and substantive alteration for appropriate use. Licensees or non-licensed caregivers under close or indirect supervision of a licensee should provide custom fitted devices. Custom fitted devices are sub-classified as "high complexity" or "low complexity".

A) Custom fitted device (high complexity): A prefabricated orthosis, prosthesis, or pedorthic device sized and/or modified for patient use in accordance with a prescription and that requires substantial clinical judgment (involving high clinical assessment and patient management skills) or substantive alteration (involving medium technical implementation skills) for appropriate use.

B) Custom fitted device (low complexity): A prefabricated orthosis, prosthesis, or pedorthic device sized and/or modified for patient use in accordance with a prescription and that requires substantial clinical judgment (involving medium clinical assessment and patient management skills) or substantive alteration (involving low technical implementation skills) for appropriate use.

3. "Off-the-shelf device" means a prefabricated orthosis, prosthesis or pedorthic device sized and/or modified for patient use in accordance with a prescription and that does not require substantial clinical judgment and substantive alteration for appropriate use. Licensees or non-licensed caregivers under indirect supervision of a licensee may provide off-the-shelf devices.

4. "Over-the-counter device" means a prefabricated, mass-produced device that is prepackaged and requires no professional advice or judgement in either size selection or use, including fabric or elastic supports, corsets, generic insoles, elastic hose. Over-the-counter devices do not require the supervision of a licensee.

b) The Division hereby incorporates by reference the HCPCS Payment Codes, available from the Centers for Medicare and Medicaid Services, 7500 Security Boulevard, Baltimore MD 21244, at http://www.cms.gov/Medicare/Coding/MedHCPCSGenInfo/index.html? redirect=/medhcpcsgeninfo/.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.50 Fees

The following fees shall be paid to the Department and are nonrefundable:

a) Application fees

1. The fee for application for a license as an orthotist, prosthetist or pedorthist is $400.

2. The fee for application as a continuing education sponsor is $500.

b) Renewal fees

1. The fee for renewal of an orthotist, prosthetist or pedorthist license is $125 per year.

2. The fee for renewal as a continuing education sponsor is $250.

c) General fees

1. The fee for restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees.

2. The fee for issuance of a duplicate license or for the issuance of a replacement license for a license that has been lost or destroyed is $20.

3. The fee for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is printed.

4. The fee for certification of a license for any purpose is $20.

5. The fee for a wall certificate showing licensure is the actual cost of producing the certificate.

The fee for a roster of persons licensed under the Act is the actual cost of producing the roster.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.55 Renewals

a) The first license issued shall expire on September 30, 2003 and every September 30 of odd-numbered years. Beginning with the September 30, 2005 renewal and every renewal thereafter, in order to renew a license, a licensee shall be required to complete 30 hours of continuing education in accordance with Section 1325.80. The holder of the license may renew the license during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each license holder to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired license shall be considered the unlicensed practice of orthotics, prosthetics, or pedorthics and subject to discipline or other penalties set forth in Section 90 of the Act.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.60 Endorsement

a) An applicant seeking licensure in Illinois pursuant to Section 70 of the Act shall file an application with the Division, on forms provided by the Division, that includes:

1. Certification of education and experience set forth in Sections 1325.15, 1325.20 and 1325.25;

2. Proof of successful completion of the examination set forth in Section 1325.10;

3. The fee required in Section 1325.50; and

4. Certification from the state or territory of the United States in which the applicant was originally licensed and the states in which the applicant is currently licensed, stating:

A) The time during which the applicant was licensed/registered in that jurisdiction; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) The Division may request additional information to determine if the requirements in the state or territory of original licensure were substantially equivalent to the requirements then in effect in Illinois or to determine whether the requirements of another state or territory, together with education and professional experience qualifications of the applicant, are substantially equivalent to the requirements in Illinois at the time of application or is certified by a national certification organization with educational and testing standards equal to or more stringent than the licensing requirements of this State.

c) In lieu of the documentation required in subsections (a)(1) and (2), the Division will accept proof of current certification from the American Board for Certification in Orthotics, Prosthetics & Pedorthics, Inc.

d) The Division shall either issue a license by endorsement to the applicant or notify him/her of the reasons for the denial of the application.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.65 Dishonorable, Unethical or Unprofessional Conduct

a) Pursuant to Section 90(a)(9) of the Act, engaging in dishonorable, unethical or unprofessional conduct in the practice of orthotics, prosthetics, or pedorthics shall include but not be limited to:

1. The promotion of the sale of services and devices in such manner as to exploit the patient or client for the financial gain of the practitioner or of a third party.

2. Directly or indirectly offering, giving, soliciting, or receiving, or agreeing to receive, any fee or other consideration to or from a third party for the referral of a patient or client.

3. Revealing of personally identifiable facts, data or information about a patient or client obtained in a professional capacity without the prior consent of the patient or client, except as authorized or required by law.

4. Providing care or services without an order from a licensed physician or podiatrist.

5. Practicing or offering to practice beyond the scope permitted by law, or accepting and performing professional responsibilities that the licensee knows or has reason to know that he or she is not competent to perform.

6. Delegating professional responsibilities to a person when the licensee delegating such responsibilities knows or has reason to know that the person to whom the responsibilities were delegated is not qualified by training, experience, or licensure to perform them.

7. Failing to exercise appropriate supervision over persons who are authorized to practice only under the supervision of a licensed orthotist, prosthetist, or pedorthist.

8. Overutilizing services by providing excessive evaluation or treatment procedures not warranted by the condition of the patient or by continuing treatment beyond the point of possible benefit.

9. Making gross or deliberate misrepresentations or misleading claims, including but not limited to:

A) professional qualifications;

B) the efficacy or value of the treatments, remedies or devices given or recommended.

10. Gross and willful and continued overcharging for professional services, including filing false statements for collection of fees for which services are not rendered.

11. Failing to maintain a record for each patient that accurately reflects the evaluation and treatment of the patient.

12. Advertising or soliciting for patronage in a manner that is fraudulent or misleading. Examples of advertising or soliciting that are considered fraudulent or misleading shall include, but not be limited to:

A) Advertising by means of testimonials, anecdotal reports of orthotic, prosthetic, or pedorthic practice successes or claims of superior quality of care to entice the public; or

B) Advertising that contains false, fraudulent, deceptive or misleading materials, warranties or guarantees of success, statements that play upon vanities or fears of the public or statements that promote or produce unfair competition.

b) Orthotics, Prosthetics and Pedorthics: The Division hereby incorporates by reference the Code of Professional Responsibility, American Board for Certification in Orthotics, Prosthetics & Pedorthics, Inc., 330 John Carlyle St., Ste. 210, Alexandria VA 22314, September 2012, with no later amendments and editions; and the Code of Ethics in the Information Package, Category I Professional – Prosthetist/Orthotist, Orthopaedic Engineer, Orthopaedic Meister, International Society for Prosthetics and Orthotics, Education Committee, 22-24 Rue du Luxembourg B-1000 Brussels, Belgium, November 2002, with no later amendments and editions.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.70 Granting Variances

a) The Director may grant variances from this Part in individual cases where he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons therefor, at the next meeting of the Board.

68 Ill. Adm. Code 1325.75 Restoration

a) A person seeking restoration of a license that has expired for less than 5 years shall have the license restored upon payment of fees set forth in Section 1325.50. A person seeking restoration of a license shall provide evidence of successful completion of 30 hours of continuing education in accordance with Section 1325.80 earned within the 2 years immediately preceding the restoration.

b) A person seeking restoration of a license that has been placed on inactive status for less than 5 years shall have the license restored upon payment of the current renewal fee specified in Section 1325.50. A person seeking restoration of a license shall provide evidence of successful completion of 30 hours of continuing education in accordance with Section 1325.80 earned within the 2 years immediately preceding the restoration.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fees set forth in Section 1325.50 and proof of 30 hours or continuing education (e.g., certificate of attendance or completion) in accordance with Section 1325.80. The application shall also include one of the following documents:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 60 of the Act; or

3. Other evidence of continued active participation in orthotics, prosthetics or pedorthics for at least the last 2 years. The evidence shall show that he/she has been:

A) Employed in a responsible capacity under the supervision of a licensed orthotist, prosthetist, or pedorthist; or

B) An officer or employee of the United States government as an orthotist, prosthetist, or pedorthist; or

C) Teaching orthotics, prosthetics, or pedorthics in a college or university.

d) A registrant who is unable to submit proof of satisfaction of the requirments of subsection (a), (b) or (c) shall submit proof of completion of 15 clock hours of approved continuing education for each year the license was expired completed during the 2 years proceeding application for restoration. The requirements of this subsection (d) shall be in addition to the 30 hours of continuing education required by subsections (a), (b) and (c).

e) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given or a need for clarification, the person seeking restoration of a license shall be required to:

1. Provide any information as may be necessary; and/or

2. Appear for interviews before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 37 Ill. Reg. 4861, effective April 1, 2013

68 Ill. Adm. Code 1325.80 Continuing Education

a) Continuing Education Hour Requirements

1. Renewal applicants shall complete 30 hours of Continuing Education (CE) relevant to the practice of orthotics, prosthetics, or pedorthics during each pre-renewal period. The Division shall conduct audits to verify compliance with this Section. The pre-renewal period is the 24 months preceding the expiration date of the license.

2. Orthotists, prosthetists, or pedorthists licensed in Illinois but residing and practicing in another state must comply with the CE requirements set forth in this Section.

3. A renewal applicant is not required to comply with CE requirements for the first renewal after original licensure.

b) Activities for which CE credit may be earned are as follows:

1. Verified attendance at, participation in, or completion of any in-person or online continuing education approved by the American Board for Certification in Orthotics, Prosthetics & Pedorthics, Inc.

2. Verified attendance at, participation in, or completion of an in person or online program given by a sponsor as set forth in subsections (c)(1) and (2).

3. A maximum of 15 hours per pre-renewal period for:

A) Papers prepared for or delivered before recognized orthotic, prosthetic, or pedorthic organizations;

B) Papers published in nationally recognized orthotic, prosthetic, or pedorthic journals; and

C) Writing a chapter in a book about orthotics, prosthetics, or pedorthics.

4. A licensee who serves as an instructor, speaker or discussion leader of a course given by an approved sponsor will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course. In no case shall credit for actual time of presentation and preparation be given for more than 9 hours during any renewal period.

5. The continuing education hours used to satisfy the CE requirements for renewal of an orthotic, prosthetic, or pedorthic license held in another jurisdiction shall be applied toward the CE requirements for renewal of an Illinois orthotic, prosthetic, or pedorthic license.

6. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

7. A CE hour equals 60 minutes. After completion of the initial CE hour, credit may be given in one-quarter hour increments.

8. Cardiopulmonary resuscitation (CPR) certification by the American Red Cross, American Heart Association, National Safety Council, or their international affiliates, or automated external defibrillation (AED) certification by the American Red Cross or other qualified organization as authorized by the Automated External Defibrillator Act. Five hours of continuing education may be earned for one CPR or AED certification. No more than one certification may be submitted per renewal.

c) CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) The American Academy of Orthotists and Prosthetists, or its affiliates;

B) The American Orthotic & Prosthetic Association, or its affiliates;

C) The Pedorthic Footwear Association, or its affiliates;

D) The International Society of Prosthetics and Orthotics, or its affiliates;

E) Illinois Society of Orthotists, Prosthetists and Pedorthists;

F) The American Academy of Orthopaedic Surgeons, or its affiliates;

G) The Association of Children's Orthotic-Prosthetic Clinics, or its affiliates;

H) The Illinois Podiatric Medical Society;

I) The American Podiatric Medical Society and its affiliates;

J) American Academy of Physical Medicine and Rehabilitation, and its affiliates;

K) Association of Academic Physiatrists, and its affiliates;

L) Any other school, college or university, State agency, or any other person, firm or association that has been approved and authorized by the Division to coordinate and present continuing education courses and programs in conjunction with this Section.

2. Entities seeking a license as a CE sponsor pursuant to subsection (c)(1)(L) shall file a sponsor application, along with the required fee set forth in Section 1325.50. The applicant shall certify to the following:

A) Certification:

i) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (c) of this Section and all other criteria in this Section. The applicant shall be required to submit a sample 3 hour CE program with course materials, presenter qualifications and course outline for review prior to being approved as a CE sponsor;

ii) That the sponsor will be responsible for verifying attendance at each course or program and provide a certificate of completion as set forth in subsection (c)(8); and

iii) That, upon request by the Division, the sponsor will submit evidence as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance;

B) A copy of a certificate of attendance or participation that meets the requirements set forth in subsection (c)(8); and

C) A sample of a CE course that includes, but is not limited to, course materials, books, and instructor credentials.

3. Each sponsor shall submit a written notice to the Division of a course offering at least 30 days prior to the course date. The notice shall include a course outline and the location, date and time the course is to be offered. The notice shall also contain the credit hours earned upon successful completion of the course.

4. Each sponsor shall submit by August 31 of odd numbered years a renewal application, along with the required renewal fee set forth in Section 1325.50. With the application the sponsor shall be required to submit to the Division a list of all courses and programs offered in the past 2 years, which includes a description, location, date and time the course was offered.

5. State agencies, State colleges and State universities in Illinois shall submit a sponsor application in accordance with subsections (c)(2) and (3); however, they shall be exempt from payment of the fee.

6. All courses and programs shall:

A) Contain materials that contribute to the advancement, extension and enhancement of professional skills and knowledge in the practice of orthotics, prosthetics, or pedorthics;

B) Specify the course objectives, course content and teaching methods to be used;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal; and

E) Include some mechanism by which participants evaluate the overall quality of the program.

7. All programs given by approved sponsors shall be open to all licensed orthotists, prosthetists, or pedorthists and not be limited to the members of a single organization or a group and shall specify the number of CE hours that may be applied toward Illinois CE requirements for licensure renewal.

8. It shall be the responsibility of the sponsor to provide each participant in an approved program or course with a certificate of attendance or participation, which shall contain the following information:

A) The name, address and license number of the sponsor;

B) The name and license number of the participant;

C) A brief statement of the subject matter;

D) The number of clock hours actually attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

9. The sponsor shall maintain course materials and attendance records containing all information in subsection (c)(8) for not less than 5 years, except for the signature of the sponsor.

10. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

11. The Division, upon recommendation of the Board, shall withdraw, suspend or place on probation the approval of a CE sponsor when, at any time, the quality of the CE fails to meet the established criteria set forth in this Section or if the sponsorship approval was based upon false or deceptive information or if any other related license of the sponsor or instructor is suspended, revoked or otherwise disciplined.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any continuing education program at any time.

13. The Division shall maintain a list of all approved continuing education sponsors.

d) Continuing Education Earned in Other Jurisdictions

1. If a renewal applicant will be earning or has earned CE hours in another jurisdiction, the applicant is not licensed in that jurisdiction and the course is not presented by an approved sponsor, the applicant shall submit an individual program approval request form, along with a $20 processing fee, to have the program reviewed. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(6). Applicants may seek individual program approval prior to participation in the course or program. All individual program approval requests shall be submitted at least 90 days prior to the expiration date of the license.

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $20 processing fee plus a $10 per CE hour late fee not to exceed $150. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional documentation in order to demonstrate compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. A licensee shall be required to keep CE records for 5 years. This additional documentation will be required in the context of a Division audit.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, the renewal fee set forth in Section 75(d) of the Act, a statement setting forth the facts concerning the non-compliance, and a request for waiver of the CE requirements on the basis of those facts. If the Division, upon the written recommendation of the Board, finds from this affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division shall waive enforcement of the requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of such period; or

B) Extreme hardship, which shall be determined on an individual basis by the Board, and shall be limited to documentation of:

i) An incapacitating illness documented by a currently licensed physician;

ii) A physical inability to travel to the sites of approved programs; or

iii) Any other similar extenuating circumstances.

3. If an interview with the Board is requested at the time the request for the waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

4. Any renewal applicant who submits a request for a waiver pursuant to subsection (f)(1) shall be deemed to be in good standing until the Division's final decision on the application has been made.

History

• Source: Amended at 46 Ill. Reg. 16260, effective September 6, 2022

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.10 Definitions

"Act" means the Pharmacy Practice Act [225 ILCS 85].

"Automated Dispensing and Storage Systems" include, but are not limited to, mechanical systems that perform operations or activities, other than counting, compounding or administration, relative to the storage, packaging or dispensing of medications, and that collect, control and maintain all transaction information.

"Beyond Use Date" means a drug's expiration date.

"Board" means the State Board of Pharmacy.

"Community Pharmacy" means any pharmacy that engages in general community pharmacy practice and that is open to, or offers pharmacy service to, the general public.

"Deliver" means the actual, constructive or attempted transfer of possession of a prescription medication.

"Department" means the Department of Financial and Professional Regulation.

"Direct Supervision" means in the immediate physical presence of the person supervised.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Dispense" means to interpret, verify computer entry of, select the prescribed product for, prepare and/or deliver a prescription medication to an ultimate consumer or to a person authorized to receive the prescription medication by or pursuant to the lawful order of a practitioner, including the compounding, packaging and/or labeling necessary for delivery and any recommending, advising and counseling concerning the contents, therapeutic values, uses and any precautions, warnings and/or advice concerning consumption. Dispense does not mean the physical delivery to a patient or a patient's representative in a home or institution by a designee of a pharmacist or by common carrier or the physical delivery of a drug or medical device to a patient or patient's representative by a pharmacist's designee within a pharmacy or drugstore while the pharmacist is on duty and the pharmacy is open.

"Dispensing Error" means any preventable event that may cause or lead to inappropriate medication use or patient harm. Such events may be related to professional practice, health care products, procedures and systems, including: prescribing; order communication; product labeling, packaging and nomenclature; compounding; dispensing; distribution; administration; education; monitoring; and use.

"Distribute" means to deliver, other than by dispensing, a prescription medication.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Drug Compliance Coordinator" means the chief pharmacy coordinator, appointed by the Secretary, who shall serve as the executive administrator and the chief enforcement officer of the Act, pursuant to Section 11(d) of the Pharmacy Practice Act.

"Drug Regimen Review" means and includes the evaluation of prescription drug orders and patient records for:

known allergies;

drug or potential therapy contraindications;

reasonable dose, duration of use, and route of administration, taking into consideration factors such as age, gender, and contraindications;

reasonable directions for use;

potential or actual adverse drug reactions;

drug-drug interactions;

drug-food interactions;

drug-disease contraindications;

therapeutic duplication;

patient laboratory values when authorized and available;

proper utilization (including over or under utilization) and optimum therapeutic outcomes; and

abuse and misuse [225 ILCS 85/3(y)].

"Electronic Format" includes, but is not limited to, information obtained via the Internet or stored on personal digital assistant, smart phone, tablet, etc.

"Electronic Transmission of Prescriptions" and "electronically transmitted prescriptions" means the communication of original prescriptions, refill authorizations, or medication orders, including controlled substances to the extent permitted by federal law, from an authorized licensed prescriber, or his or her authorized agent, to the pharmacy of the patient's choice by electronic means, including, but not limited to, telephone, facsimile machine, computer, computer modem or any other electronic device or authorized means.

"Institutional Pharmacy" means any pharmacy that is located in or outside a facility licensed under the Nursing Home Care Act [210 ILCS 45], the Hospital Licensing Act [225 ILCS 85], or the University of Illinois Hospital Act [110 ILCS 330] or a facility that is operated by the Department of Human Services or the Department of Corrections, and that provides pharmacy services to residents or patients of the facility, as well as employees, prescribers and students of the facility.

"Home Pharmacy" means the location of a pharmacy's primary operations.

"Medication Order" means a prescription issued by a physician or other authorized prescriber for a resident or patient of a facility served by an institutional pharmacy.

"Nonresident Pharmacy" means a pharmacy that is located outside this State that ships, delivers, dispenses or distributes into Illinois by any means any drugs, medicines, pharmaceutical services or devices requiring a prescription.

"Nuclear Pharmacist" means a pharmacist who provides radiopharmaceutical services and has satisfied the requirements of Section 1330.540(i).

"Nuclear Pharmacy" means any pharmacy that provides and/or offers for sale radiopharmaceuticals.

"On File" as used in Section 19 of the Act and this Part means the maintenance at the transferor pharmacy of the transferred prescription, whether previously filled or unfilled. For previously filled prescriptions at a transferor pharmacy located in Illinois, the prescriptions shall be maintained pursuant to the recordkeeping requirements of Section 18 of the Act. For previously unfilled prescriptions at a transferor pharmacy located in Illinois, the prescriptions shall be maintained in a readily retrievable format in a suitable book, file or recordkeeping system for a period of not less than 5 years. For previously filled and unfilled prescriptions at a transferor pharmacy located in a state other than Illinois, the prescriptions shall be maintained pursuant to the recordkeeping requirements of that state.

"Patient Counseling" means the communication between a pharmacist or a student pharmacist under the supervision of a pharmacist and a patient or the patient's representative about the patient's medication or device for the purpose of optimizing proper use of prescription medications or devices. "Patient counseling" may include without limitation:

obtaining a medication history;

acquiring a patient's allergies and health conditions;

facilitation of the patient's understanding of the intended use of the medication;

proper directions for use;

significant potential adverse events;

potential food-drug interactions; and

the need to be compliant with the medication therapy.

A pharmacy technician may only participate in the following aspects of patient counseling under the supervision of a pharmacist:

obtaining medication history;

providing the offer for counseling by a pharmacist or student pharmacist; and

acquiring a patient's allergies and health conditions. [225 ILCS 85/3(r)]

"Patient Profiles" or "Patient Drug Therapy Record" means the obtaining, recording and maintenance of patient prescription and personal information.

"Pharmacist" means a currently licensed pharmacist.

"Pharmacy Services" means the provision of any services listed within the definition of the "practice of pharmacy" found in Section 3(d) of the Act.

"Radiopharmaceutical" means any substance defined as a drug in Section 3(b) of the Act that exhibits spontaneous disintegration of unstable nuclei with the emission of nuclear particles or photons and includes any nonradioactive reagent kit or nuclide generator that is intended to be used in the preparation of any such substance but does not include drugs such as carbon-containing compounds of potassium-containing salts that contain trace quantities of naturally occurring radionuclides. Radiopharmaceuticals include radioactive biological products as defined in the Federal Food, Drug and Cosmetic Act (21 USC 301 et seq.) and regulations promulgated under that Act.

"Radiopharmaceutical Quality Assurance" means, but is not limited to, the performance of appropriate chemical, biological and physical tests on potential radiopharmaceuticals, and the interpretation of the resulting data to determine their suitability for use in humans and animals, including internal test assessment, authentication of product history and the keeping of proper records in these regards.

"Radiopharmaceutical Service" means the compounding, dispensing, labeling and delivery of radiopharmaceuticals; the participation in radiopharmaceutical selection and radiopharmaceutical utilization reviews; the proper and safe storage and distribution of radiopharmaceuticals as determined by the Illinois Emergency Management Agency; the maintenance of radiopharmaceutical quality assurance; the responsibility for advising, where necessary or required, of diagnostic and therapeutic values, hazards and use of radioactive pharmaceuticals; and the offering or performance of those acts, services, operations or transactions necessary in the conduct, operation, management and control of a nuclear pharmacy.

"Registrant" means a licensed pharmacist, registered assistant pharmacist, certified pharmacy technician, student pharmacist, or registered pharmacy technician.

"Remote Consultation Site" means a location, other than that of the home pharmacy, where prescriptions filled at the home pharmacy are stored and dispensed by a pharmacy technician, certified pharmacy technician and/or student pharmacist under the direct, remote supervision of a pharmacist located at, or contracted with, the home pharmacy.

"Remote Dispensing Site" means a location other than that of the home pharmacy where a supply of prescription drugs is maintained and prescriptions are filled and dispensed by a certified pharmacy technician and/or student pharmacist under the direct, remote supervision of a pharmacist located at, or contracted with, the home pharmacy.

"Remote Medication Order Processing" means receiving, interpreting or clarifying medication orders; data entry and transferring of medication order information; performing drug utilization review; interpreting clinical data; performing therapeutic interventions; and providing drug information concerning medication orders or drugs from a remote pharmacy.

"Remote Pharmacy" means any pharmacy that provides pharmacy services at a location other than the home pharmacy.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Student Pharmacist" means a person registered as a pharmacy technician who is enrolled in a pharmacy program and is designated as a "student pharmacist" pursuant to Section 9 of the Act.

"Ultimate Consumer" means the person for whom a drug is intended.

"Unique Identifier" means an electronic signature, handwritten signature or initials, thumb print or other acceptable individual biometric or electronic identification process approved by the Division.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.20 Fees

The following fees are not refundable:

a) Registration as a Pharmacy Technician, Student Pharmacist or Certified Pharmacy Technician

1. The fee for application for a certificate of registration as a pharmacy technician, student pharmacist, or certified pharmacy technician is $50.

2. The fee for the renewal of a certificate of registration as a pharmacy technician, student pharmacist or certified pharmacy technician shall be calculated at the rate of $35 per year.

b) License as a Pharmacist

1. The fee for application for a license as a pharmacist is $400.

2. In addition, applicants for any examination as a registered pharmacist shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

3. The fee for a license as a registered pharmacist, registered or licensed under the laws of another state or territory of the United States, is $400.

4. The fee for the renewal of a license shall be calculated at the rate of $175 per year.

5. The fee for the restoration of a license other than from inactive status is $50 plus all lapsed renewal fees, not to exceed $450.

6. Applicants for the preliminary diagnostic examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

c) License as a Pharmacy

1. The fee for application for a license for a pharmacy under the Act is $600.

2. The fee for the renewal of a license for a pharmacy under the Act shall be calculated at the rate of $250 per year.

3. The fee for the change of a pharmacist-in-charge is $25.

d) General Fees

1. The fee for a certification of a registrant's record for any purpose is $20.

2. The fee to have the scoring of an examination administered by the Division reviewed and verified is $20.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.30 Unprofessional and Unethical Conduct

Unprofessional and unethical conduct by a licensee or registrant shall include, but not be limited to:

a) Failing to establish and maintain effective controls against diversion of prescription drugs.

b) Committing theft or diversion, or attempting to commit theft or diversion, by a registrant or licensee.

c) Making or filing a report or record that a pharmacist or pharmacy knows to be false or intentionally or negligently failing to file a report or keep records as required by the Act or this Part.

d) Knowingly dispensing a prescription drug after the death of the person for whom the prescription was written.

e) Billing or charging for quantities of drugs greater than that which was delivered or charging patients for a brand drug when a generic is dispensed.

f) Submitting fraudulent billing or reports to a third party payer or claiming a fee for a service that is not performed or earned.

g) Filling a prescription when a pharmacist knows, or reasonably should know, that no valid physician-patient relationship exists or failing to exercise sound professional judgment with respect to the accuracy and authenticity of any prescription/drug order dispensed.

h) Failing to provide patient counseling in accordance with this Part, failing to respond to requests for patient counseling, attempting to circumvent patient counseling requirements, or otherwise discouraging patients from receiving patient counseling concerning their prescription medications.

i) Discriminating in any manner against a person or group based upon that person or group's religion, race, creed, color, gender, sexual orientation, age or national origin.

j) Knowingly dispensing a prescription drug without a valid prescription. Dispensing or offering to dispense any drug not approved by the Food and Drug Administration (FDA), found in the USP-NF, or found on the list promulgated by the FDA for bulk drug substances that may be used to compound drug products.

k) Failing to keep one's self and one's apparel clean or to wear identification bearing name and designation.

l) Directly or indirectly furnishing to a medical practitioner prescription order-blanks that refer to a specific pharmacist or pharmacy in any manner.

m) Actively or passively participating in any arrangement or agreement in which a prescription order-blank is prepared, written, or issued in a manner that refers to a specific pharmacist or pharmacy. Pharmacy-branded enrollment forms, when a patient requests his or her prescriptions be filled at a specific pharmacy, and Risk Evaluation and Mitigation Strategies documents containing prescription information are not prohibited by this subsection.

n) Dividing a prescription order unless directed by the prescriber, payer or patient or when the full quantity of that prescription medication is not available at that location.

o) Committing dispensing errors that result in hospitalization of a patient or demonstrating a pattern and practice of dispensing errors.

p) Committing an act or acts that are of a flagrant and obvious nature so as to constitute conduct of such a distasteful nature that accepted codes of behavior or codes of ethics are breached.

q) Committing an act or acts in a relationship with a patient that violate common standards of decency or propriety.

r) Willfully violating, or knowingly assisting in the violation of, any law relating to the use of habit-forming controlled substances.

s) Failing to full comply or respond to a Department subpoena within 60 days.

t) Committing any other act or omission that breaches the pharmacist's responsibility to a patient according to the accepted standard of care in pharmacy practice.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.40 Violations

a) A registrant shall not:

1. Engage in a business relationship, with any place defined as a drug store or pharmacy in the Act where the practice of pharmacy is engaged in by any person who is not authorized to practice under the Act or that is not operated and conducted in compliance with the Act.

2. Compound, sell or offer for sale, or cause to be compounded, sold or offered for sale, any drug, medicine, poison, chemical or pharmaceutical preparation, under or by a name recognized in the United States Pharmacopeia/National Formulary for internal or external use that differs from standard of strength, quality, purity or bioavailability as determined by the tests specified in the United States Pharmacopeia/National Formulary that is official at the time of the compounding, sale or offering for sale.

3. Compound, sell or offer for sale, or willfully cause to be compounded, sold or offered for sale, any drug, medicine, poison, chemical or pharmaceutical preparation the strength or purity of which falls below the professed standard of strength or purity under which it is sold.

4. Purchase prescription drugs from any source that fails to meet provisions of the Wholesale Drug Distribution Licensing Act [225 ILCS 120].

b) No registrant shall violate any of the following laws, or the rules or regulations promulgated pursuant to these laws, which relate to the practice of pharmacy:

1. Illinois Food, Drug and Cosmetic Act [410 ILCS 620].

2. Hypodermic Syringes and Needles Act [720 ILCS 635].

3. Federal Food, Drug and Cosmetic Act (21 USC 301 et seq.).

4. Federal Controlled Substances Act (21 USC 801 et seq.).

5. Illinois Controlled Substances Act [720 ILCS 570].

6. Cannabis Control Act [720 ILCS 550].

7. Illinois Poison Prevention Packaging Act [430 ILCS 40].

8. Poison Prevention Packaging Act of 1970 (15 USC 1471 et seq.).

9. Wholesale Drug Distribution Licensing Act [225 ILCS 120].

c) If a licensee or registrant is disciplined in another state, he or she must inform the Division within 60 days.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.50 Vaccinations/Immunizations

a) Qualifications

1. A pharmacist, or a student pharmacist or a pharmacy technician under the direct supervision of a pharmacist, may administer vaccinations/immunizations to persons who are 7 years of age or older pursuant to a valid patient specific prescription or a standing order by a physician licensed to practice medicine in all of its branches under the Medical Practice Act of 1987 [225 ILCS 60].

2. The pharmacist, student pharmacist, or pharmacy technician shall successfully complete a course of training accredited by the Accreditation Council on Pharmacy Education, or a similar health authority or professional body approved by the Division. The pharmacist who is responsible for supervising the pharmacy student or pharmacy technician has the sole responsibility of evaluating the appropriateness of each vaccination prior to its administration and maintains full responsibility and oversight of the process.

3. The pharmacist shall maintain a current Basic Life Support Certification for Healthcare Providers issued by the American Heart Association, the American Red Cross, the American Safety and Health Institute, or an equivalent as determined by the Division.

4. Each pharmacy, or pharmacist functioning outside of a pharmacy, shall have available a current copy or electronic version of the CDC reference "Epidemiology and Prevention of Vaccine – Preventable Diseases" at the location where vaccinations are administered.

5. The administration of vaccines shall be done by a pharmacist, or a student pharmacist or pharmacy technician under the direct supervision of a pharmacist, who has completed training as described in this Section.

b) Protocols, Policies and Procedures

1. Prior to administrating vaccinations/immunizations, a pharmacist, or a student pharmacist or a pharmacy technician under the direct supervision of a pharmacist, must follow protocols written by a physician licensed to practice medicine in all of its branches for the administration of vaccines and treatment of severe adverse events following administration of vaccines.

2. The pharmacy must maintain written policies and procedures for handling and disposal of all used supplies or contaminated equipment.

3. The pharmacist, student pharmacist, or pharmacy technician under the direct supervision of a pharmacist, must give the appropriate vaccine information statement (VIS) to the patient or legal representative prior to each vaccination. The pharmacist, or student pharmacist under the direct supervision of a pharmacist, must ensure that the adult patient or minor (age 7 and older) patient's parent or legal representative is available and has the vaccine information statement.

4. The pharmacy must report adverse events as required by the Vaccine Adverse Events Reporting System (VAERS) and to the primary care provider named by the patient.

c) Recordkeeping and Reporting

1. All records regarding each administration of a vaccine must be kept for 5 years. These records shall include:

A) The name, address and date of birth of the patient.

B) Date of administration and site of injection of the vaccine.

C) Name, dose, manufacturer, lot number and beyond use date of the vaccine.

D) Name and address of the patient's primary health care provider named by the patient.

E) The name or unique identifier of the administering pharmacist.

F) Which vaccine information statement (VIS) was provided.

2. A pharmacist who administers or oversees the administration of any vaccine must ensure that the report of that administration, is made to the Illinois Comprehensive Automated Immunization Registry Exchange (I-CARE) or to the primary healthcare provider named by the patient within 30 days of administration.

History

• Source: Amended at 47 Ill. Reg. 8352, effective June 2, 2023

68 Ill. Adm. Code 1330.60 Internet Pharmacies

The provisions of the federal Ryan Haight Online Pharmacy Consumer Protection Act of 2008 (Ryan Haight Act) (21 USC 801 et seq.) and all federal regulations adopted under that Act, are expressly adopted by this Part.

68 Ill. Adm. Code 1330.70 Granting Variances

a) The Director may grant variances from this Part in individual cases when he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

68 Ill. Adm. Code 1330.80 Renewals

a) Every license issued under the Act, except the certificate of registration as a student pharmacist, shall expire on March 31 of each even-numbered year. Every certificate of registration as a student pharmacist issued under the Act shall expire annually on March 31. The holder of a license or certificate of registration may renew the license or certificate during the 60 days preceding the expiration date by paying the required fee.

b) It is the responsibility of each registrant to notify the Division of any change of address or email address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew.

c) Practicing or operating on a license or certificate that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 30 of the Act.

d) As required by Section 9 of the Act, registered pharmacy technicians shall be required to submit proof of certification as a certified pharmacy technician, proof of enrollment in a first professional degree program in pharmacy, or proof of enrollment in clinical training by a graduate of a foreign pharmacy program for the first renewal or restoration that occurs after the license has been issued for at least 2 years, regardless of whether or not the license has been active, inactive, or not renewed. This requirement does not apply to pharmacy technicians licensed prior to January 1, 2008. Failure to provide proof of certification results in non-renewal of the pharmacy technician's registration.

e) Certified pharmacy technicians must certify to having completed the continuing education requirements of Section 1330.230.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.90 Restoration

a) A pharmacist seeking restoration of a certificate of registration that has expired for 5 years or less shall have the license restored upon payment of all lapsed renewal fees required by Section 1330.20 and proof of 30 hours of CE (e.g., certificate of attendance or completion) in accordance with Section 1330.100.

b) A pharmacist seeking restoration of a certificate of registration that has been placed on inactive status for 5 years or less shall have the license restored upon payment of the current renewal fee and proof of 30 hours of CE (e.g., certificate of attendance or completion) in accordance with Section 1330.100.

c) A pharmacist seeking restoration of a certificate of registration after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fee required by Section 1330.20 and proof of 30 hours of CE (e.g., certificate of attendance or completion) in accordance with Section 1330.100.

1. The pharmacist shall also submit either:

A) Certification of active practice in another jurisdiction. Evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice; or

B) An affidavit attesting to military service as specified in Section 12 of the Act. The applicant restoring a license shall be excused from the payment of any lapsed fee or any restoration fees.

2. A pharmacist who is unable to submit proof of satisfaction of either subsection (c)(1)(A) or (B) shall submit proof of completion of:

A) 30 hours of CE; and

B) Either:

i) 600 hours of clinical practice under the supervision of a licensed pharmacist completed within 2 years prior to restoration; or

ii) Successful completion of the North American Pharmacist Licensure Examination (NAPLEX). To be successful, an applicant must receive a passing score of 75 on the NAPLEX.

3. The course work or clinical training described in subsections (c)(2)(A) and (c)(2)(B)(i) must have the prior approval of the Board.

d) A pharmacy technician seeking restoration of a license that is inactive or not renewed shall file an application for restoration including payment of the renewal fee and evidence of meeting the renewal requirements of Section 1330.80.

e) A pharmacy whose license has been expired for one year or more may not have its license restored but must apply for a new license and meet all requirements for licensure.

f) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the registrant will be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information given, or clear up any discrepancies in information.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.100 Continuing Education ("ce")

a) CE Requirements

1. Each person who applies for renewal of a license as a pharmacist shall complete 30 hours of CE during the 24 months preceding the expiration date of the license, in accordance with Section 12 of the Act.

2. A renewal applicant is not required to comply with CE requirements for the first renewal after original licensure.

b) Approved CE

1. CE credit shall be based upon the completion of courses offered by providers approved by the Accreditation Council for Pharmacy Education. These courses may be completed outside the State of Illinois.

2. Undergraduate Coursework

A) Undergraduate coursework taken after completion of a first professional degree in pharmacy through a recognized college or approved school of pharmacy (in accordance with Section 1330.300) may be used to fulfill the CE requirement if:

i) Evidence of course completion through an official transcript and other documentation (e.g., certificate of completion or degree) of the university or college is submitted that indicates the number of course content hours completed; and

ii) These courses are completed for college credit.

B) CE credit will be earned for each undergraduate course completed. One semester hour is equivalent to 15 CE hours, and one quarter hour is equivalent to 10 CE hours.

c) Certification of CE Requirements

1. Each renewal applicant shall certify on the renewal application full compliance with CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of the compliance (e.g., certificate of attendance or completion). Evidence shall be required in the context of the Division's random audit in accordance with Section 12 of the Act.

d) The same CE hours cannot be used to fulfill the CE requirement for more than one renewal period.

e) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, along with the required fee, a statement setting forth the facts concerning noncompliance and a request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division shall waive enforcement of the CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to fulfill the CE requirements during the applicable period because of:

A) Full-time service in the armed forces of the United States of America during the applicable period; or

B) Extreme hardship, which shall be determined on an individual basis by the Board and shall be limited to documentation of:

i) An incapacitating illness, documented by a currently licensed physician; or

ii) Physical inability to travel to the sites of approved programs, as documented by a currently licensed physician; or

iii) Any other similar extenuating circumstances (e.g., illness of family member).

3. If a renewal applicant requests an interview before the Board at the time the waiver request is submitted, the Board shall not deny the waiver request before an interview is conducted. The renewal applicant requesting a waiver shall be given at least 20 days written notice of the date, time and place of the interview by mail, or email.

4. Any renewal applicant who submits a request for waiver pursuant to subsection (e)(1) shall be deemed to be in good standing until the final Division decision on the application has been made.

History

• Source: Amended at 47 Ill. Reg. 8352, effective June 2, 2023

68 Ill. Adm. Code 1330.110 Confidentiality

All information collected by the Department in the course of an examination or investigation of a licensee or applicant, including, but not limited to, any complaint against a licensee filed with the Department and information collected to investigate any such complaint, shall be maintained for the confidential use of the Department and shall not be disclosed. The Department shall not disclose the information to anyone other than law enforcement officials, regulatory agencies that have an appropriate regulatory interest as determined by the Secretary, or a party presenting a lawful subpoena to the Department. Information and documents disclosed to a federal, State, county or local law enforcement agency shall not be disclosed by the agency for any purpose to any other agency or person. A formal complaint filed against a licensee by the Department or any order issued by the Department against a licensee or applicant shall be a public record, except as otherwise prohibited by law.

History

• Source: Added at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.120 Administration of Tests and Therapeutics

a) Requirements

1. A pharmacist may administer and order tests or therapeutics to persons for the following conditions:

A) Influenza;

B) SARS-CoV-2;

C) Group A Streptococcus;

D) Respiratory syncytial virus;

E) Adult-stage head louse; and

F) Health conditions identified by a statewide public health emergency, as defined in the Illinois Emergency Management Agency Act.

2. A pharmacist may delegate the administrative and technical tasks of performing a test for the health conditions described in this Section to a pharmacy technician or student pharmacist acting under the supervision of the pharmacist. (Section 3(d)(17) of the Act).

3. Pharmacists shall practice in accordance with the professional standard of care, consistent with their education and training. When assuming new clinical responsibilities or engaging in specialized areas of practice, pharmacists shall possess the necessary knowledge and skills to provide safe, effective, and evidence-based care. Pharmacists may complete a course of training accredited by the Accreditation Council of Pharmacy Education (ACPE) to meet this requirement.

4. The pharmacist who is responsible for supervising the pharmacy student or pharmacy technician has the sole responsibility of evaluating the appropriateness of each test prior to its administration and shall maintain oversight of the process.

5. The pharmacist shall maintain a current Basic Life Support Certification for Healthcare Providers issued by the American Heart Association, the American Red Cross, the Health and Safety Institute, or an equivalent as determined by the Division.

6. Each pharmacy shall have available a current copy or electronic version of the current version of the guidelines of the Centers for Disease Control and Prevention, guidelines of the United States Preventive Services Task Force, or generally recognized evidence-based clinical guidelines.

7. The pharmacist shall ensure that any pharmacy technician or student pharmacist performing administration of testing, under their direct supervision, has been appropriately trained and is competent to perform the test safely and accurately, consistent with the standard of care and manufacturer instructions.

b) Patient Health History Intake Form

1. Prior to administering testing or therapeutics, a pharmacist shall have the patient complete a patient health history intake form for the purpose of performing a patient assessment.

A) The patient health history intake form shall include, at a minimum, basic patient information, including patient contact information, emergency contact information, history of past and present illness, current medications, allergies, and patient consent.

B) Based upon the results of the patient assessment, the pharmacist shall use their professional and clinical judgment to determine when a patient should be referred to the patient's physician or other appropriate health care provider in lieu of providing testing or therapeutics.

2. Based on the pharmacists professional and clinical judgment, a referral may be issued following an initial or follow-up assessment, directing the patient to a qualified health care provider for further evaluation, diagnosis, or treatment. All referrals under this subsection must be provided in writing and include information advising the patient to seek follow-up care from a health care provider.

3. Pharmacists shall advise patients to consult with the patient's physician or other appropriate health care provider if their symptoms persist, worsen, or involve physical manifestations, or if a test comes back as inconclusive or the treatment plan is unclear. This disclosure must be documented and signed by the patient or guardian.

4. "Therapeutics" are limited to medications approved by the Food and Drug Administration for the treatment of health conditions as described in subsection (a)(1) as established in generally recognized evidence-based clinical guidelines. "Therapeutics" does not include controlled substances.

c) Recordkeeping and Reporting

1. The pharmacist shall maintain appropriate records related to the administration of a test or prescribed therapeutics, including but not limited to:

A) Information collected under subsection (b);

B) Name of the test or therapeutic administered and the date administered;

C) Name and address of the patient's primary health care provider named by the patient, if known; and

D) Name or unique identifier of the administering pharmacist, pharmacy technician, or student pharmacist.

2. The pharmacist shall inform the patient's healthcare provider, if known, within a timely manner after a therapeutic has been dispensed.

History

• Source: Added at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.200 Application for Certificate of Registration as a Pharmacy Technician

a) An applicant for registration as a pharmacy technician shall file an application on forms supplied by the Division, together with:

1. A copy of his or her high school diploma or its equivalent, or proof of current enrollment in a high school program; and

2. The fee required by Section 1330.20.

b) Pursuant to Section 9 of the Act, an applicant may assist a registered pharmacist for 60 days upon submission of an application or, submission for reinstatement not due to disciplinary action, to the Division in accordance with subsection (a). A copy of the application must be maintained by the applicant at the site of employment during and until notice of registration or disqualification is received by the applicant and must be readily retrievable for review by the Drug Compliance Investigator.

c) A pharmacy technician must renew his or her registration with the Division on an annual basis.

d) Technician certificate of registration must be displayed and visible to the public in the pharmacy where the pharmacy technician is employed.

e) Every registered pharmacy technician shall notify the Division of any change in the address on record within 30 days after the change.

f) No pharmacist whose license has been denied, revoked, suspended or restricted for disciplinary purposes is eligible to be registered as a pharmacy technician.

g) No person who holds an active Illinois pharmacist's license may concurrently hold an active Illinois pharmacy technician registration.

h) Any pharmacy technician who is permitted to use the title "student pharmacist" pursuant to Section 9 of the Act shall notify the Division within 10 days if he or she has permanently separated from or been expelled from an ACPE accredited college or school of pharmacy; failed to complete his or her 1,200 hours of Board approved clinical training within 24 months; or failed the pharmacist licensure examination 3 times. When this occurs, the technician shall have 90 days to obtain a certified pharmacy technician license as provided in Section 1330.220, unless that certified pharmacy technician was registered prior to January 1, 2008. During the period prior to registering as a pharmacy technician, the individual is not permitted to use the title "student pharmacist". If the individual does not become registered as a certified pharmacy technician within 90 days, the pharmacy technician registration shall expire.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.210 Pharmacy Technician Training

a) It shall be the joint responsibility of a pharmacy and its pharmacist-in-charge to have trained all of its pharmacy technicians or obtain proof of prior training in all of the following topics as they relate to the practice site:

1. The duties and responsibilities of the technicians and pharmacists.

2. Tasks and technical skills, policies and procedures.

3. Compounding, packaging, labeling and storage.

4. Pharmaceutical and medical terminology.

5. Recordkeeping requirements.

6. The ability to perform and apply arithmetic calculations.

7. The administrative and technical tasks of performing a test as provided Section 3(d)(17) of the Act.

b) Within 6 months after initial employment or changing the duties and responsibilities of a pharmacy technician, it shall be the joint responsibility of the pharmacy and the pharmacist-in-charge to train the pharmacy technician or obtain proof of prior training in the areas listed in subsection (a) as they relate to the practice site or to document that the pharmacy technician is making appropriate progress.

c) All pharmacies shall maintain an up to date training program describing the duties and responsibilities of a pharmacy technician.

d) All pharmacies shall create and maintain retrievable records of training or proof of training as required in this Section.

e) Ensuring registered pharmacy technicians and certified pharmacy technicians are properly trained shall be the responsibility of the pharmacy, the pharmacist-in-charge, and the pharmacy technician.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.215 Minimum Standards for Approved Work Experience Pharmacy Technician Certification

A pharmacy technician certification program shall meet the following requirements:

a) This Section applies to pharmacy technicians licensed beginning January 1, 2024.

b) The curriculum must include at least 500 hours of supervised experience.

c) The work experience training under subsection (b) must be completed by the pharmacy technician's 2nd renewal.

d) Curriculum must include didactic and practical experience for each area of instruction. At minimum of 100 hours must be applied toward the didactic portion of the training.

e) A graduate shall be competent in:

1. The knowledge, skills, abilities, and behaviors beyond those of a pharmacy technician;

2. Functioning in a variety of pharmacy practice settings; and

3. Self-management and the management of the pharmacy.

f) The curriculum must include the following areas of instruction:

1. Knowledge and Skills:

A) Ethics;

B) Conflict resolution;

C) Customer service;

D) Communication with individuals, staff, and other healthcare professionals;

E) Self-management skills; and

F) Problem solving.

2. Continuing Competency:

A) Continuing education;

B) Pharmacy technician's role and other occupations' roles in the healthcare environment;

C) Basics in anatomy, pharmacology, and physiology relevant to pharmacy technician role;

D) Pharmacy technician's role in the medication-use process;

E) Infection control procedures;

F) Protocols for vaccine administration;

G) Common allergies; and

H) Hygiene, personal protection equipment (PPE), cleaning and maintaining equipment.

3. Medication Orders:

A) Medication storage;

B) Medication ordering;

C) Recordkeeping;

D) Medication labeling;

E) Special handling procedures;

F) Prescription entry and interpretation;

G) Generic/brand names;

H) Compounding sterile preparations per applicable, current USP chapters;

I) Moderate and high level non-sterile compounding as defined by USP (e.g., suppositories, tablets, complex creams);

J) Chemotherapy/hazardous drug preparations per applicable, current USP chapters;

K) Billing for complex and/or specialized pharmacy services and goods;

L) Purchasing pharmaceuticals, devices, and supplies;

M) Inventory control of medications, equipment, and devices;

N) Administration of immunizations and other injectable medications;

O) Current technology/automation related to safety and accuracy of medication dispensing; and

P) Dosage forms.

4. Patient Care:

A) Pharmacy technicians' role under the Joint Commission of Pharmacy Practitioners' Pharmacists' Patient Care Process;

B) Patient and medication safety practices;

C) Emergency patient situations;

D) Medication reconciliation process;

E) Medication management services;

F) Measurements, preparation, and packaging;

G) Point of care testing;

H) Patient confidentiality;

I) Error prevention;

J) Safety event reporting; and

K) Different insurance plan types, coupons, and prior authorizations.

5. Regulatory Knowledge:

A) Review of State and federal laws pertaining to processing, handling, and dispensing of medications, including controlled substances;

B) Review of State and federal laws pertaining to pharmacy technicians;

C) Occupational Safety and Health Administration (OSHA) requirements;

D) USP requirements, including USP 795 and 797 training;

E) The Institute for Safe Medication Practices (ISMP);

F) The Joint Commission;

G) Risk Evaluation and Mitigation Strategies (REMS);

H) Look-Alike/Sound-Alike (LASA) High Alert;

I) Health Insurance Portability and Accountability Act (HIPAA);

J) Facility maintenance; and

K) Medication disposal.

g) Graduates must be competent in providing appropriate life support measures including Basic Life Support (BLS) and automated external defibrillators (AED), for medical emergencies that may be encountered in pharmacy practice.

h) All programs accredited by the Accreditation Council for Pharmacy Education (ACPE) and the American Society of Health System Pharmacists (ASHP) meet the minimum curriculum criteria set forth in this Section and are, therefore, approved.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.220 Application for Certificate of Registration as a Certified Pharmacy Technician

a) An individual may receive certification as a certified pharmacy technician if the individual:

1. Has submitted a written application in the form and manner prescribed;

2. Has attained the age of 18;

3. Is of good moral character, as determined by the Division;

4. Graduated from a pharmacy technician training program approved by the Accreditation Council for Pharmacy Education (ACPE) or the American Society of Health System Pharmacists (ASHP) or obtained documentation from the pharmacist-in-charge of the pharmacy where the applicant is employed verifying that the applicant has successfully completed equivalent work experience of 500 hours as a pharmacy technician covering the practice areas set forth in Sections 17.1(a)(1) through (6) of the Act, or successfully completed work experience as provided for in Section 1330.215;

5. Has successfully passed an examination accredited by the National Commission for Certifying Agencies of the Institute for Credentialing Excellence (NCCA), as approved and required by the Board. The Division, upon the recommendation of the Board, has determined that the Exam for the Certification of Pharmacy Technicians offered by the Institute for the National Healthcareer Association (or its successor), and the Pharmacy Technician Certification Examination offered by the Pharmacy Technician Certification Board (or its successor), are accredited by NCCA and are, therefore, approved examinations for certification; and

6. Has paid the required certification fees.

b) No pharmacist whose license has been denied, revoked, suspended or restricted for disciplinary purposes is eligible to be registered as a certified pharmacy technician. No person who holds an active Illinois pharmacist license may concurrently hold an active Illinois certified pharmacy technician registration.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.230 Continuing Education ("CE") for Certified Pharmacy Technicians

a) CE Requirements

1. Number of Hours of CE Required

A) Each person who applies for renewal of a license as a certified pharmacy technician shall complete 20 hours of CE during the 24 months preceding the expiration date of the license, in accordance with Section 9.5 of the Act.

B) A renewal applicant is not required to comply with CE requirements for the first renewal after original licensure.

2. Required Topics for CE

A) At least one hour of continuing pharmacy education must be on the subject of pharmacy laws, pharmacy rules and ethics;

B) At least one hour of continuing pharmacy education must be on the subject of patient safety; and

C) Any other applicable CE requirements under 68 Ill. Adm. Code 1130.

b) Approved CE

1. The completion of courses offered by providers approved by the Accreditation Council on Pharmacy Education or another standardized nationally approved education program approved by the Department, may be completed outside the State of Illinois are approved CE courses.

2. The pharmacist-in-charge and the certified pharmacy technician must maintain records showing proof of training that constituted the pharmacy technician's CE.

c) Certification of CE Requirements

1. Each renewal applicant shall certify on the renewal application full compliance with CE requirements set forth in this Part.

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificates of attendance, certificates of completion, course registration). It is the responsibility of each renewal applicant to retain or otherwise produce evidence of the compliance. Evidence shall be required in the context of the Division's random audit in accordance with Section 9.5 of the Act.

d) The same CE hours cannot be used to fulfill the CE requirement for more than one renewal period.

e) Waiver of CE Requirements

1. Any renewal applicant seeking to renew their license without having fully complied with these CE requirements shall file with the Division a renewal application, along with the required fee, a statement setting forth the facts concerning noncompliance and a request for waiver of the CE requirements with facts explaining the basis of the request. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division shall waive enforcement of the CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to fulfill the CE requirements during the applicable period because of:

A) Full-time service in the armed forces of the United States of America during the applicable period; or

B) Extreme hardship, which shall be determined on an individual basis by the Board and shall be limited to documentation of:

i) An incapacitating illness, documented by a currently licensed physician;

ii) Physical inability to travel to the sites of approved programs, as documented by a currently licensed physician; or

iii) Any other similar extenuating circumstances (e.g., illness of a family member).

3. If a renewal applicant requests an interview before the Board at the time the waiver request is submitted, the Board shall not deny the waiver request before an interview is conducted. The renewal applicant requesting a waiver shall be given at least 20 days written notice of the date, time, and place of the interview by mail or email.

4. Any renewal applicant who submits a request for waiver pursuant to subsection (e)(1) shall be deemed to be in good standing until the final Division decision on the application has been made.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.300 Approval of Pharmacy Programs

a) The Division shall, upon the recommendation of the Board, approve a pharmacy program in a school or college or department of pharmacy of a university or other institution as reputable and in good standing if it meets the following minimum criteria:

1. Is legally recognized and authorized, through appropriate agencies such as a ministry of education or higher education governing board, by the jurisdiction in which it is located to confer a first professional degree in pharmacy;

2. Has a faculty comprised of a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled. Their facility must have demonstrated competence in their area of teaching as evidenced by appropriate degrees from professional colleges or institutions in disciplines reflective of the curricular requirements. (All of the pharmacist members of the clinical faculty and a majority of the faculty in the pharmaceutical sciences should be licensed pharmacists in that jurisdiction. The clinical faculty should be active practitioners.);

3. Has a curricular offering of post-secondary instruction totaling at least 5 academic years, including any preprofessional education requirements, and requiring a minimum of the following subject areas:

A) General Education (a minimum of 30 semester hours or its equivalent in courses in the humanities and behavioral and social sciences);

B) Preclinical Sciences (courses in the physical and biological sciences and mathematics that are prerequisites to professional studies and training; course work should include general chemistry, organic chemistry, general biology, microbiology and mathematics);

C) Professional Studies and Training (in the following areas):

i) Biomedical sciences, which include anatomy, physiology, immunology, biological chemistry, pathology and biostatistics;

ii) Pharmaceutical sciences, which include pharmaceutical or medicinal chemistry, pharmaceutics or dosage form design and evaluation, pharmacokinetics, synthetic and natural drug product chemistry, pharmacology, pharmaceutical administration and the social and behavioral sciences in pharmacy;

iii) Clinical sciences and practice, which include clinically applied courses based on the biomedical and pharmaceutical sciences, such as didactic courses in clinical foundations, disease processes and diagnoses, clinical pharmacology and therapeutics, and drug information research and literature retrieval; and

iv) Externship and clerkship, which include a minimum of 400 direct contact hours in clerkship and externship experience. These experiences should minimally include supervised training in inpatient environments providing for interdisciplinary experiences with other health professionals and distributive aspects of pharmacy practice;

4. Has essential facilities including, but not limited to, administrative and faculty offices, teaching and research laboratories, lecture rooms, conference rooms, student activities areas, service areas and other programmatic support areas;

5. Has a comprehensive library that contains a contemporary collection of periodicals, texts and reference books relevant to the biomedical, pharmaceutical and clinical aspects of health care and its systems of delivery;

6. Has clinical facilities adequate in number and quality and with appropriate supervision to deliver the clinical clerkships and externships of the curriculum. The facilities shall be available in inpatient and outpatient environments, including patient care areas of health care institutions, hospital pharmacies and community pharmacies; and

7. Maintains permanent retrievable and auditable student records that summarize the credentials for admission, attendance, grades and other records of performance for each student enrolled in the program.

b) In determining whether a school or college should be approved, the Division shall take into consideration, but not be bound by, accreditation standards established by the Accreditation Council on Pharmacy Education.

c) An applicant from a pharmacy program that has not been evaluated shall cause to be forwarded to the Division documentation concerning the criteria in this Section. If the documentation is insufficient to evaluate the program, the applicant will be required to provide such additional information as necessary. Once the Division has received the documentation or after 6 months have elapsed from the date of application, whichever is first, the Board will evaluate the program based on all documentation received from the school and any additional information the Division has received that will enable the Board to evaluate the program based on the criteria specified in this Section. In the event the program is not approved as reputable and in good standing by the Division, applicants from the program must successfully complete the preliminary diagnostic examination and all other requirements set forth in the Act and this Part.

d) The Director shall, upon written recommendation of the Board, withdraw, suspend or place on probation the approval of a pharmacy program when the Director determines, based upon the report of the Board, the quality of the program has been materially affected. In determining the existence of a material effect, the Board and the Director shall consider:

1. Gross or repeated violations of any provision of the Act;

2. Gross or repeated violations of any provision of this Part;

3. Fraud or dishonesty in furnishing documentation for evaluation of the pharmacy program; or

4. Failure to continue to meet the established criteria for an approved pharmacy program set out in this Section.

e) When approval of a pharmacy program is being reconsidered by the Division, written notice shall be given at least 15 days prior to any recommendation by the Board, and the officials in charge may either submit written comments or request an interview before the Board.

f) The Division, upon the recommendation of the Board, has determined that all pharmacy programs accredited by the Accreditation Council on Pharmacy Education as of July 1, 2007 meet the minimum criteria set forth in subsection (a) and are, therefore, approved. The Board shall review the list of accredited programs published each year on July 1 by the Accreditation Council on Pharmacy Education in order to determine whether the programs continue to meet the minimum criteria.

68 Ill. Adm. Code 1330.310 Graduates of Programs Outside the United States

Applicants who are graduates of a first professional degree program in pharmacy located outside the United States or its territories that is not approved pursuant to the provisions of Section 1330.300 shall submit proof of:

a) Submission of a Foreign Pharmacy Graduate Examination Committee (FPGEC) Certificate;

b) Passage of the preliminary diagnostic examination (Foreign Pharmacy Graduate Equivalency Exam (FPGEE)) designed to determine equivalence of education to programs approved pursuant to Section 1330.300;

c) The minimum acceptable scores are 550 for the paper TOEFL and 50 for the paper TSE, or 213 for the computer-based TOEFL and TSE combination, or 88 for the Internet-based TOEFL iBT with a minimum score of 26 on the speaking module;

d) Passage of the Test of Spoken English (TSE) examination with a score of 50; and

e) Either:

1. Completion of a course of clinical instruction totaling 1,200 clinical hours approved by the Board as required by Section 7 of the Act. The course of clinical instruction shall be conducted under the supervision of a pharmacist registered in the State of Illinois. The applicant shall obtain prior approval of the Board before enrolling in the course of clinical instruction. In approving a course of clinical instruction, the Board shall consider, but not be limited to, whether the course:

A) Enhances development of effective communication skills by enabling consultation among the applicant, the prescriber and the patient;

B) Promotes development of medical data retrieval skills through exposure to patient medical charts, patient medication profiles and other similar sources of patient information;

C) Promotes development of the applicant's ability to research and analyze drug information literature; and

D) Promotes development of the applicant's ability to interpret laboratory test and physical examination results; or

2. Have been licensed in a U.S. jurisdiction or territory for at least 1 year with no disciplinary actions or encumbrances on their license or pending license.

68 Ill. Adm. Code 1330.320 Application for Examination

a) An applicant for examination shall apply, on forms approved by the Division, at least 30 days prior to an examination date. The application shall include:

1. One of the following:

A) Certification of graduation from a first professional degree program in pharmacy. The program must be approved by the Division upon recommendation of the Board of Pharmacy under the provisions of Section 1330.300; or

B) Certification, in the case of an applicant applying in the last half-year of the curriculum, from the dean of an approved pharmacy program indicating the applicant is expected to graduate. It is the responsibility of the individual school to notify the Division of all the students who do not graduate; or

C) Proof of compliance with Section 1330.310 if the applicant is a graduate of a program located outside the United States; and

2. The fee required by Section 1330.20.

b) An applicant whose application is complete shall be scheduled for the next available examination.

c) If the applicant has successfully completed in another jurisdiction the examinations required by Section 1330.330(a)(1) and (2)(B), the applicant may have examination scores submitted to the Division from the reporting entity.

68 Ill. Adm. Code 1330.330 Examination for Licensure

a) The examination for licensure as a registered pharmacist shall be divided into two portions:

1. Theoretical and Applied Pharmaceutical Sciences portion, which shall test the following subjects:

A) Medicinal Chemistry;

B) Pharmacology;

C) Pharmacy;

D) Pharmaceutical Calculations;

E) Interpreting and Dispensing Prescription Orders;

F) Compounding Prescription Orders; and

G) Monitoring Drug Therapy; and

2. Pharmaceutical Jurisprudence portion, which consists of 2 parts and shall test:

A) Illinois law related to pharmacy practice; and

B) Federal law related to pharmacy practice.

b) An applicant must score a minimum of 75 on the Theoretical and Applied Pharmaceutical Sciences portion and a minimum of 75 on the combined Pharmaceutical Jurisprudence portion in order to successfully pass the examination for licensure. An applicant who scores 75 or greater in either the Theoretical and Applied Pharmaceutical Sciences portion or on either of the combined Pharmaceutical Jurisprudence portions will not be required to retake that portion of the examination. The reporting of scores to the candidates shall include the score obtained on the Theoretical and Applied Pharmaceutical Sciences, the score obtained on the Federal Law portion, a pass or fail score on the Illinois Law portion and the combined score consisting of the Federal Law portion and the State Law portion.

c) Any applicant who fails the NAPLEX portion three times or the MPJE portion of the registered pharmacist examination three times in any jurisdiction will be required to furnish proof of remedial education in an approved program on the subjects of the portion failed. Proof of additional remedial education in an approved program shall also be furnished each time the applicant fails each portion of the examination three times after undergoing remedial education (i.e., after the sixth exam, ninth exam, etc.).

d) For the purposes of this Section remedial training shall be defined as:

1. A course of study of at least 30 classroom hours in an approved pharmacy college in the subjects of the portions failed three times; or

2. A tutorial or preceptorship with a faculty member in an approved pharmacy college or another pharmacist as a preceptor. The course of instruction must be deemed by the Board to be substantially equivalent to subsection (e)(1) and approved by the Division. Any remedial training must be approved by the Board and the Division prior to commencement.

e) The provisions of this Section shall apply to all applicants upon adoption without regard to where the applicant is in the application process.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.340 Application for Licensure on the Basis of Examination

a) An applicant for licensure on the basis of examination shall submit to the Division a properly completed application on forms provided by the Division, along with the following:

1. The fee required by Section 1330.20;

2. Certification of graduation from an approved program of pharmacy (see Section 1330.300); and

3. Proof of successful completion of the examination approved by the Division (see Section 1330.330).

b) Upon receipt of the items required in subsection (a), and upon verification by the Division that the candidate meets all of the requirements for licensure as a Registered Pharmacist, the Division shall issue a license to practice pharmacy or notify the applicant of the reason for denial.

68 Ill. Adm. Code 1330.350 Endorsement

a) An applicant who is currently licensed by examination under the laws of another U.S. jurisdiction or another country shall file an application with the Division, together with:

1. Certification of graduation from a pharmacy program approved pursuant to Section 6 of the Act and Section 1330.300 of this Part;

2. For individuals licensed in another state prior to January 1, 1983, proof of having completed the hours of apprenticeship, or, if at least 1500 hours of apprenticeship were not required, an affidavit attesting to the period of the applicant's active experience as a pharmacist;

3. A certification by the state or territory of original licensure stating:

A) The time during which the applicant was licensed in that state;

B) Whether the file on the applicant contains any record of any disciplinary actions taken or pending; and

C) A brief description of the examination and the applicant's grades;

4. Proof of successful passage of the Illinois multi-state jurisprudence examination; and

5. The fee as required by Section 1330.20.

b) The Division shall examine each application to determine whether the requirements, at the time of licensure in the state where the applicant was licensed by examination, were substantially equivalent to the requirements then in force in this State.

c) If the requirements are found to be substantially equivalent and the applicant graduated from an approved college of pharmacy and meets all other requirements of the Act, the Division will notify the applicant of approval and/or denial and the reasons for the approval or denial within 30 days after receipt of the application and supporting documentation.

68 Ill. Adm. Code 1330.360 Pharmacy Residents

A pharmacy resident participating in a nationally accredited residency program is exempt from Section 15.1(a) of the Act to the extent the provision conflicts with the requirements of the nationally accredited residency program.

History

• Source: Added at 47 Ill. Reg. 8352, effective June 2, 2023

68 Ill. Adm. Code 1330.400 Application for a Pharmacy License

a) Establishing, Relocating or Changing Ownership

1. Any person who desires to establish, relocate or change the ownership of a pharmacy shall file an application on forms supplied by the Division, together with the fee required by Section 1330.20, and specify the types of pharmacy services to be provided as described in Sections 1330.500, 1330.510, 1330.520, 1330.530, 1330.540, 1330.550 and 1330.560.

2. Upon determination that the application is in good order, an inspection of the premises will be conducted to determine compliance with Sections 1330.610, 1330.620, 1330.630, 1330.640 and 1330.680. An application shall be in good order when it is signed and notarized and the license of the pharmacist-in-charge has been verified to be in good standing with the Division.

3. Upon recommendation of the Drug Compliance Coordinator, the Board may request the owner of the pharmacy and the pharmacist-in-charge to appear for an interview with the Board.

b) For a change of name of pharmacist-in-charge only, the owner shall be required to file an application on forms supplied by the Division, together with the required fee, and submit the present license. The Division shall evaluate the application and, if satisfactory, issue a new license.

c) Within 180 days after issuance of a pharmacy license, the pharmacy for which the licensure was requested shall be open to the public for pharmaceutical services.

d) Any reduction in hours of operation shall be reported to the Division within 30 days after the reduction in hours take effect.

e) Upon receipt by the Division of a change of ownership application, the purchaser may begin operations prior to the issuance of a new pharmacy license only when the purchaser and seller have a written power of attorney agreement. This agreement shall provide, among other things, that violations during the pendency of the application process shall be the sole responsibility of the seller. This agreement shall be provided to the Division upon request.

f) No pharmacy shall relocate prior to the inspection of the premises. All drugs shall be transferred within 24 hours after issuance of the license unless otherwise approved by the Department.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.410 Pharmacy Licenses

a) Each individual, partnership, corporation or any other applicant for a pharmacy license shall indicate, on forms supplied by the Division, the type of pharmacy services to be provided by the licensee.

b) The Board may review and make recommendations to the Director regarding pharmacy applications filed with the Division.

c) A pharmacy who provides more than one type of pharmacy service shall be issued one pharmacy license and shall be charged the appropriate fee, as set forth in Section 1330.20.

d) A pharmacy shall designate a pharmacist-in-charge as provided for in Section 1330.660.

e) When a third-party company is hired to run a pharmacy, that third-party company shall be the license holder; however, the license may be issued with the name of the pharmacy, as a d/b/a, or with the name of the third-party company. The Illinois Controlled Substance license shall be issued to the third-party company unless the third-party company and the pharmacy or hospital cosigns a pharmacy service agreement that assigns overall responsibility for controlled substances to the hospital or pharmacy.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.420 Emergency Remote Temporary Pharmacy License

a) Definitions:

1. "Emergency remote temporary pharmacy" means a pharmacy not located at the same location as a home pharmacy at which pharmacy services are provided during an emergency situation.

2. "Emergency situation" means an emergency caused by a natural or manmade disaster or any other exceptional situation that causes an extraordinary demand for pharmacy services.

b) The following is applicable for the emergency remote temporary pharmacy:

1. The emergency remote temporary pharmacy will not be issued a separate pharmacy license but shall operate under the license of the home pharmacy. To qualify for an emergency remote temporary pharmacy license, the applicant must submit an application including the following information:

A) license number, name, address and phone number of the home pharmacy;

B) names, address and phone number of the emergency remote temporary pharmacy;

C) name and pharmacist license number of the pharmacist-in-charge of the home pharmacy and of the pharmacist-in-charge of the emergency remote temporary pharmacy; and

D) any other information required by the Board.

2. The Division will notify the home pharmacy of the approval of an emergency remote temporary pharmacy license.

3. The emergency remote temporary pharmacy license shall be valid for a period determined by the Director not to exceed 6 months. The Director, in his or her discretion, may renew the emergency remote temporary pharmacy license for an additional 6 months if the emergency situation still exists and the holder of the license shows good cause for the emergency remote temporary pharmacy to continue operation.

4. The emergency remote temporary pharmacy shall have a written contract or agreement with the home pharmacy that outlines the services to be provided and the responsibilities and accountabilities of the remote and home pharmacy in fulfilling the terms of the contract or agreement in compliance with federal and State laws and regulations.

5. The home pharmacy shall designate a pharmacist to serve as the pharmacist-in-charge of the emergency remote temporary pharmacy.

6. The equipment and facility of the pharmacy must enable prescriptions to be filled accurately and properly compounded; it must be operated and maintained in a manner that will not endanger the health and safety of the public.

7. An onsite pharmacy can only provide service to patients, staff or families of staff of that institution.

68 Ill. Adm. Code 1330.500 Community Pharmacy Services

a) Pharmacies that engage in general or specialty community pharmacy practice and are open to, or offer pharmacy service to, the general public shall, in addition to any other requirements of the Act and this Part, comply with this Section. A community pharmacy that, in addition to offering pharmacy services to the general public, provides institutional services shall also comply with Section 1330.520.

b) Staffing of the Pharmacy

1. Whenever the hours of the pharmacy differ from those of the establishment in which the pharmacy is located, the schedule during which pharmacy services are provided shall be conspicuously displayed.

2. Whenever a pharmacy is open and a pharmacist is not present and available to provide pharmacy services, a sign stating that situation shall be conspicuously displayed.

3. No prescription may be dispensed when a pharmacist is not physically present in the establishment.

c) Recordkeeping Requirements for Dispensing Prescription Drugs

1. For every prescription dispensed, the prescription record shall contain the name, initials or other unique identifier of the pharmacist who dispenses the prescription drugs. No prescription may be dispensed after 15 months from the date of the original issuance of the prescription by the prescriber.

2. Whenever a prescription is dispensed by a registered pharmacy technician or certified pharmacy technician under the supervision of a pharmacist, the prescription record shall contain the names, initials or other unique identifier of both the supervising pharmacist and the registered pharmacy technician or certified pharmacy technician who dispenses the prescription.

3. An invoice is required for all pharmacy to pharmacy drug transfers.

4. Refilling a Prescription

A) Each refilling of a prescription shall be entered on the prescription or on another appropriate, uniformly maintained, readily retrievable record that indicates, by the number of the prescription, the following information:

i) The name and dosage form of the drug;

ii) The date of each refilling;

iii) The quantity dispensed;

iv) The name or initials of the pharmacist and the pharmacy technician, if applicable, in each refilling; and

v) The total number of refills remaining for the prescription.

B) If the pharmacist does not otherwise indicate in a uniformly maintained record, the pharmacist shall be deemed to have dispensed a refill for the full face amount of the prescription.

5. Presentation of a written prescription copy or prescription label shall be for information purposes only and has no legal status as a valid prescription order. The recipient pharmacist of the copy or prescription label shall contact the prescribing practitioner to obtain a new prescription order.

6. Copies of prescriptions given to an ultimate consumer shall be marked "For Information Purposes Only".

7. Subject to Section 18 of the Act, any information required to be kept pursuant to that Section may be recorded and stored in a computerized pharmaceutical information system that meets the standards of performance stated in the regulations of the Drug Enforcement Administration (21 CFR 1306; 2014), except as provided in subsection (c)(7), and shall include the capability to:

A) Retrieve the original prescription order information for those prescription orders currently authorized for refilling;

B) Retrieve the current prescription orders, including, at a minimum, name of drug, date of refill, quantity dispensed, name and identification code of the manufacturer in the case of a generically written prescription or a generic interchange, name or initials of the dispensing pharmacist and technician for each refill, and the total number of refills dispensed to date;

C) Supply documentation of refill information entered by the pharmacist using the system through a hard copy printout of each day's refill data that has been verified for correctness. This printout must include for each prescription filled at least the following information:

i) The name and dosage form of the drug;

ii) The date of each refilling;

iii) The quantity dispensed;

iv) The name or initials of the pharmacist in each refilling and the pharmacy technician, if applicable;

v) The patient's name;

vi) The prescriber's name; and

vii) The prescription number for the prescription.

8. In lieu of the printout required by subsection (c)(6), the pharmacy shall maintain a bound log book, or separate file, in which each individual pharmacist involved in the dispensing shall sign a statement each day, attesting to the fact that the refill information entered into the computer that day has been reviewed and is correct as shown. The book or file must be maintained at the pharmacy employing the system for a period of 5 years after the date of dispensing the appropriately authorized refill.

9. All refill data shall be maintained by the pharmacy on the premises for 5 years, in accordance with Section 18 of the Act. The pharmacy shall have the appropriate equipment on the premises to provide readily retrievable information in the course of an on-site inspection. A hard copy printout shall be provided to the Division, upon request, within 48 hours.

d) Any drug that is dispensed pursuant to prescription, other than vaccinations administered in the pharmacy, shall have affixed to its container a label as provided in Section 22 of the Act.

e) No person shall establish or move to a new location any pharmacy unless the pharmacy is licensed with the Division and has on file with the Division a verified statement that:

1. The pharmacy is or will be engaged in the practice of pharmacy; and

2. The pharmacy will have in stock and will maintain sufficient prescription drugs and materials to protect the public it serves within 30 days after opening of the pharmacy.

f) Pharmacies have a duty to deliver lawfully prescribed drugs to patients and to distribute nonprescription drugs approved by the U.S. Food and Drug Administration for restricted distribution by pharmacies, or to substitute a generic drug as permitted in Section 25 of the Act in a timely manner, or to contact the prescriber to obtain authorization to dispense a different drug that produces a similar clinical effect in a timely manner, except for the following or substantially similar circumstances:

1. When, in the pharmacist's professional judgment, after screening for potential drug therapy problems due to therapeutic duplication, drug-disease contraindications, drug-drug interactions (including, but not limited to, serious interactions with nonprescription or over-the-counter drugs), drug-food interactions, incorrect drug dosage or duration of drug treatment, drug-allergy interactions, or clinical abuse or misuse, pursuant to Section 3(aa) of the Act, the pharmacist determines that the drug should not be dispensed due to one of the foregoing clinical reasons;

2. National or State emergencies or guidelines affecting availability, usage or supplies of drugs;

3. Lack of specialized equipment or expertise needed to safely produce, store or dispense drugs, such as certain drug compounding or storage for nuclear medicine;

4. Potentially fraudulent prescriptions;

5. Unavailability of drug; or

6. The drug is not typically carried in similar practice settings in the State.

g) Nothing in this Section requires pharmacies to dispense a drug without payment of their usual and customary or contracted charge.

h) All pharmacies shall be required to maintain the following current resource materials, either in hard copy or electronic format:

1. Copies of the Act and this Part;

2. Illinois Controlled Substances Act and 77 Ill. Adm. Code 3100;

3. Title 21 of the United States Code of Federal Regulations (Food and Drugs); and

4. Hypodermic Syringes and Needles Act [720 ILCS 635].

i) If the lawfully prescribed drug or nonprescription drug approved by the U.S. Food and Drug Administration for restricted distribution by pharmacies is not in stock or is otherwise unavailable, or the prescription cannot be filled pursuant to subsection (f)(1) or (f)(6), the pharmacy shall provide the patient or agent a timely alternative for appropriate therapy that, consistent with customary pharmacy practice, may include obtaining the drug. These alternatives include but are not limited to:

1. Contact the prescriber to address concerns such as those identified in subsection (f)(1);

2. If requested by the patient or the patient's agent, return unfilled lawful prescriptions to the patient or agent; or

3. If requested by the patient or the patient's agent, communicate or transmit, as permitted by law, the original prescription information to a pharmacy of the patient's choice that will fill the prescription in a timely manner.

j) Any mail order pharmacy that provides services in Illinois shall provide, during its regular hours of operation, but not less than 6 days per week for a minimum of 40 hours per week, a toll-free telephone service to facilitate communication between patients in this State and a pharmacist retained by the mail order pharmacy who has access to the patient's records. The toll free number must be disclosed on the label affixed to each container of drugs dispensed to residents of the State.

k) Engaging in or permitting any of the following shall constitute grounds for discipline or other enforcement actions:

1. Intentionally destroying unfilled lawful prescriptions;

2. Refusing to return unfilled lawful prescriptions;

3. Violating a patient's privacy;

4. Discriminating against patients or their agents in a manner prohibited by State or federal laws;

5. Intimidating or harassing a patient; or

6. Failing to comply with the requirements of this Section.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.510 Telepharmacy

a) Telepharmacy shall be limited to the types of operations described in this Section. Each site where such operations occur shall be a separately licensed pharmacy. Home pharmacies that are located outside of Illinois must be licensed as a nonresident pharmacy. Nonresident pharmacies shall abide by all Illinois laws and rules when filling prescriptions for Illinois residents, except that the dispensing pharmacist and the pharmacist-in-charge shall not be required to be licensed in Illinois, except as otherwise provided in this Part.

b) Remote Dispensing Site

1. Written prescriptions presented to the remote dispensing site shall be scanned into the electronic data processing equipment to ensure initial dispensing and each refill and the original prescription may be viewed on the monitor at both the remote dispensing site and home pharmacy site. Records shall be maintained at the remote dispensing site.

2. A remote site is considered to be under the supervision of the pharmacist-in-charge of the home pharmacy. Each home pharmacy may supervise no more than 3 remote sites that are simultaneously open.

3. The remote site shall use its home pharmacy and pharmacy management system.

A) The system shall assign consecutive prescription numbers.

B) Prescriptions dispensed at the remote site shall be distinguishable from those dispensed from the home pharmacy.

C) Daily reports must be separated for the home and remote site.

4. Unless staffed by an onsite pharmacist, a pharmacist at the home pharmacy must verify each prescription before it leaves the remote site.

A) Pharmacist and pharmacy technician initials or unique identifiers must appear on the prescription record and the prescription label.

B) A pharmacist shall electronically compare via video link the stock bottle, drug dispensed, the strength and its beyond use date. The entire label must be checked for accuracy on the video link.

C) The remote dispensing site shall utilize a barcode system that prints the barcode of the stock bottle on the label of the dispensed drug. If the stock bottle does not have a barcode, the pharmacy shall create one. The technician shall scan both the stock bottle and the label of the dispensed drug to verify that the drug dispensed is the same as the drug in the stock bottle for each prescription dispensed.

D) A pharmacy may utilize a different electronic verification system that accomplishes the same purpose after review and approval of the Division.

5. Counseling must be done by a pharmacist via video link and audio link. Pursuant to Section 1330.700, the pharmacist providing counseling, pursuant to this subsection, must be employed or contracted by the home pharmacy or by a pharmacy contracted with the home pharmacy and have access to all relevant patient information maintained by the home pharmacy.

6. A pharmacist-in-charge or a designated pharmacist must complete monthly inspections of the remote site. Inspection criteria must be included in the policies and procedures for the site. The inspection report must be available on site for pharmacy investigator inspection.

7. Controlled substances shall be kept at the remote site in accordance with the Act and this Part. All records must be stored at the remote site.

8. There shall be a working computer link, video link and audio link to a pharmacist at a home pharmacy whenever the prescription area is open to the public. The communication link must be checked daily and the remote site pharmacy must be closed if the link malfunctions, unless a pharmacist is physically present at the remote site.

A) The pharmacy technician located at the remote dispensing site must have one year of experience and be registered as a certified pharmacy technician, or be a student pharmacist.

B) New prescriptions received at the remote dispensing site may be entered into the remote computer system with all verification, interaction, checking and profile review by the pharmacist at the home pharmacy.

C) Each pharmacist at the home pharmacy may electronically supervise no more than 3 remote sites that are simultaneously open.

9. The facility must have a sign clearly identifying it as a remote dispensing site.

10. The facility shall have an area for patient consultation, exclusive of any waiting area.

11. A remote dispensing site must maintain a log with the date and time when a pharmacist is working onsite.

c) Remote Consultation Site

1. These sites have no prescription inventory.

2. Only filled prescriptions, filled at the home pharmacy, with final patient labeling attached are allowed at these sites.

3. These sites must be staffed with a pharmacy technician or certified pharmacy technician who has the knowledge necessary to use computer audio/video link for dispensing and consultation to occur. Pharmacist and pharmacy technician initials or unique identifiers must appear on the prescription record and the prescription label.

4. Written prescriptions may be received at a remote consultation site. All written prescriptions presented at a remote consultation site shall be delivered to the home pharmacy within 72 hours.

5. Security of filled prescriptions must be maintained by storing them in a separate lock drawer or cabinet.

6. Recordkeeping shall be conducted by the pharmacist (time/date) when dispensing and counseling occurred.

7. The site shall have an area for patient consultation exclusive of any waiting area.

8. The site must have a sign clearly identifying it as a remote consultation site.

d) Automated Pharmacy Systems (Section 22(b) of the Act)

1. Remote Automated Pharmacy Systems (RAPS)

A) These devices shall maintain a prescription drug inventory that is controlled electronically by the home pharmacy or, when operated by a pharmacy contracted with the home pharmacy, by the contracted pharmacy, which shall be utilized to dispense patient specific prescriptions.

B) These systems shall have prescription inventory, which must be secured in an automated pharmacy system and electronically connected to and controlled by the home pharmacy.

C) A pharmacist must approve all the prescription orders before they are released from the RAPS.

D) Dispensing and counseling are performed by a pharmacist employed or contracted by the home pharmacy via audio and video link.

E) All filled prescriptions must have a label that meets the requirements of the Act attached to the final drug container.

F) The pharmacist-in-charge of the home pharmacy, or a designated registrant, shall conduct and complete monthly inspections of the RAPS. Inspection criteria must be included in the policies and procedures for the site. The report must be available to the pharmacy investigators when requested.

G) The RAPS must be licensed with the Division as an automated pharmacy system and will be subject to random inspection by pharmacy investigators. Notwithstanding that the RAPS shall possess a license, the home pharmacy shall remain responsible for inventory control and billing. For purposes of random inspections, a pharmacist with access to the system must be available at the site within one hour, or as otherwise approved by the drug compliance investigator. In the event the Department's Chief Pharmacy Coordinator determines that the RAPS poses a significant risk of patient harm, the RAPS must be disabled until such time as the pharmacist with access to the system is available to the site.

H) Medication dispensed at the automated pharmacy system site may only be packaged by a licensed manufacturer or repackager, or prepackaged by a licensed pharmacy in compliance with this Section. Prepackaging must occur at the home pharmacy, a pharmacy sharing common ownership with the home pharmacy, or a pharmacy that has contracted with the home pharmacy to perform prepackaging services. The following requirements shall apply whenever medications are prepackaged by a pharmacy other than the home pharmacy:

i) The prepackaging pharmacy shall be licensed in Illinois as a resident or nonresident pharmacy.

ii) The prepackaging pharmacy shall share a common database with the home pharmacy, or have in place an electronic or manual process to ensure that both pharmacies have access to records to verify the identity, lot numbers and expiration dates of the prepackaged medications stocked in the RAPS.

iii) The prepackaging pharmacy shall maintain appropriate records to identify the responsible pharmacist who verified the accuracy of the prepackaged medication.

I) Written prescriptions may be received at a RAPS. All written prescriptions presented to a RAPS shall be scanned utilizing imaging technology that permits the reviewing pharmacist to determine its authenticity. The sufficiency of the technology shall be determined by the Department. If sufficient technology is not used, the written prescriptions must be delivered to the home pharmacy and reviewed by a pharmacist prior to being dispensed to the patient.

2. Kiosk

A) A kiosk is a device that maintains individual patient prescription drugs that were verified and labeled at the home pharmacy.

B) A home pharmacy may only use the kiosk with prior approval of a patient.

C) A kiosk located on the same premises or campus of the home pharmacy shall operate under the same license as the home pharmacy. However, a kiosk must be licensed with the Division if it is not so located.

D) A kiosk shall:

i) When located on the same premises or campus as the pharmacy, inform a patient, if using the device when the pharmacy is open, that the patient may address questions and concerns regarding the prescription to a pharmacist at the pharmacy;

ii) When not located on the same premises or campus as the pharmacy, inform a patient, if using the device when the pharmacy is closed, that he or she may immediately direct any questions and concerns regarding the prescription to a licensed pharmacist via a pharmacy provided audio/video link;

iii) Inform a patient that a prescription is not available to be delivered by the device if the pharmacist desires to counsel the patient in person regarding the prescription.

3. A pharmacy may use an automated pharmacy system to deliver prescriptions to a patient when the device:

A) Is secured against a wall or floor;

B) Provides a method to identify the patient and delivers the prescription only to that patient or the patient's authorized agent;

C) Has adequate security systems and procedures to prevent unauthorized access, to comply with federal and State regulations, and to maintain patient confidentiality;

D) Records the time and date that the patient removed the prescription from the system.

4. A licensed automated pharmacy system shall not be utilized by prescribers. Nothing in this Section shall prevent a prescriber from utilizing an automated pharmacy system in connection with his or her own dispensing. However, a prescriber may not utilize or access an automated pharmacy system licensed pursuant to this Section.

e) All pharmacists performing services in support of a remote dispensing site, remote consultation site, kiosk, or RAPS must display a copy or electronic image of their licenses at the remote site where they provide services, or shall otherwise make their license visible to the patient, and be licensed in this State, unless employed by a pharmacy licensed in Illinois as a nonresident pharmacy, in which case, the pharmacist providing the services shall hold an active license as a pharmacist in the state in which the nonresident pharmacy is located and only the pharmacist-in-charge of the remote site must be licensed in Illinois.

f) Each remote site must display a sign, easily viewable by the customer, that states:

1. The facility is a telepharmacy supervised by a pharmacist located at (address); and

2. The pharmacist is required to talk to you, over an audio/visual link, each time you pick up a new prescription.

g) No remote site may be open when the home pharmacy is closed, unless a pharmacist employed or contracted by the home pharmacy, or by a pharmacy contracted with the home pharmacy, is present at the remote site or is remotely providing supervision and consultation as required under this Section.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.520 Offsite Institutional Pharmacy Services

a) Pharmacies that are not located in the facilities they serve and whose primary purpose is to provide services to patients or residents of facilities licensed under the Nursing Home Care Act, the Hospital Licensing Act, the University of Illinois Hospital Act, the Ambulatory Surgical Treatment Center Act, or the Illinois Department of Human Services shall, in addition to any other requirements of the Act and this Part, comply with this Section.

b) Recordkeeping Requirements for Dispensing Prescriptions or Orders

1. Every prescription or order dispensed shall be documented with the name, initials or other unique identifiers of the pharmacist (and student pharmacist or pharmacy technician if one is used) authorized to practice pharmacy under the provisions of the Act who dispenses the prescription or order. For purposes of the Act, an authorized person is:

A) A pharmacist licensed in the State of Illinois; or

B) A pharmacy technician, certified pharmacy technician or student pharmacist under the supervision of a pharmacist.

2. Each pharmacy must maintain records for 5 years that contains the information in subsection (b)(3). This information shall be readily retrievable and in a format that provides enforcement agents a concise, accurate and comprehensive method of monitoring drug distribution via an audit trail. This system may require 2 or more documents that, when read together, will provide all the information required by federal (e.g., the regulations of the Drug Enforcement Administration (21 CFR 1300; 2014)) and State (e.g., the Pharmacy Practice Act and the Illinois Controlled Substances Act [720 ILCS 570]) statute.

3. In addition to the recordkeeping requirements of subsection (b)(2), a uniformly maintained, readily retrievable hard copy record or back-up documentation of each prescription or order dispensed shall be maintained by the pharmacy for 5 years and shall include:

A) Name of resident;

B) Date of order;

C) Name, strength and dosage form of drug, or description of the medical device ordered;

D) Quantity dispensed (a separate record should be maintained when the quantity billed differs from the quantity dispensed, e.g., unit dose transfer systems);

E) Directions for use;

F) Quantity billed;

G) Prescriber's name;

H) Prescriber's signature and/or DEA number when required for controlled substances; and

I) The drug name and identification code or the manufacturer in case of a generically ordered medication or a generic interchange.

4. No prescription may be filled or refilled for a period in excess of 15 months from the date of the original issuance of the prescription or order by the prescriber.

5. Subject to Section 18 of the Act, any information required to be kept pursuant to this Section may be recorded and stored in a:

A) computerized pharmaceutical information system that meets the standards of performance required by the regulations of the Drug Enforcement Administration (21 CFR 1306; 2014) and shall include the capability to:

i) Retrieve the original medication order information for those medication orders that are currently authorized;

ii) Retrieve the current history of medication orders that shall, at a minimum, include the name of drug, the date of filling, the quantity dispensed, the name and identification code of manufacturer in the case of a generically written prescription or a generic interchange, for each filling, and the total number of refills when read in conjunction with any off-line hard copy of the history of medication orders dispensed to date; and

iii) Supply documentation of the correctness of filling information entered into a system must be provided by the pharmacist using the system by way of a hard copy printout of each day's filling data that has been verified, dated and signed by the dispensing pharmacist; or

B) bound logbook, or separate file, in which each individual pharmacist involved in dispensing shall sign a statement each day attesting to the fact that the refill information entered into the computer that day has been reviewed by the individual pharmacist and is correct as shown. The book or file must be maintained at the pharmacy employing the system for a period of 5 years after the date of dispensing the appropriately authorized refill.

c) In the event the long-term care facility changes pharmacy provider services, their new provider must obtain the orders from the long-term care facility and verify the authenticity and accuracy of the orders with the prescriber.

d) Staffing of the Pharmacy. When the pharmacy is closed, the public and any employees not registered under the Act are to be prohibited access to the filling and dispensing area.

e) Labeling Requirements

1. Medications for Future Use

A) Parenteral solutions to which a drug or diluent has been added or that are not in their original manufacturer's packaging shall contain the following information on the outer label:

i) Name, concentration and volume of the base parenteral solution;

ii) Name and strength of drugs added;

iii) Beyond use date and date of the admixture. Beyond use date, unless otherwise specified in the individual compendia monograph shall be not later than the beyond use date on the manufacturer's container or one year from the date the drug is repackaged, whichever is earlier; and

iv) Reference code to identify source and lot number of drugs added.

B) Non-parenterals repackaged for future use shall be identified with the following information:

i) Brand and/or generic name;

ii) Strength (if applicable);

iii) Beyond use date. Unless otherwise specified in the individual monograph, the beyond use date shall be not later than the beyond use date on the manufacturer's container or one year from the date the drug is repackaged, whichever is earlier; and

iv) Reference code to identify source and lot number.

2. Medications Prepared for Immediate Use

A) All medications prepared by the pharmacy for immediate dispensing to a specific resident or patient in the facility shall be dispensed in a container identified with:

i) Name of the resident;

ii) Resident's room and bed number;

iii) Dispensing date;

iv) Name, strength and dosage form of drug, or description of the medical device ordered;

v) Quantity dispensed;

vi) Directions for use;

vii) Prescriber's name; and

viii) Beyond use date if less than 60 days from date of dispensing.

B) Pharmacies dispensing medications to a specific resident or patient in the facility via unit dose shall label each order with the following information:

i) Name of the resident;

ii) Resident's room and bed number;

iii) Date of order;

iv) Name, strength and dosage form of drug, or description of the medical device ordered;

v) Directions for use; and

vi) Prescriber's name.

f) Pharmacies that compound and dispense sterile products shall comply with Section 1330.640.

g) Medication Dispensing in the Absence of a Pharmacist. The availability of necessary medications for immediate therapeutic use during those hours when the institutional pharmacy is not open shall be met in the following manner:

1. An after-hour cabinet, which is a locked cabinet or other enclosure located outside of the pharmacy area containing a minimal supply of the most frequently required medication, may be utilized provided that only personnel specifically authorized by the institution in which the pharmacy is located may obtain access and it is sufficiently secure to deny access to unauthorized persons. After-hour cabinets shall only be used in the absence of a pharmacist. When medication is removed from the cabinet or enclosure, a valid practitioner's order authorizing the removal of the medication shall be placed in the cabinet or enclosure. A log shall be maintained within the cabinet or enclosure and authorized personnel removing medication shall indicate on the log the signature of the authorized personnel removing the medication, the name of the medication removed, the strength (if applicable), the quantity removed and the time of removal. An automated dispensing and storage system may be used as an after hours cabinet. This use shall be in compliance with Section 1330.680.

2. Emergency kits containing those drugs that may be required to meet the immediate therapeutic needs of the patient, and that are not available from any other source in sufficient time to prevent risk of harm to patients by delay resulting from obtaining the drugs from the other source, may be utilized. Emergency kits shall be supplied and maintained under the supervision of a pharmacist. Drugs shall be removed from emergency kits only by authorized pharmacy personnel or persons authorized to administer medication pursuant to a valid order by a practitioner licensed to prescribe in Illinois. Emergency kits shall be sealed in some manner that will indicate when the kit has been opened. A label shall be affixed to the outside of the emergency kit indicating the beyond use date of the emergency kit. The beyond use date of the emergency kit shall be the earliest beyond use date of any drug contained in the kit. After an emergency kit has been used or upon discovery that the seal has been broken or upon the occurrence of the beyond use date, the kit shall be secured and returned to the pharmacy to be checked and/or restocked by the last authorized user. If the pharmacy is closed at that time, the kit shall be returned when it opens. An automated dispensing and storage system may be used as an emergency kit. This use shall be in compliance with Section 1330.680.

3. Whenever any drug is not available from night cabinets or emergency kits, and the drug is required to treat the immediate needs of a patient, the drug may be obtained from the pharmacy in sufficient quantity to meet the immediate need by an authorized nurse. When medication is removed from the pharmacy by an authorized nurse, a copy of the licensed practitioner's order authorizing the removal of the medication shall be conspicuously placed in the pharmacy with the container from which the drug was removed so that it will be found by a pharmacist and checked promptly. A form shall be available in the pharmacy upon which shall be recorded the signature of the authorized nurse who removed the medication, the name, strength (if applicable) and quantity of medication removed.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.530 Onsite Institutional Pharmacy Services

a) Onsite Pharmacies. A pharmacy located in facilities licensed under the Nursing Home Care Act, the Hospital Licensing Act, or the University of Illinois Hospital Act, or that are operated by the Department of Human Services or the Department of Corrections, and that provide pharmacy services to residents, patients, employees, prescribers and students of these facilities, shall, in addition to other requirements of the Act and this Part, comply with this Section.

b) Recordkeeping Requirements

1. Every prescription or medication order filled or refilled shall contain the name, initials or other unique identifier of the pharmacist (and pharmacy technician if one is used) who fills or refills the prescription or medication order, or the name, initials or other unique identifier may be recorded on another appropriate, uniformly maintained and readily retrievable record that indicates, at least, the following information:

A) The name and dosage form of the drug;

B) The date of filling or refilling; and

C) The quantity dispensed.

2. No prescription may be dispensed for a period in excess of 15 months from the date of the original issuance of the prescription by the prescriber.

3. The pharmacist-in-charge shall maintain or have access to the following records for at least 5 years or as otherwise required by law:

A) Records of medication orders and medication administration to patients;

B) Procurement records for controlled substances;

C) Records of packaging, bulk compounding or manufacturing; and

D) Records of actions taken pursuant to drug recalls.

c) Labeling Requirements

1. All medication repackaged by the pharmacy for future use inside the institution or facility and not intended for immediate dispensing to a specific patient shall be identified as follows:

A) Single dose or multi-dose drugs, except sterile solutions to which a drug has been added, shall be labeled with:

i) Brand and/or generic name;

ii) Strength (if applicable);

iii) Beyond use date; and

iv) Reference code to identify source and lot number.

B) Sterile solutions to which drugs have been added shall contain on the outer label:

i) Name, concentration and volume of the base sterile solution;

ii) Name and strength of drugs added;

iii) Beyond use date and time of the admixture; and

iv) Reference code to identify source and lot number of drugs added.

2. All medication prepared by the pharmacy for immediate dispensing to a specific patient or resident in the institution or facility shall be identified as follows:

A) Single dose or multi-dose drugs, except parenteral solutions to which a drug has been added, shall be identified with:

i) Brand and/or generic name; and

ii) Strength (if applicable).

B) Sterile solutions to which drugs have been added shall be identified with:

i) Name, concentration and volume of the base sterile solution;

ii) Name and strength of drugs added; and

iii) Beyond use date and time of the admixture.

C) All medication dispensed to a specific patient in the institution shall be dispensed in a container identified with the name of the patient and the patient's location. Those institutions or facilities utilizing a unit-dose and medication cart system may identify the name of the patient and the patient's location on the outside of the bin of the medication cart, when those carts are filled by the pharmacy.

3. Labels on all medications dispensed by the pharmacy for immediate dispensing to a patient being discharged, emergency room patient and/or employee shall contain the following:

A) The name and dosage form of the drug;

B) The date filled;

C) The quantity dispensed; and

D) Directions for use.

4. Investigational new drugs, authorized by the U.S. Food and Drug Administration, shall be dispensed pursuant to a valid prescription order of the principal physician-investigator or the principal physician-investigator's authorized clinician. All investigational drugs shall be stored in and dispensed from the pharmacy and shall be identified with the following information:

A) Name of drug and strength (if applicable);

B) Beyond use date;

C) Reference code to identify source and lot number;

D) A label indicating "For Investigational Use Only"; and

E) Name and location of the patient. Those institutions or facilities utilizing a unit-dose and medication cart system may identify the name of the patient and the patient's location on the outside of the bin of the medication cart, when those carts are filled by the pharmacy.

5. A pharmacist providing a copy of a prescription to an ultimate consumer for the purpose of transfer or any other purpose shall cancel the face of the original prescription and record the date the copy is issued, to whom issued, and the pharmacist's signature on the face of the original prescription. Copies of prescriptions shall be marked "For Information Purposes Only" and require prescriber authorization to fill.

d) Staffing of the Pharmacy

1. The responsibilities of the pharmacist-in-charge shall include:

A) Supervision of all the activities of all employees as they relate to the practice of pharmacy;

B) Establishment and supervision of the method and manner for storage, dispensing and safekeeping of pharmaceuticals in all areas of the institution or facility, including maintenance of security provisions to be used when the pharmacy is closed. The following security provisions shall be utilized:

i) The pharmacy shall be staffed at all times by a registered pharmacist during open hours; and

ii) Only registered, certified, and licensed individuals under this Part shall have access to the pharmacy, except as provided in Section 1330.530(e)(1);

C) Establishment and supervision of the recordkeeping system for the purchase, sale, delivery, possession, storage and safekeeping of drugs;

D) The development and implementation of a procedure to be utilized in the event of a drug recall that can be readily activated to assure that all drugs included on the recall are returned to the pharmacy for proper disposition;

E) Establishment of specifications for the procurement of all drugs that will be dispensed by the pharmacy; and

F) Establishment and supervision of a method of documenting an oral prescription from a practitioner licensed to prescribe to a pharmacist and for transmission of that information to the appropriate members of the nursing staff of the institution or facility.

2. The operations of the pharmacy and the maintenance of security provisions are the responsibility of the pharmacist-in-charge whether the owner is a sole proprietor, partnership, association, corporation or any other entity.

3. When the accuracy, relevance or completeness of any submitted documentation is reasonably questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the registrant will be required to:

A) Provide information as may be necessary; and/or

B) Appear for an interview before the Board to explain the relevance or sufficiency, clarify information given or clear up any discrepancies or conflicts in information.

4. Pharmacists and pharmacies are prohibited from accepting from patients or their agents for reuse, reissue or resale dispensed medications, chemicals, poisons or medical devices, except for:

A) Medical devices that can be properly sanitized prior to reuse, resale or re-rent; and

B) Medications that are dispensed and stored under conditions defined and supervised by the pharmacist and are unopened in sealed, intact and unaltered containers that meet the standards for light, moisture and air permeation as defined by a current United States Pharmacopeia − National Formulary published by the United States Pharmacopeial Convention, Inc.

e) Medication Dispensing in the Absence of a Pharmacist. The availability of necessary medications for immediate therapeutic use during those hours when the institutional pharmacy is not open shall be met in the following manner:

1. An after-hour cabinet, which is a locked cabinet or other enclosure located outside of the pharmacy area containing a minimal supply of the most frequently required medication, may be utilized provided that only personnel specifically authorized by the institution in which the pharmacy is located may obtain access and it is sufficiently secure to deny access to unauthorized persons. After-hour cabinets shall only be used in the absence of a pharmacist. When medication is removed from the cabinet or enclosure, a valid practitioner's order authorizing the removal of the medication shall be placed in the cabinet or enclosure. A log shall be maintained within the cabinet or enclosure and authorized personnel removing medication shall indicate on the log the signature of the authorized personnel removing the medication, name of the medication removed, the strength (if applicable), the quantity removed and the time of removal. An automated dispensing and storage system may be used as an after hours cabinet. This use shall be in compliance with Section 1330.680.

2. Emergency kits containing those drugs that may be required to meet the immediate therapeutic needs of the patient, and that are not available from any other source in sufficient time to prevent risk of harm to patients by delay resulting from obtaining the drugs from the other source, may be utilized. Emergency kits shall be supplied and maintained under the supervision of a pharmacist. Drugs shall be removed from emergency kits only by authorized pharmacy personnel, persons authorized to administer medication pursuant to a valid order by a practitioner licensed to prescribe in Illinois. Emergency kits shall be sealed in some manner that will indicate when the kit has been opened. A label shall be affixed to the outside of the emergency kit indicating the beyond use date of the emergency kit. The beyond use date of the emergency kit shall be the earliest beyond use date of any drug contained in the kit. After an emergency kit has been used or upon discovery that the seal has been broken or upon the occurrence of the beyond use date, the kit shall be secured and returned to the pharmacy to be checked and/or restocked by the last authorized user. If the pharmacy is closed at such time, the kit shall be returned when it opens. An automated dispensing and storage system may be used as an emergency kit. This use shall be in compliance with Section 1330.680.

3. Whenever any drug is not available from night cabinets or emergency kits, and the drug is required to treat the immediate needs of a patient, the drug may be obtained from the pharmacy in sufficient quantity to meet the immediate need by an authorized nurse. When medication is removed from the pharmacy by an authorized nurse, a copy of the licensed practitioner's order authorizing the removal of the medication shall be conspicuously placed in the pharmacy with the container from which the drug was removed so that it will be found by a pharmacist and checked promptly. A form shall be available in the pharmacy upon which shall be recorded the signature of the authorized nurse who removed the medication, the name, strength (if applicable) and quantity of medication removed.

4. Drugs may be dispensed from the emergency room only by a practitioner licensed to prescribe and dispense, and only to patients treated in the institution. This shall occur only during hours in which outpatient institutional pharmacy services are not available. The quantity dispensed should be limited to no more than a 72 hour supply, except for antimicrobial drugs and unit of use packages (e.g., inhalers, ophthalmic, otics, etc.), to meet the immediate needs of the patient until pharmacy services are available. Drugs dispensed in this manner must meet all labeling requirements pertaining to community pharmacies as specified in Section 1330.500. There shall be written policies and procedures, approved by the medical staff, regarding the dispensing of drugs from the emergency room.

f) Pharmacies that compound and dispense sterile products shall comply with Section 1330.640.

g) Pharmacies that utilize automated dispensing and storage systems shall comply with Section 1330.680.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.540 Nuclear Pharmacy Services

a) Pharmacies that provide and/or offer for sale radiopharmaceuticals shall, in addition to any other requirements of the Act and this Part, comply with this Section.

b) Prior to issuance of a pharmacy license to practice as a nuclear pharmacy:

1. The pharmacy shall provide a copy of its Illinois Radioactive Material License issued by the Illinois Emergency Management Agency in accordance with the Radiation Protection Act [420 ILCS 40].

2. The Division shall conduct an on-site inspection of the facility.

c) The pharmacy shall have:

1. Space commensurate with the scope of services provided, but at least 300 square feet; and

2. A radioactive storage and product decay facility separate from and exclusive of the "hot" laboratory, compounding, dispensing, quality assurance and office areas.

d) Each nuclear pharmacy shall have the following equipment:

1. Laminar flow hood;

2. Fume hood – minimum of 30 inches in height, which shall be vented through a filter with a direct outlet to the outside;

3. Dose calibrator;

4. Refrigerator;

5. Class A prescription balance or a balance of greater sensitivity;

6. Single-channel or multi-channel gamma scintillation counter;

7. Microscope;

8. Low level, thin-window portable radiation survey meter;

9. Drawing station – lead glass and lead lined;

10. Syringe shields; and

11. Energy Compensated Geiger Mueller (GM) Probe or ion chamber.

e) Each nuclear pharmacy shall have the following reference texts available:

1. The current edition or revision of the United States Pharmacopoeia – Dispensing Information;

2. The current edition or revision of the United States Pharmacopoeia/National Formulary;

3. State and federal regulations governing the use of applicable radioactive material; and

4. U.S. Public Health Service Radiological Health Handbook.

f) Pharmacist-in-Charge

1. The pharmacist-in-charge for a nuclear pharmacy shall meet the requirements set forth in subsection (i). The responsibilities of the pharmacist-in-charge shall include:

A) Supervision of all the activities of all employees as they relate to the practice of nuclear pharmacy;

B) Establishment and supervision of the record keeping system for the purchase, acquisition, disposition, sale, delivery, possession, storage and safekeeping of radiopharmaceuticals; and

C) Establishment and maintenance of security provisions, which shall include the following:

i) There shall be no public access to the pharmacy hot lab/dispensing area; and

ii) In the absence of a nuclear pharmacist, all radiopharmaceuticals shall be locked and accessible only to a nuclear pharmacist or a pharmacy technician under direct supervision of the pharmacist; except, a licensed medical practitioner authorized to possess, use and administer radiopharmaceuticals may have access to radiopharmaceuticals in the absence of a nuclear pharmacist.

2. Within 30 days after the change of a pharmacist-in-charge, the Division shall be notified in writing by the departing pharmacist-in-charge.

g) Dispensing Radiopharmaceuticals

1. A radiopharmaceutical shall be dispensed only upon a prescription order from a licensed medical practitioner authorized to possess, use and administer radiopharmaceuticals.

2. No radiopharmaceutical shall be dispensed in the absence of a nuclear pharmacist except, a licensed medical practitioner authorized to possess, use, dispense and administer radiopharmaceuticals may dispense in the absence of a nuclear pharmacist.

3. The amount of radioactivity in a preparation for dispensing shall be determined by radiometric methods for each individual preparation at the time of preparation, and calibrated for the anticipated time of administration.

h) Labeling Requirements

1. In addition to the labeling requirements of pharmaceuticals, as stipulated in the Act, the immediate outer container of a radioactive drug, diagnostic agent or device to be dispensed shall also be labeled to include:

A) The standard radiation symbol;

B) The words "Caution − Radioactive Material";

C) The name of the radionuclide;

D) The name of the chemical form;

E) The amount of radioactive material contained, in milliCuries or microCuries, in the container contents at the time of calibration;

F) If the container contents are in liquid form, the volume in milliliters;

G) The requested calibration time for the amount of radioactivity contained;

H) The prescription number; and

I) The name or initials of the nuclear pharmacist filling the prescription.

2. The immediate container shall be labeled with:

A) The standard radiation symbol;

B) The words "Caution − Radioactive Material";

C) The name and address of the pharmacy;

D) The prescription number;

E) Name of radionuclide; and

F) Name of chemical form.

i) Nuclear Pharmacist Requirements. A nuclear pharmacist who serves as the pharmacist-in-charge of a nuclear pharmacy and all other pharmacists employed in the pharmacy shall provide evidence to the Division of the following:

1. Licensure as a pharmacist in the State of Illinois; and

2. That he/she is named as an authorized user, or works under the supervision of a pharmacist who is named as an authorized user, on a commercial nuclear pharmacy license issued by the Illinois Emergency Management Agency (IEMA) or, when a nuclear pharmacist who works under a broad medical license at a university or research hospital has been approved as a user by that institution's radiation safety committee in accordance with conditions of the license issued by IEMA.

j) Nothing in this Part shall prohibit the operation of a nuclear medicine laboratory or any other department that is operated under the direct supervision of a licensed medical practitioner authorized to possess, use and administer radiopharmaceuticals.

68 Ill. Adm. Code 1330.550 Nonresident Pharmacies

a) The Division shall require and provide for an annual nonresident special pharmacy registration for all pharmacies located outside of this State that dispense medications for Illinois residents and mail, ship or deliver prescription medications into this State, including home pharmacies of remote pharmacies located in Illinois that are located outside of Illinois. Unless there is a direct conflict between Illinois pharmacy law and the pharmacy laws of the state in which the nonresident pharmacy is located, nonresident pharmacies shall abide by all Illinois laws and rules when filling prescriptions for Illinois residents, except that pharmacists employed at those pharmacies shall not be required to be licensed in Illinois except as otherwise provided in this Part. Beginning January 1, 2026, pharmacists-in-charge of nonresident pharmacies shall be licensed in Illinois. Nonresident special pharmacy registration shall be granted by the Division upon the disclosure and certification by a pharmacy:

1. That it is licensed in the state in which the dispensing facility is located and from which the drugs are dispensed;

2. Of the location, names and titles of all principal corporate officers and all pharmacists who are dispensing drugs to residents of this State;

3. That it complies with all lawful directions and requests for information from the board of pharmacy of each state in which it is licensed or registered, except that it shall respond directly to all communications from the Division concerning emergency circumstances arising from the dispensing of drugs to residents of this State;

4. That it maintains its records of drugs dispensed to residents of this State so that the records are readily retrievable from the records of other drugs dispensed;

5. That it cooperates with the Division in providing information to the board of pharmacy of the state in which it is licensed concerning matters related to the dispensing of drugs to residents of this State; and

6. That, during its regular hours of operation, but not less than 6 days per week for a minimum of 40 hours per week, a toll-free telephone service is provided to facilitate communication between patients in this State and a pharmacist retained by the nonresident pharmacy who has access to the patients' records. The toll-free number must be disclosed on the label affixed to each container of drugs dispensed to residents of this State.

b) To obtain nonresident special pharmacy registration in Illinois, an applicant shall file an application with the Division, on forms provided by the Division, that includes:

1. Disclosure and certification of information required in subsection (a); and

2. The fee required by Section 1330.20.

c) Nonresident special pharmacy registration shall expire on March 31 of each even-numbered year and may be renewed during the 60 days preceding the expiration date by paying the fee required by Section 1330.20.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.560 Remote Prescription/Medication Order Processing

a) Any pharmacy may provide remote prescription/medication order processing services to any other pharmacy as provided in Section 25.10 of the Act and the following further requirements:

1. Any nonresident pharmacy remote prescription/medication order processing services shall first be registered in its resident state and registered in this State.

2. There shall be a secure, HIPAA compliant, electronic communication system that shall include but not be limited to computer, telephone and facsimile connections.

3. The communication system shall give remote access to all relevant patient information to allow the pharmacist of the remote pharmacy to perform remote medication order processing that shall include all laboratory results and every patient's or resident's medication profile, if appropriate.

4. The secure electronic communication system shall be maintained on a daily basis. If this system malfunctions, the remote processing pharmacy shall cease operations related to the institution affected.

5. Nothing in this Section shall relieve the pharmacist-in-charge of dispensing pharmacies of compliance with Sections 1330.520 and 1330.530.

b) Recordkeeping Requirements

1. A policy and procedure manual shall be maintained by the remote prescription/medication order processing pharmacy pertaining to the pharmacy's operations. The manual shall:

A) Be accessible to the remote prescription/medication order processing pharmacy staff and the staff at the dispensing pharmacy;

B) Be available for inspection by the Division;

C) Outline the responsibilities of the remote prescription/medication order processing pharmacy staff and the staff at the dispensing pharmacy;

D) Include a current list of the name, address, telephone number and license number of each pharmacist involved in remote prescription/medication order processing;

E) Include policies and procedures for:

i) Protecting the confidentiality and integrity of patient information;

ii) Ensuring that pharmacists performing remote prescription /medication order processing have access to appropriate drug information resources;

iii) Ensuring that medical and nursing staff when appropriate, understand how to contact a pharmacist;

iv) Maintaining records to identify the name, initials or identification code of each pharmacist who performs any processing function;

v) Complying with federal and State laws and regulations;

vi) Operating or participating in a continuous quality improvement program for pharmacy services designed to objectively and systematically monitor and evaluate the quality and appropriateness of patient care, pursue opportunities to improve patient care, and resolve identified problems;

vii) Reviewing the written policies and procedures and documenting the review annually.

2. Every pharmacist providing remote prescription/medication order processing services shall record on the order, in the computer system, or on another appropriate, unalterable, uniformly maintained and readily retrievable record the following information for every medication order or prescription processed on behalf of a dispensing pharmacy:

A) The name, initials or other unique identifier of the pharmacist who verifies the medication order or prescription;

B) The name of the patient or resident;

C) The name, dose, dosage form, route of administration and dosing frequency of the drug;

D) The date and time of verification;

E) The name of the prescribing/ordering practitioner;

F) Any other information that is required by the dispensing pharmacy being served for use in its own records.

3. The records for medications entered at the remote prescription/medication order processing pharmacy must be distinguishable and readily retrievable from those entered at the institution being served.

4. The pharmacist-in-charge of the remote prescription/medication order processing pharmacy shall maintain and have access to the following records for a minimum of 5 years:

A) Records of medication orders processed;

B) Records of the electronic communication system maintenance.

5. The remote prescription/medication order processing pharmacy shall maintain a record containing the names and license numbers of all pharmacies to which they are providing services and the number of hours per day the services are being provided.

c) All pharmacists providing remote prescription/medication order processing at a remote pharmacy shall be licensed in Illinois. However, when pharmacists are providing remote prescription/medication order processing for a community pharmacy licensed in Illinois from a community pharmacy licensed in Illinois but located out-of-state, only the pharmacist-in-charge of the remote pharmacy must be licensed in Illinois.

d) Only licensed pharmacists at the pharmacy providing remote pharmacy services shall conduct the drug utilization evaluation or review and validation of any order processed within the remote pharmacy, except as provided for in subsection (c).

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.570 Outpatient Clinic Pharmacy Services

a) Outpatient Clinic Pharmacies are defined as those pharmacies not located in or servicing patients of a facility licensed as defined in Section 1330.520(a), whether located in a health care facility or another location that provides outpatient treatment or care.

1. An outpatient is an ambulatory patient who comes to an outpatient clinic to receive health care services related to the objectives of the outpatient clinic and departs within 24 hours.

2. An outpatient drug order is defined as an order written by a medical practitioner engaged in the practice of that clinic and ordered for services received in that clinic in conjunction with health care services related to the objectives of that clinic.

b) Contracting Services. Outpatient clinic pharmacies may contract with outpatient clinics to provide pharmacy services. The contract must define the scope of pharmacy services to be provided and delineate the specific duties and responsibilities of each party.

c) Investigational new drugs, authorized by the U.S. Food and Drug Administration, shall be dispensed pursuant to a valid drug order of the principal physician-investigator or the principal physician-investigator's authorized clinician. All investigational drugs shall be stored in and dispensed from the pharmacy and shall be identified with the following information:

1. Name of drug and strength (if applicable);

2. Beyond use date;

3. Reference code to identify source and lot number;

4. A label indicating "For Investigational Use Only"; and

5. Name and location of the patient. Those institutions or facilities utilizing a unit-dose and medication cart system may identify the name of the patient and the patient's location on the outside of the bin of the medication cart, when those carts are filled by the pharmacy.

d) The pharmacist-in-charge of the outpatient clinic pharmacy or their pharmacist designee may, in the best interest of the patients served, establish one or more lists of the kind and quantity of drugs to be kept in one or more automatic dispensing machines at all times within the outpatient clinic. A copy of the list of items stored in automatic dispensing machines must be kept by the pharmacist-in-charge or his/her pharmacist designee.

e) Staffing of the Pharmacy

1. Each outpatient clinic pharmacy shall be directed by a pharmacist-in-charge, who is knowledgeable in and thoroughly familiar with the specialized functions of outpatient clinic pharmacy.

2. The pharmacist-in-charge shall ensure that all staff shall be adequately trained. The pharmacist-in-charge shall develop and implement written policies and procedures to specify the duties to be performed by each employee.

3. All functions and activities of pharmacy technicians shall be personally and directly supervised by an adequate number of licensed pharmacists to ensure that all such functions and activities are performed competently.

4. The pharmacist-in-charge shall meet the requirements of Section 1330.660 in addition to the following:

A) The pharmacist-in-charge of an outpatient clinic pharmacy shall be assisted by a sufficient number of additional pharmacists and personnel, as may be required to operate the pharmacy competently, safely, and to meet the needs of the patients of the clinic facility.

B) Establishment and supervision of the method and manner for storage, dispensing and safekeeping of pharmaceuticals in all areas of the outpatient clinic, including maintenance of security provisions to be used when the pharmacy is closed.

C) The development and implementation of a procedure to be utilized in the event of a drug recall that can be readily activated to assure that all drugs included on the recall are returned to the pharmacy for proper disposition.

f) Recordkeeping Requirements

1. Every drug order filled shall contain the name, initials or other unique identifier of the pharmacist (and pharmacy technician if one is used) who fills or refills the drug order, or the name, initials or other unique identifier may be recorded on another appropriate, uniformly maintained and readily retrievable record that indicates, at least, the following information:

A) The name and dosage form of the drug;

B) The date of filling or refilling; and

C) The quantity dispensed.

2. The pharmacist-in-charge shall maintain or have access to the following records for at least 5 years or as otherwise required by law:

A) Records of drug orders;

B) Records of packaging, bulk compounding or manufacturing; and

C) Records of actions taken pursuant to drug recalls.

g) Labeling Requirements

1. All medication repackaged by the pharmacy for future use inside the institution or facility and not intended for immediate dispensing to a specific patient shall be identified as follows:

A) Single dose or multi-dose drugs, except sterile solutions to which a drug has been added, shall be labeled with:

i) Brand and/or generic name;

ii) Strength (if applicable);

iii) Beyond use date; and

iv) Reference code to identify source and lot number.

B) Sterile solutions to which drugs have been added shall contain on the outer label:

i) Name, concentration and volume of the base sterile solution;

ii) Name and strength of drugs added;

iii) Beyond use date and time of the admixture; and

iv) Reference code to identify source and lot number of drugs added.

2. All medication prepared by the pharmacy for immediate dispensing to a specific patient or resident in the institution or facility shall be identified as follows:

A) Single dose or multi-dose drugs, except parenteral solutions to which a drug has been added, shall be identified with:

i) Brand and/or generic name; and

ii) Strength (if applicable).

B) Sterile solutions to which drugs have been added shall be identified with:

i) Name, concentration and volume of the base sterile solution;

ii) Name and strength of drugs added; and

iii) Beyond use date and time of the admixture.

3. All medication dispensed to a specific patient in the institution shall be dispensed in a container identified with the name of the patient and the patient's location. Those outpatient clinics utilizing a unit-dose and medication cart system may identify the name of the patient and the patient's location on the outside of the bin of the medication cart, when those carts are filled by the pharmacy.

h) Storage. Pharmacies licensed under this Part shall comply with Sections 1330.600, 1330.610, 1330.630, and 1330.680.

History

• Source: Added at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.600 Security Requirements

Whenever the pharmacy (prescription area) is not occupied by a registrant, the pharmacy (prescription area) must be secured and inaccessible to non-licensed persons (employees and public). This may be accomplished by measures such as walling off, locking doors or electronic security equipment, as approved by the Division.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.610 Pharmacy Structural/Equipment Standards

All pharmacies must comply with the following provisions:

a) Notification shall be submitted to the Division that an existing pharmacy will be remodeled. Approval is required prior to initiation of any remodel.

b) Other than on-site institutional pharmacies, all dispensing, and drug storage areas of the pharmacy must be contiguous and have a connecting door for access between the pharmacy and drug storage area.

c) The pharmacy area and all store rooms shall be well-lighted and properly ventilated.

d) Refrigerators shall be for the exclusive use of prescription drugs. No personal or food items shall be stored in the refrigerator. Refrigeration shall be capable of maintaining temperature within a range compatible with the proper storage of drugs requiring refrigeration or freezing.

e) The pharmacy area shall not be used for storage of merchandise that interferes with the practice of pharmacy.

f) Suitable current reference sources, either in book or electronic data form (available in the pharmacy or on-line), which shall include Facts and Comparisons www.factsandcomparisons.com or other suitable references determined by the Division to be pertinent to the practice carried on in the licensed pharmacy.

g) A telephone shall be immediately accessible in the pharmacy area.

h) These requirements are in addition to any other requirements found in this Part.

i) At a minimum, the equipment and references listed in Section 1330.640 must be maintained at all dispensing pharmacies.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.620 Electronic Equipment Requirements for Remote Pharmacies

All remote pharmacies operating in Illinois shall meet the following equipment requirements, except that subsections (a) through (d) shall not apply to RAPS:

a) The pharmacy shall have a computer, scanner, fax capability and printer.

b) All prescriptions shall be scanned and sequentially numbered, and the prescription labels shall be produced on site and viewed at the home pharmacy.

c) Scanned prescriptions shall be displayable on a computer terminal at both the remote pharmacy and home pharmacy.

d) All patient's demographic and prescription information shall be viewable at both the remote and home pharmacy in real time.

e) Prescriptions dispensed at the remote pharmacy site must be distinguishable from those dispensed at the home pharmacy.

f) In all cases in which electronic data processing equipment is used, the original prescription (either hard copy or an exact, unalterable image) shall be retained on file according to law to assure access to the information contained on the prescription in the event of a computer malfunction.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.630 Sanitary Standards

a) All pharmacies and equipment in the pharmacy shall be maintained in a clean condition and in good repair.

b) All waste material shall be immediately deposited in an appropriate waste receptacle.

c) There shall be a sink with hot and cold running water for the purposes of hand washing and drug dispensing. No sink shall be required for pharmacies that do not maintain drug inventory.

d) The pharmacy area shall be dry and free from vermin.

e) Food and/or beverages shall only be placed in a designated area away from dispensing activities.

f) Personal items shall not be placed in an area where they will interfere with dispensing activities.

68 Ill. Adm. Code 1330.640 Pharmaceutical Compounding Standards

No person shall compound, or sell or offer for sale, or cause to be compounded, sold or offered for sale any medicine or preparation under or by a name recognized in the United States Pharmacopoeia National Formulary, for internal or external use, which differs from the standard of strength, quality or purity as determined by the test laid down in the United States Pharmacopoeia National Formulary official at the time of such compounding, sale or offering for sale. (Section 25 of the Act) All pharmaceutical compounding standards, both sterile and nonsterile, shall be governed by the official USP-NF (USP 47-NF 42), as set forth in the 2024 edition of United States Pharmacopoeia (USP), 47th Revision and the National Formulary, 42nd Edition, Compounding Compendium, with the exception of USP Chapter <800> as it pertains to the handling of hazardous drugs in health care settings..

a) A pharmacy may only dispense compounded drugs pursuant to a valid patient-specific prescription, except as provided in this Section.

b) "Office use" means the administration of a non-patient specific compounded drug to a patient by a practitioner in the practitioner's office or by the practitioner in a health care facility or treatment setting. "Office use" does not include a pharmacy's delivery of a compounded drug to a prescribing practitioner's office pursuant to a valid patient-specific prescription.

c) Sterile compounding for office use is prohibited unless the pharmacy is in full compliance with 21 USC 353b, including becoming registered as an outsourcing facility and licensed as a wholesale drug distributor pursuant to the Wholesale Drug Distribution Licensing Act [225 ILCS 120]. However, a sterile compounded drug may be delivered to the prescribing practitioner's office for administration pursuant to a valid patient-specific prescription.

d) A pharmacist may dispense and deliver a reasonable quantity of a nonsterile compounded drug to a practitioner for office use by the practitioner in accordance with this Section, provided:

1. The quantity of compounded drug does not exceed the amount a practitioner anticipates may be used in the practitioner's office before the expiration of the beyond use date of the drug;

2. The quantity of compounded drug is reasonable considering the intended use of the compounded drug and the nature of the practitioner's practice;

3. The quantity of compounded drug for any practitioner, and all practitioners as a whole, is not greater than an amount the pharmacy is capable of compounding in compliance with pharmaceutical standards for identity, strength, quality and purity of the compounded drug that are consistent with United States Pharmacopoeia guidelines;

4. The pharmacy maintains readily retrievable records of all compounded drugs ordered by practitioners for office use. The records must be maintained for a minimum of five years and shall include:

A) The name, address and phone number of the practitioner ordering the compounded drug for office use and the date of the order;

B) The name, strength, quantity and dosage form of the compounded drug provided, including the number of containers and quantity in each;

C) The date the drug was compounded;

D) The date the compounded drug was provided to the practitioner; and

E) The lot number and beyond-use date.

5. The pharmacy affixes a label to any compounded drug that is provided for office use. The label shall include:

A) The name, address and phone number of the compounding pharmacy;

B) The name, strength and dosage form of the compounded drug and a list of active ingredients and strengths. If the number of active ingredients would prohibit proper labeling, then the pharmacist shall provide to the practitioner a complete list of the active ingredients and strengths (including those on the label);

C) The pharmacy's lot number and beyond-use date;

D) The quantity or amount in the container;

E) The appropriate ancillary instructions, such as storage instructions, cautionary statements, or hazardous drug warning labels when appropriate; and

F) The statement "For Office Use Only – Not for Resale".

e) All pharmacies that compound drugs must maintain, at a minimum, the following standards and equipment:

1. A separate storage area for materials used in compounding;

2. Scales or measuring devices with sufficient accuracy for the products to be compounded;

3. An area of the pharmacy used exclusively for compounding;

4. A logbook or record keeping system to track each compounded drug, which must include the lot number, expiration date of components used, and beyond-use date of compounded drug. This applies to each nonsterile compounded drug and each sterile compounded drug with a beyond-use date greater than 24 hours;

5. The current edition of the USP Compounding Compendium. This publication may be in electronic format and/or available via the internet;

6. If engaged in veterinary drug compounding, "Plumb's Veterinary Drug Handbook" or any other similar publication approved by the Division;

7. Consumable materials, as appropriate to the pharmacy services provided at that specific pharmacy, including but not limited to: filter paper, powder papers, empty capsules, ointment jars, bottles, vials, safety closures, powder boxes, labels and distilled water;

8. Drug Distribution and Control

A) Patient Profile or Medication Record System. A pharmacy generated patient profile or medication record system shall be maintained, in addition to the prescription file. The patient profile or medication record system shall contain, at a minimum:

i) Patient's name;

ii) Date of birth or age;

iii) Gender;

iv) Compounded sterile drugs dispensed;

v) Date dispensed, if off-site;

vi) Date compounded;

vii) Drug content and quantity;

viii) Patient directions, if drug is administered off-site;

ix) Other drugs or supplements the patient is receiving, if provided by the patient or the patient's agent; and

x) Known drug sensitivities and allergies to drugs and foods.

B) Labeling. Each compounded drug dispensed to patients shall be labeled with the following information, using a permanent label:

i) Name, address and telephone number of the licensed pharmacy, if not used within the facility;

ii) Date dispensed and identifying number, if used off-site;

iii) Patient's name and room number, if applicable;

iv) Name of each drug component, strength, amount and dosage form;

v) Directions for use and/or infusion rate, if used off site;

vi) Prescriber's name, if used off-site;

vii) Required controlled substances transfer warnings, when applicable;

viii) Beyond-use date, and time if appropriate;

ix) If used off-site, identity of compounding and dispensing pharmacist or other authorized individual; and

x) Auxiliary label with storage requirements, if applicable.

C) In addition to labeling requirements on the Pharmacy Practice Act [225 ILCS 85] and this Part, compounded drugs dispensed to patients shall have on the label or an auxiliary label the following: "This prescription was specifically compounded in our pharmacy for you at the direction of your prescriber."

D) The pharmacist-in-charge shall ensure that records are maintained for five years, are readily retrievable and in a format that provides enforcement agents an accurate and comprehensive method of monitoring distribution via an audit trail. The records shall include at least the following information:

i) Purchase records; and

ii) Patient profile or medication;

9. Delivery Service. The pharmacist-in-charge shall ensure the environmental control of all preparations shipped or delivered off-site. Therefore, any compounded pharmaceutical must be shipped or delivered to a patient off-site in temperature controlled (as defined by USP Standards) delivery containers; and

10. Sales of compounded drugs to other pharmacies not under common ownership, or to clinics, hospitals or manufacturers, other than as provided in subsection (d), are not allowed, except for sales provided by pharmacies contracted to provide centralized prescription filling services pursuant to Section 25.5 of the Act, including compounding in anticipation of receiving a prescription or order based on routine, readily observed dispensing patterns.

f) For sterile compounding, a pharmacy must comply with the following additional requirements:

1. The following current resource materials and texts shall be maintained in the pharmacy and may be in electronic format:

A) Copies of the Act and this Part, the Illinois Controlled Substances Act [720 ILCS 570], 77 Ill. Adm. Code 3100, 21 CFR (Food and Drugs), and the Hypodermic Syringes and Needles Act [720 ILCS 635];

B) One compatibility reference, such as:

i) ASHP's Handbook on Injectable Drugs;

ii) King's Guide to Parenteral Admixtures; or

iii) Any other Division-approved publication; and

C) A file or reference on extended (more than 24 hours) stability data given to finished preparations.

2. Staffing. A pharmacist shall be accessible at all times to enable each licensed facility to respond to patients' and health professionals' questions and needs. A 24-hour telephone number shall be included on the prescription label of compounded drugs and medication infusion devices if used off-site.

3. Emergency Medications. Pharmacies that dispense compounded sterile drugs to patients in facilities off-site or for administration in the patient's residence shall stock supplies and medications appropriate for treatment of allergic or other common adverse effects, to be dispensed upon the prescription or order of an authorized prescriber.

g) Notwithstanding any other provision of this Section, a pharmacy may compound a reasonable quantity of sterile and nonsterile drug products for office use by a veterinarian.

h) It shall be the ongoing responsibility of the pharmacist-in-charge to ensure that all pharmacists, student pharmacists, registered certified pharmacy technicians, and registered pharmacy technicians who participate in compounding activities are adequately trained for the type of compounding in which they participate. Documentation of this training shall be maintained by the pharmacy at all times.

i) Any pharmacy that, after initial licensure, chooses to add sterile compounding to the services it provides must be inspected by, and the compounding area must be approved by, the Department. It shall be the responsibility of the pharmacist-in-charge to notify the Department and arrange for the inspection.

j) For the purposes of this Section, "off-site" for all pharmacies, other than an onsite institutional pharmacy, means outside the licensed premises of a pharmacy. "Off-site" for an onsite institutional pharmacy means outside the institution within which the pharmacy is located.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.650 Pharmacy Computer Regulations

a) When electronic data processing equipment is employed by a pharmacy, input of drug information shall be performed by a pharmacist, or by a pharmacy technician or a certified pharmacy technician under the supervision of a pharmacist. When orders are entered by pharmacy technicians or certified pharmacy technicians, the supervising pharmacist must verify the accuracy of the information entered. The identity of the supervising pharmacist and the technician shall be maintained in the prescription record.

b) Electronic data processing equipment or media, when used to store or process prescription information, shall meet the following requirements:

1. Must guarantee the confidentiality of the information contained in the database.

2. Must require that the transmission of electronic prescriptions from prescriber to pharmacist not be compromised by interventions, control or manipulation of the prescription by any other party.

68 Ill. Adm. Code 1330.660 Pharmacist-in-Charge

a) No pharmacy shall be granted a license without a pharmacist being designated on the pharmacy license as pharmacist-in-charge.

b) A pharmacy shall have one pharmacist-in-charge who shall be routinely and actively involved in the operation of the pharmacy.

c) A pharmacist may be the pharmacist-in-charge for more than one pharmacy; however, the pharmacist-in-charge must work an average of at least 8 hours per week at each location where the pharmacist is the pharmacist-in-charge. If the pharmacist-in-charge is not involved in verifying or dispensing prescriptions, the hours worked in the pharmacy must be documented. If a pharmacist-in-charge is on a leave of more than 90 days, a new pharmacist-in-charge must be designated.

d) The responsibilities of the pharmacist-in-charge shall include:

1. Supervision of all activities of all employees as they relate to the practice of pharmacy;

2. Establishment and supervision of the method and manner for storage and safekeeping of pharmaceuticals, including maintenance of security provisions to be used when the pharmacy is closed (see Section 1330.600); and

3. Establishment and supervision of the recordkeeping system for the purchase, sale, delivery, possession, storage and safekeeping of drugs.

e) The operations of the pharmacy and the establishment and maintenance of security provisions are the dual responsibility of the pharmacist-in-charge and the owner of the pharmacy.

f) Within 30 days after a change of a pharmacist-in-charge, the Division shall be notified in writing by the departing pharmacist-in-charge and the pharmacy license holder.

g) In addition to notifying the Division within 30 days, the incoming pharmacist-in-charge shall, on the effective date of the change, inventory the following controlled substances:

1. All Schedule II drugs, as defined in the Illinois Controlled Substances Act, by actual physical count; and

2. All other scheduled drugs, as defined in the Illinois Controlled Substances Act, by estimated count.

3. The pharmacy license holder is equally responsible for ensuring that inventory is completed.

h) The inventory described in subsection (g) shall constitute, for the purpose of this Section, the closing inventory of the departing pharmacist-in-charge and the initial inventory of the incoming pharmacist-in-charge. This inventory record shall be preserved in the pharmacy for a period of 5 years.

i) Failure on the part of a pharmacy to provide notification of a change in pharmacist-in-charge required in subsection (f) shall be grounds for denying an application or renewal application for a pharmacy license or for disciplinary action against a pharmacy.

j) In the event the departing pharmacist-in-charge refuses to complete the inventory as provided for in subsection (g), or that pharmacist-in-charge is incapacitated or deceased, the initial inventory for the incoming pharmacist-in-charge shall be the inventory as completed by the incoming pharmacist-in-charge. The incoming pharmacist-in-charge will not be responsible for any discrepancy that may exist in the inventory prior to his or her initial inventory.

k) When the accuracy, relevance or completeness of any submitted documentation is questioned by the Division, because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the registrant will be required to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information given, or clear up any discrepancies or conflict of information.

l) Records shall be retained as provided for in Section 18 of the Act. Invoices for all legend drugs and controlled substances shall be maintained for a period of 5 years either on site or at a central location where records are readily retrievable. Invoices shall be maintained on site for at least one year from the date of the invoice.

m) Whenever a pharmacy intends on changing or adding to the type of pharmacy services it offers, as listed in Sections 1330.500, 1330.510, 1330.520, 1330.530, 1330.540, 1330.560 and 1330.640, it shall notify the Division no less than 30 days prior to the change or addition.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.670 Compounded Sterile Preparation Standards (repealed)

History

• Source: Repealed at 42 Ill. Reg. 20022, effective November 9, 2018

68 Ill. Adm. Code 1330.680 Automated Dispensing and Storage Systems

a) This Section sets forth standards for pharmacies whose practice includes the use of automated dispensing and storage systems. Automated dispensing and storage systems shall not be used in nuclear pharmacies.

b) Automated Dispensing and Storage Systems

1. Documentation as to type of equipment, serial numbers, content, policies and procedures, and locations shall be maintained on-site in the pharmacy for review by the Division. Documentation shall include, but not be limited to:

A) Name and address of the pharmacy or facility where the automated dispensing and storage system is operational;

B) Manufacturer's name and model;

C) Quality assurance policy and procedures to determine continued appropriate use and performance of the automated device; and

D) Policies and procedures for system operation, safety, security, accuracy, patient confidentiality, access, controlled substances, data retention or archival, definitions, downtime procedures, emergency or first dose procedures, inspection, installation requirements, maintenance, medication security, quality assurance, medication inventory, staff education and training, system set-up and malfunction.

2. Automated dispensing and storage systems shall be used only in settings that ensure medication orders and prescriptions are reviewed by a pharmacist in accordance with established policies and procedures and good pharmacy practice. This provision shall not apply when used as an after-hours cabinet or emergency kit as provided in Section 1330.530(e).

3. Automated dispensing and storage systems shall have adequate security systems and procedures, evidenced by written pharmacy policies and procedures, to:

A) Prevent unauthorized access or use;

B) Comply with any applicable federal and State regulations; and

C) Maintain patient confidentiality.

4. Records and/or electronic data kept by automated dispensing and storage systems shall meet the following requirements:

A) All events involving access to the contents of the automated dispensing and storage systems must be recorded electronically;

B) Records must be maintained by the pharmacy and must be readily available to the Division. The records shall include:

i) Identity of system accessed;

ii) Identification of the individual accessing the system;

iii) Type of transaction;

iv) Name, strength, dosage form and quantity of the drug accessed;

v) Name of the patient for whom the drug was ordered;

vi) Identification of the registrants stocking or restocking and the pharmacist checking for the accuracy of the medications to be stocked or restocked in the automated dispensing and storage system; and

vii) Such additional information as the pharmacist-in-charge may deem necessary.

5. The stocking or restocking of all medications in the automated dispensing and storage systems shall be accomplished by registrants under the Act or, alternatively, the pharmacist-in-charge may designate a facility's appropriately trained facility employee that is licensed pursuant to the Nurse Practice Act [225 ILCS 65] or Physician Assistant Practice Act of 1987 [225 ILCS 95] to perform the stocking or restocking. A pharmacist-in-charge who delegates stocking/restocking in this manner shall remain responsible for ensuring that the automated dispensing and storage system is stocked/restocked accurately and in accordance with established, written pharmacy policies and procedures.

6. All medications stored in the automated dispensing and storage systems shall be packaged as a unit of use for single patient use (e.g., unit dose tab/cap, tube of ointment, inhaler, etc.) and labeled as specified in this subsection (b)(6):

A) Sterile solutions to which a drug or diluent has been added, or that are not in their original manufacturer's packaging, shall contain the following information on the outer label:

i) Name, concentration and volume of the base sterile solution;

ii) Name and strength of drugs or diluent added;

iii) Date and beyond use date of the admixture. The beyond use date, unless otherwise specified in the individual compendia monograph, shall be no later than the beyond use date on the manufacturer's container or one year from the date the drug is repackaged; and

iv) Reference code to identify source and lot number of drugs or diluent added.

B) Non-parenterals repackaged for future use shall be identified with the following information:

i) Brand and/or generic name;

ii) Strength (if applicable);

iii) Beyond use date. Unless otherwise specified in the individual monograph, the beyond use date shall be no later than the beyond use date on the manufacturer's container or one year from the date the drug is repackaged; and

iv) Reference code to identify source and lot number.

C) Exceptions to the "unit of use" requirements in this subsection (b)(6) are as follows:

i) Injectable medications stored in their original multi-dose vial (e.g., insulin, heparin) when the medication may be withdrawn into a syringe or other delivery device for single patient use;

ii) Over-the-counter (OTC) products stored in their original multi-dose container (e.g., antacids, analgesics) when the medication may be withdrawn and placed into an appropriate container for single patient use; or

iii) Topical preserved surgical facility medications, such as eyedrops, eardrops, creams and ointments, when properly stored in their original multidose containers, applied and handled per Centers for Disease Control and Prevention and Institute for Safe Medication Practices infection control guidelines and best practices, which include mandatory training and regular competency and monitoring protocols, provided multidose and in compliance with manufacturer labeling, and used, then discarded, within the manufacturer's expiration date or facility's "beyond use" date.

D) The pharmacy providing services to the University of Illinois College of Veterinary Medicine shall be exempt from the requirement that all medications stored in the automated dispensing and storage systems be packaged as a unit for single patient use. This exemption is solely for dispensing medications to animals.

7. For medication removed from the system for on-site patient administration, the system must document the following information:

A) Name of the patient or resident;

B) Patient's or resident's unique and permanent identifier, such as admissions number or medical records number;

C) Date and time medication was removed from the system;

D) Name, initials or other unique identifier of the person removing the drug; and

E) Name, strength and dosage form of the drug or description of the medical device removed. The documentation may be on paper, via electronic media or via any other media or mechanisms as set forth by the Act or this Part or as approved by the Division.

8. The automated dispensing and storage systems shall provide a mechanism for securing and accounting for medications once removed from and subsequently returned to the automated dispensing and storage systems (e.g., return bin). No medication or device shall be returned directly to the system for immediate reissue or reuse by a non-registrant under the Act. Medication or devices once removed shall not be reused or reissued except for:

A) Medical devices that can be properly sanitized prior to reuse or reissue; and

B) Medication that is dispensed and stored under conditions defined and supervised by the pharmacist and are unopened in sealed, intact and unaltered containers that meet the standards for light, moisture and air permeation as defined by the current USP/NF, or by the USP Conventions, Inc.

9. The automated dispensing and storage systems shall provide a mechanism for securing and accounting for wasted medications or discarded medications.

10. The quality assurance documentation for the use and performance of the automated dispensing and storage systems shall include at least the following:

A) Safety monitors (e.g., wrong medications removed and administered to patient);

B) Accuracy monitors (e.g., filling errors, wrong medications removed); and

C) Security monitors (e.g., unauthorized access, system security breaches, controlled substance audits).

11. Errors in the use or performance of the automated dispensing and storage systems resulting in patient hospitalization or death shall be reported to the Division by the pharmacist-in-charge within 30 days after acquiring knowledge of the incident.

12. Policy and procedures for the use of the automated dispensing and storage systems shall include a requirement for pharmacist review of the prescription or medication order prior to the system profiling and/or removal of any medication from the system for immediate patient administration. This does not apply to the following situations:

A) The system is being used as an after-hours cabinet for medication dispensing in the absence of a pharmacist (see Section 1330.530(e)(1));

B) The system is being used in place of an emergency kit (see Section 1330.530(e)(2));

C) The system is being used to provide access to medication required to treat the immediate needs of a patient (see Section 1330.530(e)(3)). A sufficient quantity to meet the immediate needs of the patient may be removed until a pharmacist is on duty and available to review the prescription or medication order. A pharmacist shall check the orders promptly once on duty (e.g., floor stock system, emergency department, surgery, ambulatory care or same day surgery, observation unit, etc.).

13. Policies and procedures for the use of the automated dispensing and storage systems shall include the following:

A) List of medications to be stored in each system;

B) List of medications qualifying for emergency or first dose removal without pharmacist prior review of the prescription or medication order.

14. The pharmacist-in-charge shall maintain or have access to all records or documentation specified in this Section for 5 years or as otherwise required by law.

15. A copy of all pharmacy policies and procedures related to the use of an automated dispensing and storage system shall be maintained at all locations where the system is being used.

c) Duties and Responsibilities of the Pharmacist-in-Charge

1. The pharmacist-in-charge shall be responsible for:

A) Assuring that the automated dispensing and storage system is in good working order and accurately provides the correct strength, dosage form and quantity of the drug prescribed while maintaining appropriate recordkeeping and security safeguards;

B) Establishment of a quality assurance program prior to implementation of an automated dispensing and storage system and the supervision of an ongoing quality assurance program that monitors appropriate use and performance of the automated dispensing and storage system, evidenced by written policies and procedures developed by the pharmacy;

C) Providing the Division with written notice 30 days prior to the installation of, or at the time of removal of, an automated storage and dispensing system. The notice must include, but is not limited to:

i) The name and address of the pharmacy;

ii) The address of the location of the automated dispensing and storage system, if different from the address of the pharmacy;

iii) The automated dispensing and storage system's manufacturer and model;

iv) The pharmacist-in-charge; and

v) A written description of how the facility intends to use the automated storage and dispensing system;

D) Determining and monitoring access to and the limits on access (e.g., security levels) to the automated storage and dispensing system. Access shall be defined by policies and procedures of the pharmacy and shall comply with any applicable State and federal regulations.

2. Additional responsibilities of the pharmacist-in-charge or pharmacist designated by the pharmacist-in-charge shall include:

A) Authorizing the assigning of access to, discontinuing access to, or changing access to the system;

B) Ensuring that access to the medications complies with State and federal regulations, as applicable; and

C) Ensuring that the automated dispensing and storage system is stocked/restocked accurately and in accordance with established, written pharmacy policies and procedures.

d) An automated dispensing and storage system is authorized for use in any licensed hospital, long-term care facility, facilities serviced by an outpatient clinic pharmacy, or hospice residence ("facility"). For all nonresident pharmacies, the pharmacist-in-charge and all pharmacy personnel who provide services while physically present at a facility located in Illinois must be licensed in Illinois. In addition to compliance with all other provisions in this Section, an automated dispensing and storage system shall comply with the following:

1. Drugs in the automated dispensing and storage system are not considered dispensed until removed from the system by authorized personnel at the facility, after being released by the pharmacy pursuant to a prescription, unless otherwise provided for in this Part.

2. Only the doses of medication needed for contemporaneous administration may be removed from the automated pharmacy system at one time.

3. Automated dispensing and storage systems utilized at a facility shall operate under the same license as the pharmacy utilizing it.

4. All records shall be maintained for a period of 5 years either at the pharmacy providing services to the facility or a central location where records are readily retrievable.

5. Only pharmacies under common ownership may share an automated pharmacy system at a facility.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

68 Ill. Adm. Code 1330.700 Patient Counseling

a) Upon receipt of a new or refill prescription, a prospective drug regimen review or drug utilization evaluation shall be performed. Prior to dispensing a prescription to a new patient, a new drug to an existing patient, or a medication that has had a change in the dose, strength, route of administration or directions for use, the pharmacist, or a student pharmacist directed and supervised by the pharmacist, shall provide verbal counseling to the patient or patient's agent on pertinent medication information. An offer to counsel shall be made on all other prescriptions. Counseling may include without limitation:

1. Name and description of medication;

2. Dosage form and dosage;

3. Route of administration;

4. Duration of therapy;

5. Techniques for self-monitoring;

6. Proper storage;

7. Refill information;

8. Actions to be taken in cases of missed doses;

9. Special directions and precautions for preparation, administration and use;

10. Common severe side effects, adverse effects, or interactions and therapeutic contraindications that may be encountered, including their avoidance and the action required if they occur.

b) If, in the pharmacist's professional judgment, oral counseling is not practicable for the patient or patient's agent, the pharmacist shall use alternative forms of patient information. When used in place of oral counseling, alternative forms of patient information shall advise the patient or agent that the pharmacist may be contacted for consultation in person at the pharmacy or by toll-free or collect telephone service.

c) Every licensed pharmacy directly serving patients at a physical location must conspicuously post a sign provided by the Division containing a statement that the patient has the right to counseling, the Division's consumer hotline number, information on how to file a complaint for failure to counsel, and any other information the Division deems appropriate. The sign must be printed in color ink or displayed electronically in color, measure at least 8½ x 11 inches in size, and be posted at either a cashier counter or waiting area clearly visible to patients. Licensed pharmacies that do not maintain a physical location directly serving patients must include a copy of the sign within any dispensed prescriptions. The sign will be available to download on the Division's website.

d) The pharmacist is responsible for maintaining patient profiles as defined in Section 3(s) of the Act. A reasonable effort shall be made to obtain information, including, but not limited to, the following:

1. Name, date of birth (age), gender, address and telephone number;

2. Individual history, when significant, including disease state, known allergies, drug interactions, and a comprehensive list of medications and relevant devices; and

3. Pharmacist's comments relevant to the individual's therapy.

e) Patient identifiable information obtained by the pharmacist or the pharmacist's designee for the purpose of patient record maintenance, prospective drug review, drug utilization review and patient counseling shall be considered protected health information, as defined in Section 3(cc) of the Act. A pharmacist shall provide counseling related to protected health information in a discreet, supportive and informative manner.

f) A pharmacist at an on-site or off-site institutional pharmacy shall not be required to provide patient counseling as required in this Section unless drugs are dispensed by the pharmacy upon a patient's discharge from the institution.

g) Nothing in this Section shall be construed as requiring a pharmacist to provide counseling when a patient or patient's agent refuses such counseling. When a patient or patient's agent refuses to accept patient counseling as provided in this Section, that refusal shall be documented.

h) A pharmacist operating a remote pharmacy shall comply with the requirements of this Section. Counseling in those circumstances shall be done by both video and audio means.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.710 Reporting Theft or Loss of Controlled Substances

In every instance that a pharmacy is required by federal regulation (21 CFR 1301.76; 2014) to file with the U.S. Drug Enforcement Agency a Report of Theft or Loss of Controlled Substances (Form 106), a copy shall concurrently be sent to the Division, Attention of the Drug Compliance Unit, along with the printed name of the person who signed the form. Failure to do so may result in discipline of the pharmacy or the pharmacist-in-charge.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.720 Transfer of Prescription

a) A prescription may be transferred between pharmacies for the purpose of original fill or refill dispensing, provided that:

1. The transferring pharmacy must invalidate the original prescription on file and record the name of the receiving pharmacy, the date of issuance of the copy, and the name of the pharmacist, student pharmacist, or pharmacy technician issuing the transferred prescription order; and

2. The pharmacy receiving the transferred prescription directly from another pharmacy records the following:

A) The name, address and original prescription number of the pharmacy from which the prescription was transferred;

B) All information constituting a prescription order, including the following: name of the drug, original amount dispensed, date of original issuance of the prescription, and number of valid refills remaining; and

C) The pharmacist, student pharmacist, or pharmacy technician receiving the transferred prescription informs the patient that the original prescription has been cancelled at the pharmacy from which it has been transferred.

b) A prescription for Schedule II, III, IV and V drugs may be transferred only from the original pharmacy and only one time for the purpose of original fill. A prescription for Schedule III, IV, and V drugs may be transferred only from the original pharmacy and only one time for the purpose of a refill and may not be transferred further. However, a pharmacist who is electronically sharing real-time on-line computerized systems may transfer up to the maximum refills permitted by law and the prescriber's authorization in accordance with 21 CFR 1306.26(a).

c) Computerized systems must satisfy all information requirements of this Section, including invalidation of the original prescription when transferred between pharmacies accessing the same prescription records or between pharmacies of the same ownership. If those systems that access the same prescription records have the capability of cancelling the original prescription, pharmacies using such a system are exempt from the requirements of this subsection if the transferred prescription can always be tracked to the original prescription order from the prescribing practitioner and the original prescription can be produced.

d) When prescription information is transferred to another pharmacy for the purposes of original fill, the transferring pharmacy must enter a prescription into its system as if that prescription were filled at that pharmacy.

e) Nothing in this Section shall apply to transactions described in Section 20 of the Act.

f) A prescription shall only be transferred upon the request or authorization of the person for whom the prescription was issued, except upon closure of a pharmacy, in which case notice shall be made to that person, orally or in writing, of the closure and the location where the prescription is transferred.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.730 Drug Prepackaging

a) The term prepackaged, as used in this Section, is defined as any drug being removed from the original manufacturer container and placed in a dispensing container for other than immediate dispensing to a patient.

b) Any prepackaged drugs must have a label affixed that contains, at a minimum, the name and strength of the drug, the name of manufacturer or distributor, beyond use date, and lot number. Maximum beyond use date allowed for prepackaged drugs shall be the manufacturer's beyond use date or 12 months, whichever is less. Pharmacies that store drugs with an automated counting device may, in place of the required labels, maintain separate records of lot numbers and beyond use dates as long as those records are fully traceable and readily retrievable during an inspection.

c) Automatic counting cassettes must have a label affixed to the cassette containing the information required in subsection (b).

68 Ill. Adm. Code 1330.740 Multi-Med Dispensing Standards for Community Pharmacies

a) In lieu of dispensing 2 or more prescribed drug products in separate containers, a pharmacist may, with the consent of the patient, the patient's caregiver, or a prescriber, provide a customized patient medication package (patient med pak).

b) A patient med pak is a package prepared by a pharmacist for a specific patient comprising a series of containers and containing 2 or more prescribed solid oral dosage forms. The patient med pak is designed, or each container is labeled, to indicate the day and time or period of time when the contents within each container are to be taken.

1. The patient med pak shall include information stating:

A) The name of the patient;

B) A serial number for the patient med pak itself and a separate identifying serial number for each of the prescription orders for each of the drug products contained in the med pak;

C) The name, strength, physical description or identification, and total quantity of each drug product contained in the med pak;

D) The directions for use and cautionary statements, if any, contained in the prescription order for each drug product contained in the med pak;

E) Any storage instructions;

F) The name of the prescriber of each drug product;

G) The date of preparation of the patient med pak; and

H) The name, address and telephone number of the pharmacist and any other registrant involved in dispensing.

2. Once a med pak has been delivered to an institution, a patient, or a patient's agent, the drugs in the med pak can be accepted for return by the pharmacy only when a medication must be added or removed, or when drug therapy is discontinued. Med paks returned to the pharmacy can only be re-dispensed for the same patient. Medications removed from the med pak shall not be reused and must be disposed of properly. The revised med pak shall be given a new serial number.

3. When a pharmacist utilizes drugs dispensed from another pharmacy in creating an initial med pack, that pharmacist shall bear full responsibility for the drugs as if dispensed from that pharmacy; otherwise, a pharmacy is prohibited from creating a patient med pak utilizing drugs dispensed from a different pharmacy.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.750 Return of Drugs

a) Once a dispensed drug is removed from the premises by a patient or the patient's agent, that drug shall not be accepted for return or exchange by a pharmacy or pharmacist.

b) The provision of subsection (a) shall not apply to a drug dispensed to a patient of an institutional healthcare facility where a licensed healthcare professional administers the drug and the pharmacist ensures that:

1. The drugs were stored in compliance with Sections 1330.610 and 1330.630;

2. The drugs are not contaminated, deteriorated or beyond their use date;

3. The returns are properly documented; and

4. Obtaining payment twice for the same drug is prohibited.

c) The provisions of subsection (a) shall not apply to drugs returned for purposes of destruction. The returned drugs must be stored separately from the pharmacy's active stock.

d) The provisions of subsection (a) shall not apply to drugs returned when the wrong medication was dispensed to the patient or in the instance of a drug recall. In no instance may returned drugs be reused or returned to active stock.

History

• Source: Amended at 39 Ill. Reg. 6267, effective April 23, 2015

68 Ill. Adm. Code 1330.760 Electronic Transmission of Prescriptions

Electronic transmission of prescriptions shall be allowed, provided the following conditions are met:

a) The prescription shall be transmitted directly, or through an intermediary, from the authorized licensed prescriber to the pharmacy of the patient's choice. No intermediary shall alter the prescription information or content of the prescription.

b) The prescriptions shall comply with all applicable statutes and rules regarding the form, content, record keeping and processing of a prescription drug.

c) The electronically transmitted prescription shall include the following:

1. The transmitting prescriber's facsimile number, if applicable;

2. The time and date of the transmission;

3. The identity of the person sending the prescription;

4. The address and contact information of the person transmitting the prescription.

d) The electronic device in the pharmacy that receives the electronically transmitted prescription shall be located within the pharmacy area.

e) The pharmacy has procedures in place for the cancellation of electronically transmitted prescriptions including the following:

1. A pharmacy using the National Council for Prescription Drug Program’s SCRIPT standard for receiving electronic prescriptions must enable, activate, and maintain the ability to receive transmissions of electronic prescription cancellations and to transmit cancellation response transactions.

2. As soon as possible after the receipt of a prescription cancellation notification, no later than two business days after receipt of the notification, pharmacy staff must either review the cancellation transaction to ensure that the prescription has been deactivated or ensure that deactivation occurred automatically.

3. Policies and procedures to ensure that the discontinued medications are not dispensed to a patient by a pharmacist.

f) A facsimile of an electronically transmitted prescription shall be non-fading and remain legible.

g) The facsimile of the electronically transmitted prescription shall be stored in the pharmacy as required by State and federal laws or rules and may serve as the record of the prescription.

h) The electronically transmitted prescription shall serve as the record of the prescription so long as the electronically submitted prescription can be stored and is readily retrievable so as to comply with federal and State record keeping requirements.

i) To maintain confidentiality, adequate security and systems safeguards designed to prevent and detect unauthorized access, modification or manipulation of electronically transmitted prescriptions is required.

j) A pharmacy or pharmacist shall not enter into an agreement with a practitioner or healthcare facility concerning the provision of any means for the electronic transmission of prescriptions that would adversely affect a patient's freedom to select the pharmacy or pharmacy department of the patient's choice.

k) Electronically transmitted prescriptions for controlled substances may be dispensed only as provided by federal law.

History

• Source: Amended at 47 Ill. Reg. 8352, effective June 2, 2023

68 Ill. Adm. Code 1330.765 Requirements for Enrollment in Automated Prescription Refill Programs

Pharmacies providing automated prescription refills, whether prescribed through electronic or paper prescriptions as provided in Section 22c(a) of the Act, must:

a) Require that the patient or patient's agent agree to be enrolled in the automated refill program for each prescription medication that the patient has been prescribed.

b) Ensure that only prescriptions with valid refills are eligible for the pharmacy's automatic refill program.

c) Ensure prescriptions enrolled in the pharmacy's automatic refill program do not conflict with any other applicable federal or State regulations.

d) Require that the patient or the patient's agent sign a statement that they consent to the enrollment in an automated prescription refill program for each medication for which they enroll.

e) Maintain a record of the patient's or the patient's agent's signatures showing that they consented to be enrolled in the automated refill program for each prescription in which they are enrolled.

f) Maintain policies and procedures which require that upon the pharmacy's receipt of a notice that the medication has been discontinued, the pharmacy staff take prompt action to ensure that discontinued medications are not dispensed to the patient under the automated refill program and that the patient's medication is removed from enrollment in the automated refill program.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.770 Centralized Prescription Filling

Pharmacies providing centralized prescription filling, as provided in Section 25.5 of the Act, shall:

a) Share a common electronic file to allow access to sufficient information necessary or required to fill or refill a prescription order.

b) Maintain appropriate records to identify the responsible pharmacist in the dispensing process.

c) Maintain a mechanism for tracking the prescription drug order during each step in the process.

d) Pharmacies that engage in central fill pharmacy practice shall, in addition to any other requirements of the Act and this Part, comply with this Section.

e) For the purpose of this Section, the following definitions apply:

1. "Central Fill Pharmacy" means a pharmacy that prepares prescription drug orders for dispensing for one or more originating pharmacies.

2. "Originating Pharmacy" means a pharmacy wherein the prescription which will be filled by the central fill pharmacy is initially presented, entered into a computer system, data reviewed, and drug utilization review is completed.

f) A pharmacy may outsource prescription drug order dispensing to a central fill pharmacy provided the pharmacies:

1. Have the same owner or have a written contract which outlines the services to be provided, the responsibilities and accountabilities of each pharmacy, and the manner in which the pharmacies will comply with federal and state laws, rules, and regulations; and

2. Share a common electronic file or have appropriate technology to allow access to sufficient information necessary or required to dispense or process a prescription drug order.

g) Policies and Procedures. A policy and procedure manual as it relates to centralized filling shall be maintained at both the originating and central fill pharmacies and be available for inspection. The manual shall:

1. Outline the responsibilities of each of the pharmacies;

2. Include a list of the names, addresses, telephone numbers, and all license/registration numbers of the pharmacies involved in centralized prescription dispensing;

3. Designate the types of medications that may and may not be filled by the central fill pharmacy; and

4. Include policies and procedures for:

A) Notification to patients;

B) Protecting the confidentiality and integrity of patient information;

C) Communicating orders from the originating pharmacy to the central fill pharmacy;

D) Dispensing prescription drug orders when the dispensed order is not received or the patient comes in before the order is received;

E) Complying with federal and state laws and regulations;

F) Operating a continuous quality improvement program for pharmacy services designed to objectively and systematically monitor and evaluate the quality and appropriateness of patient care, pursue opportunities to improve patient care, and resolve identified problems;

G) Annually reviewing the written policies and procedures and documenting such review; and

H) Process and documentation for return of product to the central fill pharmacy from the originating pharmacy. No drug delivered directly to the patient may be returned except in cases where a medication error has occurred.

h) Recordkeeping

1. Each pharmacy shall comply with all the laws and rules relating to the maintenance of records and be able to produce an audit trail identifying the responsible pharmacist in the dispensing process and all prescriptions dispensed by the pharmacy.

2. The originating pharmacy shall maintain records, in addition to the prescription drug order, which indicate:

A) The date the request for dispensing was transmitted to the central fill pharmacy;

B) The date the dispensed prescription was received by the originating pharmacy, including the method of delivery and the name of the person accepting delivery;

C) Name, address, license number, and the unique identifier of the central fill pharmacy;

D) Date prescription was returned to the central fill pharmacy.

3. The central fill pharmacy shall maintain records, in addition to the prescription drug order, which indicate:

A) The date the prescription was shipped to the originating pharmacy or the patient;

B) Name and address where the prescription was shipped;

C) Method of delivery;

D) Name, address, and license number of originating pharmacy;

E) Date of receipt of returned product.

i) Delivery of Medications

1. A community central fill pharmacy may deliver medications for an originating pharmacy to the patient or patient's agent under the following conditions:

A) The pharmacies are under the same ownership or have a written contract specifying the services to be provided by each pharmacy, including delivery services to the patient or patient's agent;

B) The pharmacies shall have a pharmacist available a minimum of 40 hours per week, either in person or via telephone, to provide patient counseling;

C) The pharmacies shall include a telephone number that allows the patient to reach a pharmacist for the purposes of counseling. The telephone number shall not incur a cost to the caller; and

D) The central fill pharmacy shall only deliver via carrier to the patient or patient's agent those medications which could have been delivered via carrier by the originating pharmacy;

2. An institutional central fill pharmacy may only deliver medications to the originating pharmacy.

j) The originating pharmacy is responsible for the patient consultation and transfer requirements.

k) Nothing in this Section shall be construed as requiring a nonresident pharmacy that outsources drug order dispensing to a central fill pharmacy to hold an Illinois pharmacy license, provided that the nonresident pharmacy does not physically ship, mail or deliver prescription drugs or device directly to a patient or patient's agent in this state.

History

• Source: Amended at 50 Ill. Reg. 610, effective December 30, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1330 Pharmacy Practice Act

68 Ill. Adm. Code 1330.780 Changes of Ownership, Name, Location, or Operations of a Pharmacy

a) A pharmacy application must be filed whenever any of the following occur:

1. 50% or more of the ownership of the business, other than a publicly traded business, to which the pharmacy license was issued is sold or otherwise transferred to a person or entity that does not hold any interest in the business issued the pharmacy license prior to the sale or transfer;

2. More than half the board of directors or executive officers of a business issued a pharmacy license changes;

3. Any change in the legal status of an entity (e.g., individual, partnership, corporation, limited liability company);

4. Any change in location of a pharmacy;

5. Any change in the name of a pharmacy; or

6. Any addition to the pharmacy operations.

b) Any change of ownership of a parent company that owns a pharmacy shall not be considered a change of ownership of the pharmacy.

c) The application required by subsection (a) must be filed:

1. At least 90 days prior to occurrence of the change requiring the application for pharmacies located in Illinois.

2. No later than 30 days after the occurrence of the change requiring the application for pharmacies located outside of Illinois.

d) The Division must be notified no later than 30 days after any change in owners, partners, members, officers, directors, or shareholders owning 5% or more of the outstanding shares occurs, or any other change in the information provided on the application not specified in subsection (a).

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.790 Closing a Pharmacy

Whenever a pharmacy intends to close permanently, the following procedures must be followed:

a) Provide notice to the Drug Compliance Unit of the Division, in writing, no later than 30 days after closure of the pharmacy.

b) Notify customers of the closure at least 15 days in advance of the closing date and where the customer's records will be maintained.

c) Comply with all DEA requirements for closing a pharmacy.

d) On the day the pharmacy closes:

1. Conduct an inventory of the pharmacy's controlled substances and maintain the inventory record for inspection by the Division for five years.

2. Return the pharmacy license to the Division's drug compliance investigator or other authorized Division personnel.

3. Notify the Division in writing as to where the controlled substances inventory and records will be kept and how the controlled substances were transferred or destroyed. Records involving controlled substances must be kept available for five years for inspection by the Division.

4. Notify the Division in writing of the name of the person responsible for and the location where the closing pharmacy's prescription files and patient profiles will be maintained. These records shall be kept for a minimum of five years from the date the last original or refill prescription was dispensed.

e) The pharmacy acquiring prescription records from a closing pharmacy must inform the Division prior to the date when the transaction is going to take place.

f) After the closing date, only the pharmacist in-charge, or other designated pharmacist, of the pharmacy discontinuing business shall have access to the prescription drugs until those drugs are transferred to the new owner or other purchaser or are properly destroyed.

g) Cover all signage indicating "Drug Store" or "Pharmacy" as soon as practicable. The signage shall be removed in a timely manner. A sign shall be prominently posted that the pharmacy is closed.

h) If a pharmacy intends to close temporarily for more than 72 hours, the following procedures must be followed:

1. The owner of the pharmacy must provide notice to the Drug Compliance Unit of the Division, in writing, within 72 hours prior to the temporary closing date.

2. Notify customers of the closure at least 72 hours prior to the closing date and where the customer's records will be maintained.

3. Post signage on the front door or window of the pharmacy in a manner clearly legible.

4. A pharmacy may remain temporarily closed for no longer than six months.

History

• Source: Amended at 48 Ill. Reg. 10225, effective June 28, 2024

68 Ill. Adm. Code 1330.800 Pharmacy Self-Inspection

Every licensed pharmacy shall conduct an annual self-inspection using forms provided by the Division. The annual self-inspection shall be conducted during the same month, annually, as determined by the pharmacy. Documentation of the self-inspection shall be maintained at the pharmacy for 5 years. The primary objective of the self-inspection is to create an opportunity for a pharmacy to identify and correct areas of noncompliance with State and federal law. This includes, but is not limited to, recordkeeping, inventory, labeling and sanitation requirements.

History

• Source: Added at 39 Ill. Reg. 6267, effective April 23, 2015

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1335 Perfusionist Practice Act

68 Ill. Adm. Code 1335.10 Definitions

"Act" means the Perfusionist Practice Act [225 ILCS 125].

"Board" means the Board of Perfusion.

"Department" means the Department of Professional Regulation.

"Perfusionist" means a person qualified, by academic and clinical education, to operate the extracorporeal circulation equipment during any medical situation where it is necessary to support or replace a person's cardiopulmonary, circulatory, or respiratory function. A perfusionist is responsible for the selection of appropriate equipment and techniques necessary for support, treatment, measurement, or supplementation of the cardiopulmonary and circulatory system of a patient, including the safe monitoring, analysis, and treatment of physiologic conditions under an order and under the supervision of a physician licensed to practice medicine in all its branches and in coordination with a registered professional nurse. (Section 10 of the Act)

68 Ill. Adm. Code 1335.20 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees. The fee for application for a license as a perfusionist is $250.

b) Renewal Fees. The fee for the renewal of a license shall be calculated at the rate of $125 per year.

c) General Fees.

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees not to exceed $400.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Department records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

5. The fee for a roster of persons licensed as perfusionists in this State shall be the actual cost of producing the roster.

68 Ill. Adm. Code 1335.30 Application for Licensure Pursuant to Section 60 of the Act (grandfather)

a) Pursuant to Section 60 of the Act, an applicant may apply for licensure by filing an application on forms provided by the Department. The application shall be postmarked no later than November 1, 2002 and shall include:

1. Verification of at least 5 years experience in the practice of perfusion. The experience shall be:

A) in operating cardiopulmonary bypass systems during cardiac surgical cases in a licensed health care facility;

B) the primary function of the applicant;

C) a minimum of 200 cases completed in the 5 years between January 1, 1991 and January 1, 2000; and

D) documented by 3 affidavits signed by either cardiovascular surgeons certified by the American Board of Thoracic Surgery or certified American Board of Cardiovascular Perfusion perfusionists who acted in a supervisory capacity;

2. A complete work history since January 1, 1991; and

3. The required fee set forth in Section 1335.20.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

68 Ill. Adm. Code 1335.40 Application for Licensure

a) An applicant for licensure as a perfusionist shall file an application on forms provided by the Department. The application shall include:

1. Certification of graduation from a school accredited by the Commission on the Accreditation of Allied Health Education Programs (CAAHEP) or a similar accrediting body approved by the Department;

2. Certification of successful completion of the examinations provided by the American Board of Cardiovascular Perfusion (ABCP) or its successor agency or a substantially equivalent examination approved by the Department;

3. A work history since graduation from a perfusion program;

4. Vertification from the state in which an applicant was originally licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that state, including the date of the original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending; and

5. The fee required in Section 1335.20 of this Part.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

68 Ill. Adm. Code 1335.50 Renewals

a) The first licenses issued under the Act shall expire on April 30, 2004. Thereafter, every license issued under the Act shall expire on April 30 of even numbered years. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each perfusionist to notify the Department of any change of address. Failure to receive a renewal form from the Department shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired license shall be considered unlicensed practice and shall be grounds for discipline pursuant to Section 105 of the Act.

68 Ill. Adm. Code 1335.60 Restoration

a) A person seeking restoration of a license that has expired for 3 years or less shall have the license restored upon payment of all lapsed renewal fees required by Section 1335.20 of this Part.

b) A person seeking restoration of a license that has been placed on inactive status for 3 years or less shall have the license restored upon payment of the current renewal fee.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 3 years shall file an application, on forms supplied by the Department, including the applicant's work history since the license expired and the fee required by Section 1335.20 of this Part. The person shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice and verification of experience signed by a cardiovascular surgeon certified by the American Board of Thoracic Surgery; or

2. An affidavit attesting to military service as provided in Section 15 of the Act; or

3. Successful completion of the examination administered by the American Board of Cardiovascular Perfusion or its successor agency within 2 years prior to application.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Department because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflict in information.

e) Upon the recommendation of the Board and approval by the Director, an applicant shall have the license restored or will be notified in writing of the reason for the denial of the application.

68 Ill. Adm. Code 1335.70 Endorsement

a) An applicant for licensure as a perfusionist who is licensed under the laws of another state shall file an application with the Department that shall include:

1. Certification of graduation from a school accredited by the Commission on the Accreditation of Allied Health Education Programs (CAAHEP) or a similar accrediting body approved by the Department;

2. Certification of successful completion of the examination provided by the American Board of Cardiovascular Perfusion (ABCP) or its successor agency or a substantially equivalent examination approved by the Department;

3. Verification from the state in which the applicant was originally licensed and is currently licensed, stating:

A) The time during which the applicant was licensed in that jurisdiction; and

B) Whether the file on the applicant contains any record of any disciplinary actions taken or pending;

4. A complete work history indicating all employment since graduation from an approved perfusionist program; and

5. The required fee set forth in Section 1335.20 of this Part.

b) The Department shall examine each endorsement application to determine whether the requirements in the other state at the date of licensing were substantially equivalent to the requirements then in force in this State and whether the applicant has otherwise complied with the Act. The Department shall either issue a license by endorsement or notify the applicant of the reasons for the denial of the application.

68 Ill. Adm. Code 1335.80 Inactive Status

a) Licensed perfusionists who notify the Department, on forms provided by the Department, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Department in writing of the intention to resume active practice.

b) Any licensed perfusionist seeking restoration from inactive status shall do so in accordance with Section 1335.60.

c) Any person violating this Section shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

68 Ill. Adm. Code 1335.90 Granting Variances

a) The Director may grant variances from this Part in individual cases where he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

68 Ill. Adm. Code 1335.100 Unethical, Unauthorized or Unprofessional Conduct

a) The Department may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its finding of "unethical, unauthorized, or unprofessional conduct" within the meaning of Section 105(7) of the Act. In determining what constitutes unethical, unauthorized or unprofessional conduct of a character likely to deceive, defraud or harm the public, the Department shall consider whether the questioned activities:

1. Are violative of ethical standards of the profession (such as safeguarding patient confidence and records within the constraints of law; respecting the rights of patients, colleagues and other health professionals; observing laws under the Act; and providing service with compassion and respect for human dignity);

2. Constitute a breach of the perfusionist's responsibility to a patient;

3. Resulted in assumption by the perfusionist of responsibility for delivery of patient care that the perfusionist was not properly qualified or competent to render;

4. Resulted in a delegation of responsibility for delivery of patient care to persons who were not properly supervised or who were not competent to assume such responsibility;

5. Caused actual harm to any member of the public or are reasonably likely to cause harm to any member of the public in the future;

6. Resulted in the individual being convicted of any crime an essential element of which is larceny, embezzlement, obtaining money, property or credit by false pretenses or by means of a confidence game, dishonesty, fraud, misstatement or moral turpitude;

7. Involved misrepresenting as to educational background, training, credentials, competence, or medical staff memberships;

8. Entailed abuse of the perfusionist/patient relationship by taking unfair advantage of a patient's vulnerability;

9. Involved unethical conduct with a patient that resulted in the patient engaging in unwanted personal, financial or sexual relationships with the perfusionist;

10. Involved committing an act or acts, in the practice conducted under the Act, of a flagrant, glaringly obvious nature that constitute conduct of such a distasteful nature that accepted codes of behavior or codes of ethics are breached;

11. Involved committing an act or acts in a relationship with a patient so as to violate common standards of decency or propriety;

12. Involved overutilizing services by providing excessive evaluation or treatment procedures not warranted by the condition of the patient or by continuing treatment beyond the point of possible benefit;

13. Involved making gross or deliberate misrepresentations or misleading claims as to professional qualifications or of the efficacy or value of the treatments or remedies given or recommended, or those of another practitioner;

14. Involved willfully making or filing a false report or record, willfully failing to file a report or record required by State or federal law, or willfully impeding or obstructing such filing or inducing another person to do so. Such reports or records include only those reports or records that require the signature of a respiratory care practitioner licensed pursuant to this Part;

15. Allowed the opportunity to arise whereby objective evaluations of products and services are compromised by gratutities, gifts, entertainment, consulting engagements, employment status, or any other material or personal gain;

16. Constitute gross negligence. In determining what constitutes gross negligence, the Board shall consider gross negligence to be an act or omission that is evidence of recklessness or carelessness toward or a disregard for the safety or well-being of the patient, and that results in injury to the patient.

b) Pursuant to Section 105(7) of the Act, the Department incorporates by reference the "Code of Ethics" of the American Society of Extra-Corporeal Technology, 503 Carlisle Dr., Suite 125, Herndon VA 20170 (2001), with no later amendments or editions.

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1340 Illinois Physical Therapy Act

68 Ill. Adm. Code 1340.15 Application for Licensure Under Section 8.1 of the Act (grandfather) (repealed)

History

• Source: Repealed at 20 Ill. Reg. 10678, effective July 26, 1996

68 Ill. Adm. Code 1340.20 Approved Curriculum

a) In determining whether an applicant's curriculum should be approved, the Department of Financial and Professional Regulation-Division of Professional Regulation (Division) may consider accreditation of the applicant's school by the Commission on Accreditation in Physical Therapy Education (CAPTE).

b) The Division shall, upon the recommendation of the Physical Therapy Licensing and Disciplinary Board (Board), approve an applicant's physical therapist curriculum if the school from which the applicant graduated meets the following minimum criteria:

1. It is legally recognized and authorized by the jurisdiction in which it is located to confer a physical therapy degree;

2. It has a faculty sufficient to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their areas of teaching from professional colleges or institutions; and

3. It maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

4. For applicants graduating prior to January 1, 2002, the applicant's curriculum shall have a minimum of 120 semester hours that shall include a minimum of 50 semester hours credit in general education and at least the following subject areas in professional education (a minimum of 57 semester hours required):

A) Basic Health Sciences

i) Anatomy

ii) Physiology

iii) Pathology

iv) Kinesiology

v) Neurology

vi) Psychology

B) Clinical Sciences to include, but not limited to the major areas of:

i) Medicine

ii) Surgery

iii) Physical therapy theory and application, including therapeutic exercise, evaluation procedures, physical agents, mechanical modalities, electrotherapy, massage, orthotics and prosthetics, and professional issues

C) Clinical Education – a minimum of 800 clock hours.

5. Applicants graduating after January 1, 2002, but before January 1, 2024, must have a minimum of a master’s degree in physical therapy.

6. Applicants graduating after January 1, 2024 must have a minimum of a doctoral degree in physical therapy.

7. No course in which the applicant received a grade lower than a C will be accepted for coursework.

c) The Division shall, upon the recommendation of the Board, approve an applicant's physical therapist assistant curriculum if it meets the following minimum criteria:

1. The school from which the applicant graduated:

A) Is legally recognized and authorized by the jurisdiction in which it is located to offer a physical therapist assistant curriculum that leads to an associate degree;

B) Has a faculty sufficient to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their areas of teaching from professional colleges or institutions; and

C) Maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

2. The applicant's curriculum includes at least the following subject areas in professional education (a minimum of 29 semester hours required):

A) Basic Health Sciences, which shall include the following:

i) Anatomy and physiology

ii) Pathology

iii) Psychology

iv) Kinesiology

B) Clinical Sciences to include, but not be limited to, the major areas of:

i) Medicine and surgery

ii) Applied physical therapy science, including gross evaluation techniques, physical agents, mechanical modalities, therapeutic exercise, electrotherapy, massage, and professional issues; and

C) Clinical Education − a minimum of 600-clock hours.

3. No course in which the applicant received lower than a C will be accepted for coursework.

d) Recommendation of Approval

1. The Division, upon the recommendation of the Board, has determined that the curricula of all physical therapist and physical therapist assistant programs accredited by CAPTE on or after January 1, 1996 meet the minimum criteria set forth in subsections (b) and (c) and are, therefore, approved.

2. In the event of a decision by CAPTE to deny or withdraw accreditation of any physical therapist or physical therapist assistant program, the Board shall proceed to evaluate the curriculum and either approve or disapprove it in accordance with subsections (b) and (c).

e) Graduates from Outside the United States

1. A graduate of a physical therapist program outside the United States or its territories shall have credentials evaluated, by a credentialing service acceptable to the Department, to determine equivalence of education to an approved curriculum in the United States. The credentialing service must have a physical therapist consultant on its staff. The Department and the Board recognize the Foreign Credentialing Commission of Physical Therapy, Inc. (FCCPT), P.O. Box 25827, Alexandria, Virginia 22313 as an acceptable service. A person who graduated from a physical therapist program outside the United States or its territories and whose first language is not English shall submit certification of passage of the Test of English as a Foreign Language (TOEFL).

2. A graduate of a physical therapist assistant program outside the United States or its territories shall have credentials evaluated, by a credentialing service acceptable to the Department, to determine equivalence of education to a physical therapist assistant degree conferred by a regionally accredited college or university in the United States. The Board recognizes FCCPT as an acceptable service. A person who graduated from a physical therapist assistant program outside the United States or its territories and whose first language is not English shall submit certification of passage of TOEFL.

3. The minimum total score for passage of the TOEFL is based on FCCPT accepted standards.

History

• Source: Amended at 47 Ill. Reg. 13093, effective August 24, 2023

68 Ill. Adm. Code 1340.30 Application for Licensure on the Basis of Examination

a) An applicant for a physical therapist license by examination shall submit:

1. A completed and signed application on forms provided by the Division;

2. Certification of graduation from a physical therapist program, signed by the Director of the Physical Therapy Program or other authorized university official and bearing the seal of the university, which meets the requirements set forth in Section 1340.20; and

3. The required fee set forth in Section 1340.57.

b) An applicant for a physical therapist assistant license by examination shall submit:

1. A completed and signed application on forms provided by the Division;

2. Certification of graduation from a physical therapist assistant program and attainment of a minimum of an associate degree signed by the director of the Physical Therapist Program or other authorized school official and bearing the seal of a school that meets the requirements set forth in Section 1340.20; and

3. The required fee set forth in Section 1340.57.

c) If supporting documentation for the application is not in English, a certified translation must be included.

d) An applicant shall have 60 days, or until the next date when the test is administered, after approval of the application to take the examination. If the examination is not taken on the authorized test date, the examination fee is forfeited, and the applicant shall resubmit the required examination fee to the designated testing service. An applicant who fails to take the examination on the authorized test date shall forfeit the right to work as a physical therapist or physical therapist assistant until the examination is passed.

e) If the applicant has ever been licensed/registered in another state or territory of the United States, the applicant shall also submit a certification, on forms provided by the Division, from the state or territory of the United States in which the applicant was originally licensed and the state in which the applicant predominantly practices and is currently licensed, stating:

1. The time during which the applicant was licensed/registered in that jurisdiction, including the date of the original issuance of the license;

2. A description of the examination in that jurisdiction; and

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

f) An applicant for a license, who has successfully completed the examination recognized by the Division in another jurisdiction but who has not been licensed in that jurisdiction, shall file an application in accordance with subsection (a) or (b) and have the examination scores submitted to the Division by the reporting entity.

g) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide the requested information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

h) If the applicant has been determined eligible for licensure except for passing of the examination, the applicant shall be issued a letter of authorization to test that allows the applicant to practice under supervision in accordance with Section 2 of the Illinois Physical Therapy Act (the Act). Supervision shall constitute the presence of the licensed physical therapist on site to provide supervision. The applicant shall not begin practice as a physical therapist or physical therapist assistant, license pending, until the letter of authorization to test is received.

i) Examination Prior to Graduation

1. An applicant enrolled in an approved physical therapist program or physical therapist assistant program may apply to take the examination no more than 120 days prior to graduation if the applicant provides certification from the physical therapist program or physical therapist assistant program of the date upon which the applicant is expected to graduate. If certification of graduation is not received within 90 days after the scheduled graduation date, the results of the examination shall be void.

2. The results of the examination shall be made available to the applicant, but no license shall be issued until the Division has received certification that the applicant graduated within 90 days after the scheduled graduation date specified in the certification received from the physical therapist program or physical therapist assistant program required by subsection (i)(1), and until the applicant has met all other requirements for licensure set forth in the Act and this Part.

3. If the applicant fails the examination, the applicant must submit a certificate of graduation to the Division or its designated testing service prior to taking the next examination.

History

• Source: Amended at 47 Ill. Reg. 13093, effective August 24, 2023

68 Ill. Adm. Code 1340.40 Examination

a) The examination for a physical therapist license shall be the National Physical Therapy Examination (NPTE) of the Federation of State Boards of Physical Therapy for physical therapists.

b) The examination for a physical therapist assistant license shall be the NPTE for physical therapist assistants.

c) The passing score for the physical therapy and physical therapist assistant examination shall be the passing score established by the testing entity. The scores shall be submitted to the Division from the designated testing service.

d) An applicant who fails the examination 3 times in any jurisdiction will be required to complete a remedial training program that is pre-approved by the Division or Board. The structured clinical training program will be no less than 3 months or 360 hours. This training program can include a portion of didactic training not to exceed 120 hours but must be included in the training program pre-approved by the Division or Board. The training shall be under the direct, on site, personal supervision of a licensed physical therapist. Proof shall be sent to the Division that includes certification that the applicant successfully completed the remedial training program.

e) Any person licensed in Illinois as a physical therapist or physical therapist assistant shall not be admitted to the examination. However, in no way shall this provision limit the Division's ability to require reexaminations for restoration or enforcement purposes.

History

• Source: Amended at 47 Ill. Reg. 13093, effective August 24, 2023

68 Ill. Adm. Code 1340.50 Endorsement

a) An applicant who is currently licensed under the laws of another state or territory of the United States and who wishes to be licensed as a physical therapist or physical therapist assistant by endorsement shall submit:

1. A completed and signed application, on forms provided by the Division;

2. Certification, on forms provided by the Division, of successful completion of an approved physical therapist or physical therapist assistant program as set forth in Section 1340.20;

3. Certification from the state or territory of original licensure and the state in which the applicant is currently licensed and practicing, if other than original, stating the time during which the applicant was licensed in that state, whether the file on the applicant contains record of any disciplinary actions taken or pending, and the applicant's license number;

4. If the applicant's first language is not English, certification of passage of TOEFL. This provision does not apply to individuals who are licensed in a U.S. jurisdiction and have been actively practicing in another U.S. jurisdiction for 3 years prior to the date of application for licensure in Illinois;

5. A report of the applicant's examination record forwarded directly from the test reporting service; and

6. The required fee set forth in Section 1340.57.

b) The Division shall examine endorsement applications as needed to determine whether the requirements in the jurisdiction at the date of licensing were substantially equivalent to the requirements then in force in this State and whether the applicant has otherwise complied with the Act.

c) The credentials of a foreign educated physical therapist (FEPT) who is currently licensed in another jurisdiction and is seeking licensure through endorsement in Illinois should be evaluated using the version of the Federation of State Boards of Physical Therapy Coursework Tool retro tool that covers the date the applicant graduated from their respective physical therapy education program.

d) Any applicant for licensure by endorsement showing proof of licensure in another jurisdiction for at least 10 consecutive years without discipline shall submit a completed and signed application on forms provided by the Department; the required fee set forth in Section 1340.57; and proof of licensure in another jurisdiction for at least 10 consecutive years without discipline by certified verification of licensure from the jurisdiction in which the applicant practiced.

e) The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 47 Ill. Reg. 13093, effective August 24, 2023

68 Ill. Adm. Code 1340.55 Renewals

a) Every physical therapy license issued under the Act shall expire on September 30 of each even-numbered year. Every physical therapist assistant license issued under the Act shall expire on September 30 or each odd-numbered year. The holder of a license may renew the license during the month preceding the expiration date of the license by paying the required fee and completing continuing education (CE) as set forth in Section 1340.61.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license or pay the renewal fee.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline as set forth in Section 31 of the Act.

History

• Source: Amended at 41 Ill. Reg. 2912, effective March 1, 2017

68 Ill. Adm. Code 1340.57 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for a license as a physical therapist or physical therapist assistant is $100. In addition, applicants for an examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application as a continuing education sponsor is $500. Illinois State colleges and universities and Illinois State agencies are exempt from payment of this fee.

b) Renewal Fees

1. The fee for the renewal of a license shall be calculated at the rate of $30 per year.

2. The fee for renewal of CE sponsor approval is $250 for the renewal period.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $200.

2. The fee for restoration of a license from inactive status is the current renewal fee.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the designated testing service.

5. The fee for a roster of persons licensed as physical therapists or physical therapist assistants in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 42 Ill. Reg. 14185, effective July 11, 2018

68 Ill. Adm. Code 1340.60 Restoration

a) Any person seeking restoration of a license that has expired or been placed on inactive status for more than 5 years shall submit:

1. A completed and signed application, on forms provided by the Division;

2. The required fee set forth in Section 1340.57; and

3. Proof of having met the CE requirements set forth in Section 1340.61. CE must be completed during the 24 months preceding application for restoration. In addition, the applicant shall submit one of the following:

A) Certification of current licensure from another state or territory completed by the appropriate state board and proof of current active practice;

B) An affidavit attesting to military service as set forth in Section 15 of the Act. If application is made within 2 years after discharge, and if all other provisions of Section 15 of the Act are satisfied, the applicant will not be required to pay a restoration fee or any lapsed renewal fees;

C) Proof of passage of the examination set forth in Section 1340.40; or

D) Evidence of recent attendance at educational programs in physical therapy, including attendance at college level courses, special seminars, or any other similar program, or evidence of recent related work experience to show that the applicant has maintained competence in the applicant's field. The Division will accept:

i) For an applicant whose license has lapsed 5 to 10 years, 160 contact hours of clinical training under the supervision of a licensed physical therapist preapproved by the Board.

ii) For an applicant whose license has lapsed for 10 years or more, 320 contact hours of clinical training under the supervision of a licensed physical therapist preapproved by the Board.

b) A person applying for restoration of a license that has expired for 5 years or less shall submit:

1. A completed and signed application, on forms provided by the Division;

2. The required fees set forth in Section 1340.57. If application is made within 2 years after discharge from military service, and if all other provisions of Section 15 of the Act are satisfied, the applicant will be required to pay only the current renewal fee; and

3. Proof of the required hours of CE set forth in Section 1340.61. These CE hours shall be earned within the 2 years immediately preceding the restoration of the license.

c) A licensee seeking restoration of a license that has been on inactive status for less than 5 years shall have the license restored upon payment of the current renewal. A licensee seeking restoration of a license shall be required to submit proof of the required hours of CE set forth in Section 1340.61. These CE hours shall be earned within the 2 years immediately preceding the restoration of the license.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration may be requested to:

1. Provide the requested information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts of information. Upon the recommendation of the Board and approval by the Director, an applicant shall have the license restored or will be notified in writing of the reason for the denial of the application.

History

• Source: Amended at 42 Ill. Reg. 14185, effective July 11, 2018

68 Ill. Adm. Code 1340.61 Continuing Education

a) CE Hour Requirements

1. Every physical therapist shall complete 40 hours of CE relevant to the practice of physical therapy during each prerenewal period as a condition of renewal. Beginning with the September 2016 renewal, at least 3 hours of the 40 hours must include content related to the ethical practice of physical therapy, including jurisprudence.

2. Every physical therapist assistant shall complete 20 hours of CE relevant to the practice of physical therapy during each prerenewal period as a condition of renewal. Beginning with the September 2017 renewal, at least 3 hours of the 20 hours must include content related to the ethical practice of physical therapy, including jurisprudence.

3. A prerenewal period is the 24 months preceding September 30 in the year of the renewal.

4. A CE hour equals 50 minutes. After completion of the initial CE hour, credit may be given in one-half hour increments.

5. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of academic credit awarded.

6. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

7. Physical therapists and physical therapist assistants licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section. CE credit hours used to satisfy the CE requirements of another state may be submitted for approval for fulfillment of the CE requirements of the State of Illinois if the CE requirements in the other state are equivalent to the CE requirements in this Section.

b) Approved CE

1. All CE activities shall be relevant to the advancement, extension and enhancement of providing patient/client management, including but not limited to physical therapy examination, evaluation, intervention, and prevention and providing physical therapy services or fulfilling the other professional roles of a physical therapist or physical therapist assistant. Courses not acceptable for the purpose of this definition include, but are not limited to, personal estate planning, personal financial planning, personal investments, and personal health.

2. CE hours may be earned by verified attendance at or participation in a program that is offered by an approved CE sponsor who meets the requirements set forth in subsection (c). Credit shall not be given for courses taken in Illinois from unapproved sponsors.

3. CE may also be earned from the following activities:

A) Teaching a course for an approved CE sponsor or a CAPTE accredited PT or PTA program. An applicant will receive 2 hours of credit for each CE hour awarded to course attendees the first time the course is taught and 1 hour of credit for each CE hour the second time the same course is taught; no credit will be given for teaching the same course 3 or more times. A maximum of 50% of the total CE requirements may be earned through CE instruction. The applicant must be able to provide verification of unique content for each CE course taught via course goals, objectives, and outline.

B) American Board of Physical Therapy Specialties (ABPTS) Clinical Specialist Certification. An applicant will receive 40 hours of CE credit for the prerenewal period in which the initial certification is awarded.

C) American Physical Therapy Association (APTA)-approved post-professional clinical residency or fellowship. An applicant will receive 1 hour of CE credit for every 2 hours spent in clinical residency, up to a maximum of 20 hours. Clinical residency hours may not be used for CE credit if the applicant is also seeking CE credit for hours earned for post-professional academic coursework in the same prerenewal period.

D) Professional research, writing, and/or editing. An applicant may receive CE credit for publication of scientific papers, abstracts, or review articles in peer-reviewed and other professional journals; publication of textbook chapters; serving as an editor of professional books or journals; as a primary author or co-author of professional grants; and poster or platform presentations at conferences sponsored by any entity that has preapproved status, up to a maximum of 50% of the total CE requirements:

i) 15 hours for each referenced article.

ii) 3 hours for each non-refereed article, abstract of published literature or book review.

iii) 5 hours for each textbook chapter.

iv) 5 hours for each poster or platform presentation or review article.

v) 5 hours for serving as a book editor or peer-reviewed journal editor.

vi) 5 hours for serving as a primary author or co-author of professional grants.

E) Self-study.

i) An applicant may obtain 75% of his or her total CE credit by taking correspondence or web-based courses, including pre-recorded professional presentations and pre-recorded webinars, from an approved CE sponsor. These courses shall include a test that must be passed in order to obtain credit.

ii) An applicant can receive 50% of his or her total CE credit for completion of published tests/quizzes based on APTA publications. The applicant will be responsible for verifying successful completion. (These publication-based tests/quizzes, typically offered for less than 1 hour of CE credit, are the only exception to the requirement that all approved CE activities must be at least 1 hour.)

F) Virtual attendance at live professional presentations, provided the participant is able to communicate in real time with the speaker and other participants. This shall not be considered self-study under subsection (b)(3)(E).

G) Educational programs at Illinois Physical Therapy Association (IPTA) district meetings. Up to 5 hours of CE credit may be obtained for attendance at these programs. Credit will be earned based on actual hours of participation and must be verified with an attendance list and referenced presentation materials.

H) Departmental in-services. Up to 5 hours of CE credit may be obtained for attendance at in-services at healthcare facilities or organizations. Credit will be earned based on actual hours of participation and must be verified with an attendance list and referenced presentation materials.

I) Up to 5 CE hours may be earned for completion of skills certification courses. A maximum of 2 hours in cardiopulmonary resuscitation certified by the American Red Cross, American Heart Association, or other qualified organization may be accepted, while a maximum of 3 hours may be accepted for certification or recertification in Basic Life Support for Healthcare Providers (BLS), Advanced Cardiac Life Support (ACLS), or Pediatric Advanced Life Support (PALS) or their equivalent.

J) Clinical instructor. Physical therapists may obtain up to 10 hours of CE credit by being a clinical instructor and physical therapist assistants may obtain up to 5 hours of CE credit by being a clinical instructor. Credit will be earned based on hours of cumulative student clinical instruction, with 1 hour of CE credit per 120 student hours. CE credit hours for clinical instruction will be awarded by the student's academic institution.

K) Journal clubs. Up to 5 hours of CE credit may be obtained for participation in a journal club. Credit will be earned based on actual hours of participation and must be verified with an attendance list and list of articles from peer-reviewed journals discussed at each meeting.

L) Up to 8 hours of CE may be obtained by serving on the Board of Directors for the Illinois Physical Therapy Association or American Physical Therapy Association. Hours shall be calculated by number of months served with 1 credit hour for each 3 months of board service.

M) Up to 8 hours of CE may be obtained by serving on the Board of Directors or a committee or sub-committee of a chartered professional organization for physical therapists. Hours shall be calculated by number of months served with 1 credit hour for each 3 months of board service.

4. CE will not be awarded for the following types of activities:

A) Entry-level physical therapist or physical therapist assistant academic coursework.

B) Employee orientation programs.

C) Professional meetings or conventions, other than educational programming by approved sponsors.

D) Committee meetings except as defined under Sections 1340.61(b)(3)(L) and 1340.61(b)(3)(M).

E) Work experience.

F) Individual scholarship, mass media programs or self-study activities not identified in subsection (b)(2)(E).

c) CE Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) APTA and its components, including programs, courses and activities approved by the IPTA;

B) Federation of State Boards of Physical Therapy;

C) Colleges, universities, or community colleges or institutions with physical therapist or physical therapist assistant education programs accredited by the Commission on Accreditation in Physical Therapy Education; for post-professional academic coursework, all accredited colleges and universities would be approved sponsors; and

D) Any other person, firm, association, corporation, or group that has been approved and authorized by the Division pursuant to subsection (c)(2) upon the recommendation of the Board to coordinate and present CE courses or programs.

2. Entities seeking a license as a CE sponsor pursuant to subsection (c)(1)(D) shall file a sponsor application, along with the required fee set forth in Section 1340.57. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The applicant shall certify to the following:

A) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (b) and all other criteria in this Section. The applicant shall be required to submit a sample 3-hour CE program with course materials, presenter qualifications and course outline for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each course or program, and provide a certification of attendance as set forth in subsection (c)(6)(A); and

C) That, upon request by the Division, the sponsor will submit evidence as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. Each licensed sponsor shall submit by September 30 of each even-numbered year a sponsor application along with the renewal fee set forth in Section 1340.57.

4. Each CE program by a licensed sponsor shall provide a mechanism for written evaluation of the program and instructor by the participants. The evaluation forms shall be kept for 5 years and shall be made available to the Division upon written request.

5. All courses and programs shall:

A) Contribute to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of physical therapy;

B) Provide experiences that contain scientific integrity, relevant subject matter and course materials;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Provide for a mechanism for the evaluation of the program by the participants;

E) Be open to all licensed physical therapists and physical therapist assistants and not be limited to the members of a single organization or a group; and

F) Specify the number of CE hours that may be applied toward Illinois CE requirements for licensure renewal.

6. Certificate of Attendance by a Licensed Sponsor

A) It shall be the responsibility of the sponsor to provide each participant in a program with a certificate of attendance signed by the sponsor. The sponsor's certificate of attendance shall contain:

i) The name of the sponsor;

ii) The name of the participant;

iii) A detailed statement of the subject matter;

iv) The number of hours actually attended in each topic;

v) The date of the program; and

vi) Signature of the sponsor.

B) The sponsor shall maintain these records for not less than 5 years.

7. The licensed sponsor shall be responsible for assuring verified continued attendance at each program. No renewal applicant shall receive credit for time not actually spent attending the program.

8. Upon the failure of a licensed sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board pursuant to the Administrative Hearing Rules (see 68 Ill. Adm. Code 1110) shall thereafter refuse to accept CE credit for attendance at or participation in any of that sponsor's CE programs until the Division receives reasonably satisfactory assurances of compliance with this Section.

d) CE Earned in Other Jurisdictions

1. If a licensee has earned CE hours in another jurisdiction from a nonapproved sponsor for which he/she will be claiming credit toward full compliance in Illinois, that applicant shall submit an application along with a $20 processing fee prior to taking the program or 90 days prior to the expiration date of the license. The Division or the Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

2. If a licensee fails to submit an out of state CE approval form within the required time, late approval may be obtained by submitting the application with the $20 processing fee plus a $10 per CE hour late fee not to exceed $150. The Division or the Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance for a minimum of 5 years.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board, at which time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of his/her license without having fully complied with these CE requirements shall file with the Division a renewal application, the renewal fee set forth in Section 1340.57, a statement setting forth the facts concerning the noncompliance, and a request for waiver of the CE requirements on the basis of those facts. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division shall waive enforcement of the CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period; or

B) Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

i) A temporary incapacitating illness documented by a statement from a currently licensed physician. A CE waiver under this subsection (f) may only be granted for one renewal period and shall not be granted for any subsequent period;

ii) Temporary undue hardship (e.g., prolonged hospitalization, being disabled and unable to practice physical therapy on a temporary basis).

3. If an interview with the Board is requested at the time the request for the waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

4. Any renewal applicant who submits a request for waiver pursuant to subsection (f)(1) shall be deemed to be in good standing until the Division's final decision on the application has been made.

History

• Source: Amended at 48 Ill. Reg. 6034, effective April 5, 2024

68 Ill. Adm. Code 1340.65 Unprofessional Conduct

a) Pursuant to Section 17(l)(H) of the Act, unprofessional conduct in the practice of physical therapy shall include, but not be limited to:

1. The promotion of the sale of services, goods, appliances or drugs in such manner as to exploit the patient or client for the financial gain of the practitioner or of a third party.

2. Directly or indirectly offering, giving, soliciting, or receiving, or agreeing to receive any fee or other consideration to or from a third party for the referral of a patient or client.

3. Revealing of personally identifiable facts, data or information about a patient or client obtained in a professional capacity without the prior consent of the patient or client, except as authorized or required by law.

4. Practicing or offering to practice beyond the scope permitted by law, or accepting and performing professional responsibilities which the licensee knows or has reason to know that he or she is not competent to perform.

5. Delegating professional responsibilities to a person when the licensee delegating such responsibilities knows or has reason to know that the person to whom the responsibilities were delegated is not qualified by training, experience, or licensure to perform them.

6. Failing to exercise appropriate supervision over persons who are authorized to practice only under the supervision of a licensed physical therapist.

7. Overutilizing services by providing excessive evaluation or treatment procedures not warranted by the condition of the patient or by continuing treatment beyond the point of possible benefit.

8. Making gross or deliberate misrepresentations or misleading claims as to professional qualifications or of the efficacy or value of the treatments or remedies given or recommended, or those of another practitioner.

9. Gross and willful and continued overcharging for professional services, including filing false statements for collection of fees for which services are not rendered.

10. Failing to maintain a record for each patient that accurately reflects the evaluation and treatment of the patient.

11. Advertising or soliciting for patronage in a manner that is fraudulent or misleading. Examples of advertising or soliciting which is considered fraudulent or misleading, for example advertising that contains false, fraudulent, deceptive or misleading materials, warranties or guarantees of success, statements that play upon vanities or fears of the public, or statements that promote or produce unfair competition.

b) The Division hereby incorporates by reference the "Code of Ethics", July 2010, approved by the American Physical Therapy Association, 1111 North Fairfax Street, Alexandria VA 22314, with no later amendments or editions.

History

• Source: Amended at 42 Ill. Reg. 14185, effective July 11, 2018

68 Ill. Adm. Code 1340.66 Advertising

a) Persons licensed to practice physical therapy in the State of Illinois may advertise in any medium or other form of public communications in a manner which presents information to the public in a truthful, direct, dignified and readily comprehensible manner.

b) If an advertisement is communicated to the public over television or radio, it shall be prerecorded and approved for broadcast by the licensee and a recording of the actual transmission, including videotape, shall be retained by the licensee for 3 years.

c) Information which may be contained in advertising shall include, but not be limited to:

1. Licensee's name, address, office hours and telephone number;

2. Schools attended;

3. Announcement of additions to or deletions from professional staff;

4. Announcement of the opening of, change of, or return to practice;

5. Professional memberships;

6. Credit arrangements and/or acceptance of Medicare/Medicaid patients and credit cards;

7. Foreign language ability;

8. Usual and customary fees for routine professional services which must include a statement that fees may be adjusted due to complications or unforeseen circumstances; and

9. Description of offices in which licensee practices (e.g., accessibility to the disabled, convenience of parking).

d) Information which may be untruthful, fraudulent, deceptive or misleading includes, but is not limited to, that which:

1. Contains a misrepresentation of fact or omits a material fact required to prevent deception;

2. Guarantees favorable results or creates false or unjustified expectations of favorable results;

3. Takes advantage of the potential client's fears, anxieties, vanities, or other emotions;

4. Contains exaggerations pertaining to the quality of physical therapy care;

5. Describes as available products or services which are not permitted by the laws of this State or applicable federal laws; and

6. Advertises professional services which the licensee is not licensed to render.

History

• Source: Amended at 47 Ill. Reg. 13093, effective August 24, 2023

68 Ill. Adm. Code 1340.70 Granting Variances

The Director may grant variances from this Part in individual cases when he or she finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 42 Ill. Reg. 14185, effective July 11, 2018

68 Ill. Adm. Code 1340.75 Intramuscular Manual Therapy

a) A physical therapist or physical therapist assistant licensed to practice in the State of Illinois may only perform intramuscular manual therapy under the following conditions:

1. Prior to completion of the education under subsection (a)(2), successful completion of a total of 50 credit hours of college-level instruction from an accredited program in the following areas:

A) the musculoskeletal and neuromuscular system;

B) the anatomical basis of pain mechanisms, chronic pain and referred pain;

C) myofascial trigger point theory; and

D) universal precautions.

2. Completion of at least 30 hours of didactic course work specific to intramuscular manual therapy. This requirement can be fulfilled by the didactic pre-study required for the intramuscular manual therapy practicum course.

3. Successful completion of at least 54 practicum hours in intramuscular manual therapy course work offered through an approved CE sponsor as defined in Section 1340.61(c). Each instructional course shall specify what anatomical regions are included in the instruction and describe whether the course offers introductory or advanced instruction in intramuscular manual therapy. Each instruction course shall include the following areas:

A) intramuscular manual therapy technique;

B) intramuscular manual therapy indications and contraindications;

C) documentation of intramuscular manual therapy;

D) management of adverse effects;

E) practical psychomotor competency; and

F) the Occupational Safety and Health Administration's Bloodborne Pathogens standard.

4. Postgraduate classes qualifying for completion of the mandated 54 hours of intramuscular manual therapy shall be in one or more modules, with the initial module being no fewer than 27 hours. Therapists or physical therapist assistants shall complete at least 54 hours in no more than 24 months.

5. Completion of at least 200 patient treatment sessions.

A) Physical therapists must complete the treatment sessions under general supervision supported by the American Physical Therapy Association.

B) Physical therapist assistants must complete the treatment sessions under direct line of sight supervision by a licensed physical therapist who has met the requirements of this Section.

6. Successful completion of a competency examination approved by the Division. The Division will accept competency examinations administered as part of the intramuscular manual therapy practicum course work.

b) Each licensee is responsible for maintaining records of the completion of the requirements of subsection (a) and shall be prepared to produce those records upon request by the Division.

c) A newly-licensed physical therapist shall not practice intramuscular manual therapy for at least one year from the date of initial licensure unless the practitioner can demonstrate compliance with subsection (a) through the practitioner's prelicensure educational coursework.

d) Intramuscular manual therapy may be performed by a licensed physical therapist and only be delegated to a licensed physical therapist assistant that has met the requirements of this Section and is supervised by a licensed physical therapist who has met the requirements of this Section and maintains direct line of sight observation and supervision of the physical therapist assistant at all times while the treatment is rendered.

e) A physical therapist or physical therapist assistant shall not advertise, describe to patients or the public, or otherwise represent that dry needling is acupuncture, nor shall the physical therapist or physical therapist assistant represent that they practice acupuncture unless separately licensed under the Acupuncture Practice Act [225 ILCS 2].

History

• Source: Amended at 47 Ill. Reg. 13093, effective August 24, 2023

68 Ill. Adm. Code 1340.85 Physical Therapy Services

a) A physical therapist providing services without a referral from a health care professional must notify the patient's treating health care professional within 5 business days after the patient's first visit that the patient is receiving physical therapy pursuant to Section 1.2 of the Act. In the case where there is no treating health care professional, the physical therapist should offer to notify a health care professional of the patient's choice.

b) A physical therapist providing services to a patient who has been diagnosed by a health care professional as having a chronic disease that may benefit from physical therapy must communicate at least monthly with the patient's treating health care professional to provide updates on the patient's course of therapy pursuant to Section 1.2 of the Act. This provision does not apply to services delivered by a physical therapist as part of the Illinois Early Intervention (EI) Program, an individualized education plan (IEP), or a federal 504 plan (29 U.S.C. 701) through a school system.

History

• Source: Added at 47 Ill. Reg. 13093, effective August 24, 2023

Chapter VII DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION SUBCHAPTER b: PROFESSIONS AND OCCUPATIONS

Part 1345 Rules for the Licensed Certified Professional Midwife Practice Act

68 Ill. Adm. Code 1345.10 Definitions

"Act" means the Licensed Certified Professional Midwife Practice Act [225 ILCS 64].

"Birth Center" means a facility licensed by the Department of Public Health under the Birth Center Licensing Act [210 ILCS 170].

"Board" means the Illinois Midwifery Board.

"Department" means the Department of Financial and Professional Regulation of the State of Illinois.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

68 Ill. Adm. Code 1345.15 Application for Licensure

a) An applicant for licensure as a licensed certified professional midwife shall file an application on forms provided by the Division. Applicants must be at least 21 years of age. The application shall include:

1. Certification of successful completion of a postsecondary midwifery education program through an institution, program, or pathway accredited by the Midwife Education and Accreditation Council that has both academic and clinical practice incorporated throughout the curriculum;

2. Valid certified professional midwife certification granted by the North American Registry of Midwives or its successor organization;

3. Proof of active cardiopulmonary resuscitation certification;

4. Proof of active neonatal resuscitation provider status;

5. Certification of successful completion of an examination as provided in Section 1345.20. The certification shall be forwarded to the Division from the testing entity; and

6. The fee required in Section 1345.55.

b) In lieu of meeting the requirement in subsection (a)(1), an applicant who has held a valid certified professional midwife certification granted by the North American Registry of Midwives for at least 3 years may provide proof of completion of the midwifery bridge certificate granted by the North American Registry of Midwives, provided that the applicant applies for licensure by October 1, 2025. Applicants applying under this subsection (b) shall meet all other requirements for licensure under the Act and this Part.

c) Certification of cardiopulmonary resuscitation training shall be provided or sponsored by the American Red Cross, American Heart Association, Health and Safety Institute, or similar organization approved by the Board; by a licensed hospital; by a licensed physician or registered nurse; or by an emergency medical technician employed by a fire or police department.

d) Certification of neonatal resuscitation provider training shall be provided or sponsored by the American Academy of Pediatrics, the Canadian Paediatric Society, or similar organization approved by the Board.

e) Cardiopulmonary resuscitation and neonatal resuscitation provider training under this Section must include a hands-on skills component. Online only courses are not acceptable.

68 Ill. Adm. Code 1345.20 Examination

a) The examination approved by the Division for licensure as a licensed certified professional midwife is the North American Registry of Midwives Examination. The passing score on the examination shall be the passing score established by the testing entity. The scores shall be submitted to the Division from the designated testing service.

b) An applicant who fails an examination may retake the examination in accordance with the procedures established by the testing entity.

c) The applicant shall pay examination fees to the testing entity. These fees are in addition to the license application fee payable to the Division.

68 Ill. Adm. Code 1345.25 Endorsement

a) An applicant for licensure as a licensed certified professional midwife who is licensed under the laws of another state shall file an application on forms provided by the Division. Applicants must be at least 21 years of age. The application shall include:

1. A certification from the jurisdiction of original licensure and current licensure stating:

A) The date of issuance and status of the license; and

B) Whether the records of the applicant's current licensing authority contain any record of any disciplinary actions taken or pending.

2. Proof of the following:

A) Valid certified professional midwife certification granted by the North American Registry of Midwives;

B) Active cardiopulmonary resuscitation certification;

C) Active neonatal resuscitation provider status; and

D) Certification of previous successful completion of an examination that is the same or similar to the examination as provided for in Section 1345.20. If the applicant does not meet this requirement, the applicant must successfully complete the examination provided for in Section 1345.20.

3. The fee required in Section 1345.55.

b) The Division shall examine each endorsement application to determine whether the requirements in the other state at the date of licensing were substantially equivalent to the requirements of the Act and this Part.

68 Ill. Adm. Code 1345.30 Renewals

a) All licenses issued under the Act shall expire October 31 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee.

b) Compliance with the continuing education requirement in Section 1345.35 and verification of active cardiopulmonary resuscitation and neonatal resuscitation certifications are conditions of renewal.

c) Practice on an expired license shall be considered unlicensed practice and shall be grounds for discipline pursuant to Section 100 of the Act.

68 Ill. Adm. Code 1345.35 Continuing Education

a) Continuing Education Requirements

1. Beginning with the 2028 renewal period, all licensed certified professional midwives shall complete 20 hours of approved continuing education per two-year license renewal cycle.

2. All continuing education must be completed in the 24 months preceding expiration of the license.

3. A renewal applicant shall not be required to comply with continuing education requirements for the first renewal of an Illinois license.

4. Licensed certified professional midwives licensed in Illinois but residing and practicing in other states shall comply with the continuing education requirements set forth in this Section.

5. Continuing education hours used to satisfy the continuing education requirements of another jurisdiction may be applied to fulfill the continuing education requirements of the State of Illinois.

b) Approved Continuing Education Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) The Illinois Council of Certified Professional Midwives;

B) Birth Emergency Skills Training;

C) American Academy of Family Physicians Foundation;

D) National Association of Certified Professional Midwives;

E) American College of Nurse Midwives;

F) American College of Obstetricians and Gynecologists;

G) Association of Women's Health, Obstetric and Neonatal Nurses;

H) American Academy of Pediatrics;

I) American Nurses Association;

J) American Nurse Credentialing Center;

K) Illinois Society for Advanced Practice Nursing;

L) American College of Nurse Practitioners;

M) American Academy of Nurse Practitioners;

N) Any Midwifery Education Accreditation Council accredited or North American Registry of Midwives approved continuing education;

O) Any other accredited school, college, or university, State agency, or association approved by the Division upon recommendation of the Board. The organization seeking approval shall submit an application on forms provided by the Division and pay the required fee as provided in Section 1345.55.

2. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the profession of midwifery;

B) Foster the enhancement of the midwifery profession and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content, and teaching methods to be used; and

E) Specify the number of continuing education hours that may be applied to fulfilling the Illinois continuing education requirements for license renewal.

3. Continuing education may be offered in a classroom setting or by online instruction.

4. Each continuing education program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program/presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or electronic means. The sponsor and instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. A sponsor approved pursuant to subsection (b)(1) may subcontract with individuals or organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the approved sponsor. The presenter of the program may also be identified but should be identified as a presenter. When an approved sponsor subcontracts with a presenter, the sponsor retains all responsibility for monitoring attendance, providing certificates of attendance, and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. Certification Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The sponsor's name and, if applicable, sponsor approval number;

B) The name of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

7. The sponsor shall maintain attendance records for not less than five years.

8. The sponsor shall be responsible for assuring that no renewal applicant will receive continuing education credit for time not actually spent attending the program.

9. Upon the failure of the sponsor to comply with any of the requirements of this subsection (b), the Division, after notice to the sponsor, shall thereafter refuse to accept for continuing education attendance at or participation in any of that sponsor's continuing education programs until the Division receives assurances of compliance with this Section.

10. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved continuing education program at any time to ensure compliance with requirements of this Section.

c) Certification of Compliance with Continuing Education Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the continuing education requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the continuing education requirements (e.g. certificates of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with continuing education requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings.

d) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned continuing education hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (b)(2).

2. If a licensee fails to submit an out-of-state continuing education approval form within the required time, late approval may be obtained by submitting the approval request with the $25 processing fee plus a late fee of $50 per continuing education hour, not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (b)(2).

e) Waiver of Continuing Education Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these continuing education requirements shall file with the Division a renewal application, along with the required fee set forth in Section 1345.55, an affidavit setting forth the facts concerning noncompliance and a request for waiver of the continuing education requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division will waive enforcement of continuing education requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the continuing education requirements during the applicable pre-renewal period because of:

A) Full-time service in the Armed Forces of the United States during a substantial part of the pre-renewal period;

B) An incapacitating illness documented by a statement from a currently licensed health care provider;

C) A physical inability to access the sites of approved programs or online sources documented by a currently licensed health care provider; or

D) Any other similar extenuating circumstances.

3. When the licensee is requesting a waiver due to physical or mental illness or incapacity, the licensee shall provide a current fitness to practice statement from a currently licensed health care provider familiar with the licensee's medical history.

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

68 Ill. Adm. Code 1345.40 Midwife Assistant

a) A midwife assistant performs basic administrative, clerical, and supportive services under the supervision of a certified professional midwife. (Section 10 of the Act)

b) "Midwife supportive services" means simple routine medical tasks and procedures that may be safely performed by a midwife assistant pre-labor and during labor, delivery, and postpartum, including, but not limited to, collecting patient information, drawing blood, providing medications, administering medication by injection, assisting in newborn delivery, assisting in immediate newborn care, assisting in patient daily living care, and labor support in accordance with Section 70 of the Act. All services must be delegated by the supervising licensed certified professional midwife and must be within the training and education received by the midwife assistant. Supervision requires the on-premises presence of the licensed certified professional midwife for administering medications by injection, assisting in newborn delivery, and assisting in immediate newborn care, except in instances of emergency deliveries. If the supervising licensed certified professional midwife is not on premise, the licensed certified professional midwife must be accessible to the midwife assistant and provide supervision by telephone, cellular phone, or text for all other services or tasks performed by the midwife assistant. An "emergency delivery" is an unplanned delivery performed by a midwife assistant prior to the arrival of the licensed certified professional midwife at the intended birth location.

c) The licensed certified professional midwife is responsible for ensuring that the midwife assistant has been properly trained to provide the services delegated to the midwife assistant by the licensed certified professional midwife. Training received shall be documented and kept on file as required by Section 1345.60.

68 Ill. Adm. Code 1345.45 Restoration

a) A person seeking reinstatement of a license that has expired for three years or less shall have the license reinstated upon payment of all lapsed renewal fees required by Section 1345.55 and proof of completion of the continuing education required under Section 1345.35.

b) A person seeking reinstatement of a license that has been placed on inactive status under Section 60 of the Act for three years or less shall have the license reinstated upon payment of the current renewal fee required by Section 1345.55 and proof of completion of the continuing education required under Section 1345.35.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than three years shall file an application, on forms supplied by the Division, proof of completion of the continuing education required under Section 1345.35, proof of active cardiopulmonary resuscitation and neonatal resuscitation certifications, and payment of the restoration fee required by Section 1345.55. The person shall also submit either:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the person was authorized to practice during the term of active practice;

2. Current valid certified professional midwife certification granted by the North American Registry of Midwives or its successor organization; or

3. An affidavit attesting to military service as provided in Section 55 of the Act.

d) A person seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation for three years or less shall:

1. comply with the same requirements provided in subsection (b);

2. provide sufficient evidence to establish that the person has been rehabilitated;

3. and pay the restoration fee required by Section 1345.55.

e) A person seeking restoration of a license that has been revoked, suspended, or in refuse to renew status for more than three years shall:

1. comply with the same requirements provided in subsection (d);

2. provide sufficient evidence to establish that the person is fit to practice midwifery including at a minimum compliance with subsection (c)(2) and proof of current cardiopulmonary resuscitation and neonatal resuscitation provider certifications;

3. provide sufficient evidence to establish that the person has been rehabilitated.

f) Except for persons seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation, when the accuracy or sufficiency of any submitted documentation is questioned by the Division because of a lack of information, discrepancies, or conflicts in information given or a need for clarification, the person seeking restoration of a license may be requested to:

1. Provide information as may be necessary related to the practice of midwifery; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflict in information.

68 Ill. Adm. Code 1345.50 Rehabilitation

a) Upon written petition for restoration of a license from discipline pursuant to Section 1345.45, the Board shall consider, but is not limited to, the following in determining if the person is to be deemed sufficiently rehabilitated to warrant the public trust:

1. The seriousness of the offense that resulted in the disciplinary action being considered or being taken;

2. The length of time that elapsed since the disciplinary action was taken;

3. The profession, occupation and outside activities in which the petitioner has been involved;

4. Any counseling, medical treatment, or other rehabilitative treatment received by the petitioner;

5. Compliance with Section 1345.45(d) and (e), except for payment of renewal fees, which is a condition for petitioning for restoration;

6. Continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered or having been taken;

7. Written reports and oral testimony by other persons relating to the skill, knowledge, honesty, integrity, and contriteness of the petitioner;

8. Restitution to injured parties;

9. Future plans of the petitioner;

10. Involvement of the petitioner's family and friends in the petitioner's rehabilitation process;

11. A written report of a physical or mental examination given by a licensed health care provider selected by the Board and paid for by the petitioner;

12. Any other information evidencing rehabilitation that would bear upon the petitioner's request for restoration of a license;

13. Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

14. The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

15. Whether there has been compliance with any probationary terms imposed.

b) In addition to the factors contained in subsection (a), the Board may find that there is sufficient evidence in the record to recommend to the Director that the petitioner must also successfully complete a competency examination in compliance with Section 1345.20 and paid for by the petitioner, prior to restoration of a license.

68 Ill. Adm. Code 1345.55 Fees

The following fees shall be paid to the Division and are not refundable:

a) The fee for application for a license under Sections 1345.15 or 1345.25 is $500.00.

b) The fee for renewal of a license is $500.00.

c) The fee for restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees not to exceed two renewal periods.

d) The fee for certification of a licensee's record for any purpose is $20.

e) The fee for a continuing education sponsor subject to approval of the Board is $500. The fee is waived for a State agency, State university, or community college.

f) The fee for a two-year renewal for a continuing education sponsor subject to approval of the Board is $250. The renewal fee is waived for a State agency, State university, or State community college.

68 Ill. Adm. Code 1345.60 Recordkeeping

Licensees shall maintain the following records, subject to inspection by the Division:

a) Records documenting the care and treatment for each patient and each patient's neonate including, but not limited to:

1. Establishing compliance with Section 65 of the Act (Informed Consent);

2. Establishing compliance with Section 70 of the Act (Scope of Practice);

3. Establishing compliance with Section 75 of the Act (Consultation and Referral);

4. The reasons for any consultation and/or referral pursuant to Section 75 of the Act and the outcome or results;

5. Establishing compliance with Section 80 of the Act (Transfer);

6. The reasons for any transfer pursuant to Section 80 of the Act and the outcome or results, if known;

7. A copy of any report of an adverse occurrence filed with the Division pursuant to Section 1345.65; and

8. The name and license number of each licensed certified professional midwife and the name of each midwife assistant providing services.

b) A copy of each annual report filed with the Department of Public Health pursuant to Section 90 of the Act.

c) A file on each midwife assistant employed by and/or assisting the licensed certified professional midwife that contains at a minimum the following information:

1. Name, residence address, telephone number, email address, Social Security number, and date of birth;

2. Current certifications for pulmonary resuscitation and neonatal resuscitation training; and

3. Documentation of any other training received by the midwife assistant.

d) Patient and neonate records required under subsection (a) shall be maintained for a period of not less than six years after delivery or attempted delivery. The file for each midwife assistant required under subsection (c) shall be maintained for a period of not less than six years after termination of employment or relationship.

e) A licensed certified professional midwife shall be deemed to be in compliance with the recordkeeping requirements of this Section if the certified licensed professional midwife is employed by or is practicing at a birth center, the birth center maintains the records required by this Section, and the Division has access to these records.

68 Ill. Adm. Code 1345.65 Adverse Occurrences

a) "Adverse occurrence" shall be defined for the purposes of this Section as:

1. The death of a neonate under the licensee's care within 48 hours after delivery or attempted delivery, not including a stillbirth or miscarriage;

2. The death after a pregnant or postpartum patient under the licensee's care within 48 hours after delivery or attempted delivery;

3. The in-patient emergency hospitalization of a neonate under the licensee's care within 48 hours after delivery or attempted delivery; or

4. The in-patient emergency hospitalization of a patient under the licensee's care within 48 hours after delivery or attempted delivery.

b) "Emergency hospitalization" shall be defined for the purposes of this Section as a hospitalization of a neonate or patient suffering an acute injury or illness that poses an immediate risk to life or long-term health requiring immediate medical attention and that is related to delivery or attempted delivery.

c) Maternal emergency hospitalization events reportable under this Section include:

1. Acute myocardial infarction;

2. Aneurysm;

3. Acute renal failure;

4. Adult respiratory distress syndrome;

5. Amniotic fluid embolism;

6. Cardiac arrest/ventricular fibrillation;

7. Conversion of cardiac rhythm;

8. Disseminated intravascular coagulation;

9. Eclampsia;

10. Heart failure/arrest;

11. Puerperal cerebrovascular disorders;

12. Pulmonary edema/acute heart failure;

13. Severe anesthesia complications;

14. Sepsis;

15. Shock;

16. Sickle cell disease with crisis;

17. Air and thrombotic embolism;

18. Blood products transfusion;

19. Hysterectomy;

20. Temporary tracheostomy;

21. Ventilation;

22. Hemorrhage or excessive laceration bleeding requiring repair;

23. Retained placenta;

24. Cord prolapse; or

25. Other adverse conditions or occurrences equivalent to those listed above.

d) Neonatal emergency hospitalization events reportable under this Section include:

1. Severe birth trauma;

2. Severe hypoxia/asphyxia;

3. Severe shock and resuscitation;

4. Neonatal severe respiratory complications;

5. Neonatal severe infection;

6. Neonatal severe neurological complications;

7. Severe shock and resuscitation procedures;

8. Neonatal severe respiratory procedures;

9. Neonatal severe neurological procedures;

10. Sepsis; or

11. Other adverse conditions or occurrences equivalent to those listed above.

e) A licensee shall report to the Division within 24 hours after each adverse occurrence that involves the death of a neonate or patient. The report shall be submitted to the Division on a form provided by the Division and mailed to the Division or submitted electronically.

f) A licensee shall report to the Division within 14 days after each adverse occurrence that involves the in-patient emergency hospitalization of a neonate or patient. The report shall be submitted to the Division on a form provided by the Division and mailed to the Division or submitted electronically.

g) The adverse occurrence report shall be in writing and shall include:

1. The licensee's name and license number;

2. The date and time of the occurrence;

3. The location of the occurrence, including the name and address of the birth center, if applicable;

4. The name of the patient;

5. The name of the hospital involved in the occurrence, if any; and

6. The circumstances involved in such occurrence.

h) The adverse occurrence report is required by the Division to assist in its mission of protecting the public. The filing of such report by a licensee shall not constitute an admission by the licensee of any wrongdoing, malpractice, error or omission in treatment, or even that the death or in-patient emergency hospitalization is related to the licensee's care. A licensee shall be responsible for filing an adverse occurrence report only for those adverse occurrences of which the licensee has knowledge or should reasonably have been expected to have knowledge. In the event that a licensee does not have knowledge or cannot reasonably be expected to have knowledge, but subsequently obtains actual knowledge of an adverse occurrence, then such licensee shall file an adverse occurrence report within 24 hours after obtaining knowledge of the death of a neonate or patient or within 14 days after obtaining knowledge of the in-patient emergency hospitalization of a neonate or patient. An adverse occurrence report is an investigatory record and is confidential under Section 180 of the Act.

i) Failure to provide such a report to the Division shall be grounds for discipline (see Section 100(a)(8) of the Act and Section 1345.70).

j) A licensed certified professional midwife shall be deemed to be in compliance with the reporting requirements of this Section if the licensed certified professional midwife is employed by or is practicing at a birth center and the birth center submits the report required by this Section.

68 Ill. Adm. Code 1345.70 Dishonorable, Unethical, or Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its findings of dishonorable, unethical, or unprofessional conduct pursuant to Section 100(a)(8) of the Act, which includes, but is not limited to, the following acts or practices:

a) Engaging in conduct likely to deceive, defraud, or harm the public, or demonstrating a willful disregard for the health, welfare, or safety of a patient or patient's neonate. Actual injury need not be established.

b) A departure from or failure to conform to the standards of practice as set forth in the Act or this Part. Actual injury to a patient or patient's neonate need not be established.

c) Engaging in behavior that violates professional boundaries (such as signing wills or other documents not related to client health care).

d) Engaging in sexual conduct with a patient or conduct that may reasonably be interpreted by a patient as sexual, or behavior that is sexually harassing to a patient, including any verbal behavior that is sexual harassing.

e) Demonstrating actual or potential inability to practice with reasonable skill, safety, or judgment by reason of illness, use of alcohol, drugs, chemicals, or any other material or as a result of any mental or physical condition.

f) Misrepresenting educational background, training, credentials, or competence.

g) Committing any other act or omission that breaches the midwife's responsibility to a patient or patient's neonate according to accepted standards of practice.

h) Making false or misleading statements in the annual report required under Section 90 of the Act.

i) Failure to file an adverse occurrence report as required under Section 1345.65.

j) Making false or misleading statements in an adverse occurrence report as required under Section 1345.65.

k) Delegating tasks to a midwife assistant for which the midwife assistant has not been properly trained to provide.

l) In a birth center setting, violation of any provision of the Birth Center Licensing Act [210 ILCS 170] or the rules promulgated thereunder (77 Ill. Adm. Code 264).

m) Violation of any provision of Section 1345.80 (Patient Rights).

68 Ill. Adm. Code 1345.75 Authorized Medications

In addition to the medications authorized in Section 70 of the Act and pursuant to Section 70 of the Act, the following medications are authorized medications for use by a licensed certified professional midwife:

a) Tranexamic Acid;

b) Hemabate;

c) Penicillin;

d) Ampicillin;

e) Cefazolin;

f) Clindamycin; and

g) Acetaminophen.

68 Ill. Adm. Code 1345.80 Patient Rights

a) A patient shall not be deprived of any rights, benefits, or privileges guaranteed by law based solely on the patient's status as a patient of the licensed certified professional midwife's practice.

b) Every patient shall be permitted to refuse medical treatment and to know the consequences of such action.

c) It is the right of every pregnant person and support person to expect and receive services as per the Medical Patient Rights Act [410 ILCS 50] and as listed below:

1. Good quality care and high professional standards that are continually maintained and reviewed;

2. Answers to questions regarding services and treatment, and the names and functions of the staff person providing services;

3. Confidentiality of client records. Information from or copies of records may be released only to authorized individuals, and the licensed certified professional midwife or the birth center shall ensure that unauthorized individuals cannot gain access to or alter patient records. The licensed certified professional midwife or the birth center shall release original medical records only in accordance with federal or State laws, court orders, or subpoenas;

4. Unimpeded, private, and uncensored communication by mail and telephone. The licensed certified professional midwife or the birth center shall ensure that correspondence is promptly received and mailed, and that telephones are reasonably accessible;

5. Respectful and dignified treatment at all times;

6. Information regarding cost and counseling on the availability of known financial resources to the service being rendered;

7. Disclosure and discussion of the nature, purposes, expected effects, and results of the medical treatment under consideration, prior to signing an informed consent;

8. Access to an obstetrician, family practitioner (family physician), physician, certified nurse midwife, or licensed certified professional midwife;

9. A copy of the rules of the licensed certified professional midwife's practice or of the birth center that apply to conduct as a pregnant person, spouse, support person, and other family member or visitor;

10. A written copy of the rights guaranteed by this Section, by the licensed certified professional midwife's practice, or by the birth center;

11. Treatment without discrimination based upon race, color, religion, sexual preference, national origin, or source of payment; and

12. The right to expect emergency procedures to be implemented without necessary delay.

d) The licensed certified professional midwife shall provide written notice to each patient that the licensee is licensed by the Division and the process to initiate a complaint with the Division.

68 Ill. Adm. Code 1345.85 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1350 Physician Assistant Practice Act of 1987

68 Ill. Adm. Code 1350.10 Statutory Authority (repealed)

History

• Source: Repealed at 18 Ill. Reg. 18046, effective December 12, 1994

68 Ill. Adm. Code 1350.20 Definitions

"Act" means the Physician Assistant Practice Act of 1987 [225 ILCS 95].

"Advisory Committee" means the Physician Assistant Advisory Committee to the Medical Licensing Board.

"Collaborating Physician" means a physician licensed to practice medicine in all of its branches under the Medical Practice Act and who is the collaborating physician of the physician assistant in accordance with Section 4(7) of the Act. A collaborating physician may collaborate with a maximum of 7 full-time equivalent physician assistants; except that, a collaborating physician may collaborate with more than 7 physician assistants when the services are provided in a federal primary care health professional shortage area with a Health Professional Shortage Area score greater than or equal to 12, as determined by the U.S. Department of Health and Human Services. The collaborating physician must keep appropriate documentation of meeting this exemption and make it available to the Department upon request. (See Section 54.5(a-5) of the Medical Practice Act.)

"Department" means the Department of Financial and Professional Regulation of the State of Illinois.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Disciplinary Board" means the Medical Disciplinary Board established pursuant to Section 7 of the Medical Practice Act.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Licensing Board" means the Medical Licensing Board established pursuant to Section 8 of the Medical Practice Act.

"Medical Practice Act" means the Medical Practice Act of 1987 [225 ILCS 60].

"Mid-level Practitioner Controlled Substances License" means a license issued by the Division pursuant to the Illinois Controlled Substances Act [720 ILCS 570] to a licensed physician assistant who has been delegated prescriptive authority by a collaborating physician for Schedule II, III, IV and/or V controlled substances.

"Physician Assistant" means a person licensed by the Division and who practices in accordance with the provisions set forth in the Act. A physician assistant is only authorized to practice within the current scope of practice of the collaborating physician and is further limited by his/her education, training and experience.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.25 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees.

The fee for application for a license as a physician assistant is $50.

b) Renewal Fees.

The fee for the renewal of a license shall be calculated at the rate of $40 per year.

c) General Fees.

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees.

2. The fee for a certification of a licensee's record for any purpose is $20.

3. The fee for a roster of persons licensed as physician assistants in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.30 Approved Programs

A program approved by the Division shall consist of one of the following:

a) A program that has been approved by the Accreditation Review Commission on Education for the Physician Assistant, or its successor agency as approved by the Division, for the training of physician assistants; or

b) Educational programs that meet the criteria specified by the National Commission on Certification of Physician Assistants, or its successor agency as approved by the Division, for eligibility to the Certifying Examination.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.40 Application for Licensure

a) An applicant for licensure as a physician assistant shall file an application on forms provided by the Division. The application shall include:

1. Current valid certification issued by the National Commission on Certification of Physician Assistants (NCCPA) or its successor agency as approved by the Division. If the applicant is unable to provide proof of current valid certification, the applicant shall provide:

A) Certification of graduation from an approved program that meets the requirements set forth in Section 1350.30 or certification from the National Commission on Certification of Physician Assistants, or its successor agency as approved by the Division, that the applicant has substantially equivalent training and experience; and

B) Certification of successful completion of the Physician Assistant National Certifying Examination. The certification shall be forwarded to the Division from the National Commission on Certification of Physician Assistants, or its successor agency as approved by the Division;

2. A certification from the jurisdiction of original licensure and current licensure stating (if applicable):

A) The date of issuance and status of the license; and

B) Whether the records of the licensing authority contain any record of disciplinary actions taken or pending;

3. The fee required in Section 1350.25.

b) A physician assistant license will be issued when the applicant meets the requirements set forth above. However, a physician assistant may not practice until a notice of collaboration has been filed in accordance with Section 1350.100.

c) The collaborating physician shall submit a notice of prescriptive authority indicating the physician assistant has been delegated prescriptive authority. If the physician assistant has a written collaborative agreement with more than one physician, a separate notice of prescriptive authority shall be submitted by each collaborating physician. In addition, if prescriptive authority includes Schedule II, III, IV and/or V controlled substances, the physician assistant will be required to apply for a mid-level practitioner license in accordance with the Illinois Controlled Substances Act.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.50 Temporary Certificate (repealed)

History

• Source: Repealed at 33 Ill. Reg. 1484, effective January 8, 2009

68 Ill. Adm. Code 1350.55 Prescriptive Authority

a) A collaborating physician may, but is not required to, delegate limited prescriptive authority to a physician assistant. This authority may, but is not required to, include prescription and dispensing of legend drugs and controlled substances categorized as Schedule II, III, IV, or V controlled substances, as defined in Article II of the Illinois Controlled Substances Act and other preparations, including but not limited to, botanical and herbal remedies, as delegated in the written guidelines required by the Act. (Section 7.5 of the Act) The collaborating physician must have a valid, current Illinois controlled substance license and federal registration with the Drug Enforcement Agency to delegate the authority to prescribe controlled substances.

b) Pursuant to Section 7.5(b)(3) of the Act, a collaborating physician may, but is not required to, delegate authority to a physician assistant to prescribe Schedule II controlled substances by oral dosage or topical or transdermal application, if all of the following conditions apply:

1. The delegated Schedule II controlled substance is specially identified by either brand name or generic name. Schedule II controlled substances to be delivered by injection or other route of administration may not be delegated.

2. The delegated Schedule II controlled substances are routinely prescribed by the collaborating physician or podiatric physician.

3. Any prescription must be limited to no more than a 30-day supply, with any continuation authorized only after prior approval of the collaborating physician.

4. The physician assistant must discuss the condition of any patients for whom a controlled substance is prescribed monthly with the collaborating physician.

5. The physician assistant meets the education requirements of Section 303.05 of the Illinois Controlled Substances Act.

c) A physician assistant who has been delegated prescriptive authority shall be required to obtain a mid-level practitioner-controlled substances license under Section 303.05 of the Illinois Controlled Substances Act. The collaborating physician shall file with the Department notice of delegation of prescriptive authority to a physician assistant and termination of delegation, specifying the authority delegated or terminated.

d) A collaborating physician and physician assistant shall have written guidelines that govern the physician assistant delegated prescriptive authority. The written guidelines shall include a statement indicating that the collaborating physician has delegated prescriptive authority for legend drugs and/or any schedule of controlled substances. The delegation must be appropriate to the physician's practice and within the scope of the physician assistant's training. The written guidelines shall be signed by both the physician and the physician assistant. The physician assistant's state-controlled substance license number and the Drug Enforcement Administration (DEA) registration number shall be maintained at each location where the physician assistant practices. A copy of the written prescriptive guidelines shall be made immediately available upon request.

e) A physician assistant may only prescribe or dispense prescriptions or orders for drugs and medical supplies within the scope of practice of the collaborating physician.

f) Medication orders issued by a physician assistant shall be reviewed periodically by the collaborating physician.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.60 Identification

a) When rendering medical services, a physician assistant shall at all times wear on his or her person a visible identification indicating that he or she is a certified physician assistant.

b) A physician assistant shall verbally identify himself or herself as a physician assistant to each patient.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.70 Permitted Tasks (repealed)

History

• Source: Repealed at 18 Ill. Reg. 18046, effective December 12, 1994

68 Ill. Adm. Code 1350.80 Performance of Collaborative Agreement

a) The collaborating physician shall maintain the final responsibility for the care of the patient and the performance of the physician assistant.

b) Delegated procedures and tasks performed by the physician assistant shall be within the current scope of practice of the collaborating physician with whom the physician assistant is working at the time.

c) The collaborating physician may collaborate with a maximum of 7 full-time equivalent physician assistants as described in Section 54.5 of the Medical Practice Act. However, a physician assistant shall be able to hold more than one professional position.

d) The physician may collaborate with more than 7 physician assistants when the services are provided in a federal primary care health professional shortage area with a Health Professional Shortage Area score greater than or equal to 12, as determined by the U.S. Department of Health and Human Services. The collaborating physician must keep appropriate documentation of meeting this exemption and make it available to the Department upon request. (See Section 54.5(a-5) of the Medical Practice Act.)

e) It is the responsibility of the collaborating physician to direct and review the work, records and practice of the physician assistant at least once a month to ensure that appropriate directions are given and understood and that appropriate treatment is being rendered.

f) In the event that the collaborating physician is not present in the same facility as the physician assistant, the collaborating physician should be available for consultation by telecommunication or electronic communication as set forth in their collaborative agreement.

g) The collaborating physician shall have full authority and responsibility to direct, supervise and limit the role of a physician assistant. Nothing contained herein shall be deemed to alter the fact that a physician assistant shall continue to bear responsibility for his/her actions to the extent that the physician assistant fails to comply with physician directives or is not carrying out those directives in a professional and appropriate manner in conformance with his/her training.

h) The physician assistant shall only work under the direction of the current collaborating physicians and may undertake patient care responsibilities only for the patients of the collaborating physicians.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.90 Scope and Function

a) A physician assistant may provide medical/surgical services delegated to him/her by the collaborating physicians when those services are within his/her education, training and experience and within the current scope of practice of the collaborating physician and are provided under the collaboration and direction of the collaborating physician.

b) The physician/physician assistant team shall establish a written collaborative agreement that is individual to the physician assistant in the practice setting and keep that agreement current and available in the collaborating physician's office or location where the physician assistant is practicing.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.100 Notification of Collaborative Agreement

a) Prior to a physician assistant performing any medical procedure or other task delegated by a collaborating physician, the collaborating physician must file with the Division notice of employment or collaboration.

b) At the termination of a collaborative agreement or employment of a physician assistant, the collaborating physician shall give written notice to the Division within 10 days after the termination of employment or agreement.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.110 Employment by a Professional Corporation or Partnership

a) Whenever a physician assistant is employed by a collaborating physician who is a member of a professional corporation or partnership or whenever the collaborating physician or the physician assistant is an employee of a professional corporation or partnership, the collaborating physician shall maintain the responsibility for the physician assistant and for the care and treatment of the persons attended by the physician assistant. Responsibility for the physician assistant cannot be transferred to such corporation or partnership.

b) Whenever a physician assistant is employed by a practice group or other entity that employs multiple physicians, one physician at that location shall be designated as the collaborating physician. A physician assistant may collaborate with another physician at the practice group who practices in the same general type of practice or specialty as the physician assistant's collaborating physician.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.112 Employment by a Hospital or by Hospital Affiliates or Ambulatory Surgical Treatment Centers

a) A physician assistant may provide services in a hospital, a hospital affiliate, or a licensed ambulatory surgical treatment center (ASTC) without a written collaborative agreement pursuant to Section 7.5 of the Act. The physician assistant employed by a hospital, hospital affiliate or ASTC is not required to file a notice of employment or collaborative agreement with the Division.

b) A physician assistant must possess clinical privileges recommended by the hospital medical staff and granted by the hospital or the consulting medical staff committee and ASTC in order to provide services. The medical staff or consulting medical staff committee shall periodically review the services of physician assistants granted clinical privileges, including any care provided in a hospital affiliate.

c) The attending physician shall determine a physician assistant's role in providing care for his or her patients, except as otherwise provided in the medical staff bylaws or consulting committee policies.

d) A physician assistant practicing in a hospital affiliate may be, but is not required to be, granted authority to prescribe Schedule II through V controlled substances when that authority is recommended by the appropriate physician committee of the hospital affiliate and granted by the hospital affiliate. To prescribe controlled substances, the physician assistant must obtain a mid-level practitioner controlled substance license.

e) A hospital affiliate shall file with the Department notice of a grant of prescriptive authority and termination of that grant of authority in accordance with Section 1350.100.

f) A physician assistant practicing in a hospital, hospital affiliate or ASTC is not required to apply for a mid-level license in accordance with the Illinois Controlled Substances Act to order controlled substances under Section 303.05 of the Illinois Controlled Substances Act.

History

• Source: Added at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.115 Renewals

a) All licenses issued under the Act shall expire on March 1 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each physician assistant to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practice on an expired license shall be considered unlicensed practice and shall be grounds for discipline pursuant to Section 21 of the Act.

d) Physician assistants must provide the Division with an email address of record.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.116 Continuing Education

a) Continuing Education (CE) Requirements

1. Beginning with the March 2, 2020 renewal period, all licensed physician assistants shall complete 50 hours of approved CE per 2-year license renewal cycle.

2. All CE must be completed in the 24 months preceding expiration of the license.

3. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

4. Physician assistants licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

5. CE hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois pursuant to subsection (e).

b) CE hours shall be earned by, but not limited to, verified attendance (e.g., certificate of attendance or certificate of completion) at, or participation in, a program or course (program) as follows:

1. CE hours shall be earned as follows:

A) A minimum of 25 hours of required CEs must be earned in Category 1 CMEs as determined by the National Commission on Certification of Physician Assistants; and

B) 25 credit hours of required CEs can be Category 1, Category 2 or a combination of both.

2. Category 1 CME

A) Regular. Programs offered by sponsors set forth in subsection (c)(1);

B) Certifications Programs. Certification and recertification programs that are preapproved (sponsored) by the American Academy of Physician Assistants (AAPA) for a maximum number of Category 1 credits.

C) Performance Improvements (PI-CME). Programs that offer a systematic approach to planning, implementing, and assessing quality improvement in the clinical practice setting.

D) Self-assessment. Programs that focus on the process of conducting a systematic review of one's own performance, knowledge base or skill set to improve future performance, expand knowledge or hone skills. Self-Assessment CME is intended primarily to address physician assistant competencies related to knowledge, patient care, and practice-based learning and improvement.

3. Category 2 CE is any educational activity that relates to medicine, patient care or the role of the physician assistant that has not been designated for Category 1 credit.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section shall mean:

A) American Academy of Family Physicians (AAFP);

B) American Academy of Physician Assistants (AAPA);

C) American Medical Association (AMA) (providers accredited by the Accreditation Council for Continuing Medical Education (ACCME));

D) American Osteopathic Association (AOA); or

E) Any other accredited school, college or university, State agency or association approved by the Department.

2. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the profession of physician assistants;

B) Foster the enhancement the physician assistant profession and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

3. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program/presentation, or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

4. A sponsor approved pursuant to subsection (c)(1) may subcontract with individuals or organizations to provide approved programs. All advertising, promotional materials and certificates of attendance must identify the approved sponsor. The presenter of the program may also be identified but should be identified as a presenter. When an approved sponsor subcontracts with a presenter, the sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

5. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The sponsor's name and, if applicable, sponsor approval number;

B) The name of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

6. The sponsor shall maintain attendance records for not less than 5 years.

7. The sponsor shall be responsible for assuring that no renewal applicant will receive CE credit for time not actually spent attending the program.

8. Upon the failure of a sponsor to comply with any of the requirements of this subsection (c), the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE attendance at or participation in any of that sponsor's CE programs until the Division receives assurances of compliance with this Section.

9. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificates of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval request with the $25 processing fee plus a late fee of $50 per CE hour, not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application, along with the required fee set forth in Section 1350.25(b), an affidavit setting forth the facts concerning noncompliance and a request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division will waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the Armed Forces of the United States during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed health care provider;

C) A physical inability to access the sites of approved programs documented by a currently licensed health care provider; or

D) Any other similar extenuating circumstances.

3. When the licensee is requesting a waiver due to physical or mental illness or incapacity, the licensee shall provide a current fitness to practice statement from a currently licensed health care provider familiar with the licensee's medical history.

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Former Section 1350.116 renumbered to Section 1350.117; new Section 1350.116 adopted at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.117 Restoration

a) A person seeking restoration of a license that has expired for 3 years or less shall have the license restored upon payment of all lapsed renewal fees required by Section 1350.25 and proof of completion of the CE required under Section 1350.116.

b) A person seeking restoration of a license that has been placed on inactive status for 3 years or less shall have the license restored upon payment of the current renewal fee and proof of completion of the CE required under Section 1350.116.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 3 years shall file an application, on forms supplied by the Division, proof of completion of the CE required under Section 1350.116, and the fee required by Section 1350.25. The person shall also submit either:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 16 of the Act; or

3. Successful completion of the examination administered by, and proof of current certification from, the National Commission on the Certification of Physician Assistants or its successor agency.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Advisory Committee to explain the relevance or sufficiency, clarify information or clear up any discrepancies or conflict in information. Upon the recommendation of the Licensing Board and approval by the Director, an applicant shall have the license restored or will be notified in writing of the reason for the denial of the application.

e) A physician assistant license will be issued when the applicant meets the requirements set forth in this Section. However, a physician assistant may not practice until a notice of collaboration has been filed in accordance with Section 1350.100.

f) The collaborating physician shall submit a notice of prescriptive authority indicating the physician assistant has been delegated prescriptive authority. If the physician assistant has a written collaborative agreement with more than one physician, a separate notice of prescriptive authority shall be submitted by each collaborating physician. In addition, if prescriptive authority includes Schedule II, III, IV and/or V controlled substances, the physician assistant will be required to apply for a mid-level practitioner license in accordance with the Illinois Controlled Substances Act.

History

• Source: Renumbered from Section 1350.116 and amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.118 Endorsement

a) An applicant for licensure as a physician assistant who is licensed under the laws of another state shall file an application with the Division that shall include:

1. A certification from the jurisdiction of original licensure and current licensure stating:

A) The date of issuance and status of the license; and

B) Whether the records of the licensing authority contain any record of any disciplinary actions taken or pending;

2. Proof of one of the following:

A) Current valid certification issued by the National Commission on Certification of Physician Assistants (NCCPA) or its successor agency; or

B) Certification of successful completion of the Physician Assistant National Certifying Examination given by the National Commission on Certification of Physician Assistants, or its successor agency;

3. The required fee set forth in Section 1350.25.

b) The Division shall examine each endorsement application to determine whether the requirements in the other state at the date of licensing were substantially equivalent to the requirements then in force in this State or equivalent to the requirements of the Act. The Division shall either issue a license by endorsement or notify the applicant of the reasons for the denial of the application.

c) A physician assistant license will be issued when the applicant meets the requirements set forth in this Section. However, a physician assistant may not practice until a notice of collaboration has been filed in accordance with Section 1350.100.

d) The collaborating physician shall submit a notice of prescriptive authority indicating the physician assistant has been delegated prescriptive authority. If the physician assistant has a written collaborative agreement with more than one physician, a separate notice of prescriptive authority shall be submitted by each collaborating physician. In addition, if prescriptive authority includes Schedule II, III, IV and/or V controlled substances, the physician assistant will be required to apply for a mid-level practitioner license in accordance with the Illinois Controlled Substances Act.

History

• Source: Renumbered from Section 1350.117 and amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.120 Granting Variances

The Director may grant variances from this Part in individual cases when he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 44 Ill. Reg. 2519, effective January 31, 2020

68 Ill. Adm. Code 1350.130 Dishonorable, Unethical or Unprofessional Conduct

a) The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its findings of dishonorable, unethical or unprofessional conduct (see Section 21(a)(8) of the Act), which includes but is not limited to, the following acts or practices:

1. Engaging in conduct likely to deceive, defraud or harm the public, or demonstrating a willful disregard for the health, welfare or safety of a patient. Actual injury need not be established.

2. A departure from or failure to conform to the standards of practice as set forth in the Act or this Part. Actual injury to a patient need not be established.

3. Engaging in behavior that violates professional boundaries (such as signing wills or other documents not related to client health care).

4. Engaging in sexual conduct with a patient or conduct that may reasonably be interpreted by a patient as sexual, or behavior that is sexually harassing to a patient, including any verbal behavior that is sexual harassing.

5. Demonstrating actual or potential inability to practice with reasonable skill, safety or judgment by reason of illness, use of alcohol, drugs, chemicals or any other material or as a result of any mental or physical condition.

6. Misrepresenting educational background, training, credentials, competence or medical staff memberships.

7. Committing any other act or omission that breaches the physician assistant's responsibility to a patient according to accepted medical standards of practice.

b) The Division hereby incorporates by reference the "Guidelines for Ethical Conduct for the PA Profession", 2013, American Academy of PAs, 2318 Mill Road, Suite 13600, Alexandria VA 22314, with no later amendments or editions.

c) The Division hereby incorporates by reference the "Guidelines for the Chronic Use of Opioid Analgesics", Federation of State Medical Boards, April 2017, 400 Fuller Wiser Road, Suite 300, Euless TX 76039. No later amendments or editions are included.

History

• Source: Added at 44 Ill. Reg. 2519, effective January 31, 2020

Part 1360 Podiatric Medical Practice Act of 1987

68 Ill. Adm. Code 1360.10 Statutory Authority (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4234, effective March 21, 1989

68 Ill. Adm. Code 1360.20 Approved Colleges of Podiatry

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) shall, upon the recommendation of the Podiatric Medical Licensing Board (Board), approve a school or college of podiatric medicine as reputable and in good standing if it meets the following minimum criteria:

1. A Dean or a designated officer, employed on a full-time basis, is responsible for coordination of student affairs and administration of the curriculum.

2. A faculty is comprised of instructors with specialty degrees in the subjects they teach from recognized professional colleges or institutions, and organized into departments, each of which has a director or chairman.

3. Has a curriculum with four academic years of instruction that contains at least the following subjects:

A) Epidemiology and Biostatistics

B) Anatomical Sciences

C) Biochemistry

D) Pharmacology

E) Microbiology

F) Physiology

G) Pathology

H) Dermatology

I) Community Health

J) Clinical Experience

K) Medical, Surgical and Physical Therapeutic Procedures

4. Accepts only graduates of a four-year high school or other preparatory school who have satisfactorily completed a minimum of 90 semester hours of general college work at one or more accredited colleges or universities.

5. Maintains permanent records showing the credentials for admission, attendance and grades of each student and specifying in detail the clinical training of each student as required in subsection (a)(8).

6. Maintains a library of modern podiatric and medical texts, periodicals, and reference books.

7. Maintains suitable facilities for instruction in all areas of podiatric medicine, including an x-ray diagnostic laboratory.

8. Provides clinical training to students, identified as such, to treat patients:

A) Training shall be in a facility affiliated with an approved podiatric medical college and licensed by the appropriate state hospital licensing authority, or a facility operated by a governmental unit; and in the presence and under the direct personal supervision of a registered podiatrist or licensed physician who is lawfully authorized to provide the treatment required by the patients.

B) Training shall include general diagnosis (history taking, physical examination, clinical laboratory procedures, diagnostic radiology); therapeutics (pharmacological, physical medicine, orthotic and prosthetics); surgery and anesthesiology; and operative procedures.

b) In determining whether a school or college should be approved, the Division shall take into consideration, but not be bound by, accreditation by the Council on Podiatric Medical Education of the American Podiatric Medical Association.

c) Withdrawal of Approval

1. The Director of the Division (Director) may, upon a written recommendation submitted by the Board, withdraw, suspend or place on probation the approval of a podiatric medical college for any of the following causes:

A) A violation of any provision of the Act;

B) A violation of this Part; or

C) Fraud or dishonesty in applying for approval of a podiatry college.

2. A podiatric medical college whose approval is being reconsidered by the Division shall be given written notice prior to any recommendation by the Board and may either submit written comments or request a hearing before the Board.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.30 Application for Examination

An applicant for the National Board of Podiatric Medical Examiners (NBPME) PM Lexis examination for licensure as a podiatric physician shall file an application with the Division or its designated testing service, on forms supplied by the Division, at least 60 days prior to an examination date. The application shall include:

a) A complete work history indicating all employment since graduation from an approved podiatric medical program which meets the requirements set forth in Section 1360.20;

b) Certification of graduation from an approved podiatric medical program;

c) Proof of passage of Part I and Part II of the examination given by the National Board of Podiatric Medical Examiners (NBPME) by NBPME standards. The applicant shall have the scores submitted to the Division or its designated testing service directly from NBPME;

d) Certification, on forms provided by the Division, from the jurisdictions of the United States in which the applicant was originally licensed and is currently licensed, if applicable, stating:

1. The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license; and

2. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

e) The required fee as provided for in Section 18(a)(1) of the Act.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.40 Examination

a) Each applicant for licensure as a podiatric physician in the State of Illinois shall be required to take the PM Lexis examination administered by the Division or its designated testing service.

b) A passing grade on the PM Lexis examination is 75.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.45 Application for Licensure on the Basis of Examination

a) Each applicant for licensure as a podiatric physician in the State of Illinois, pursuant to the Podiatric Medical Practice Act of 1987 [225 ILCS 100] (the Act), shall file an application with the Division that includes:

1. A complete work history indicating all employment since graduation from an approved podiatric medical program that meets the requirements set forth in Section 1360.20;

2. Certification of graduation from an approved podiatric medical program;

3. Proof of passage of Part I and Part II of the examination given by the NBPME by NBPME standards. The applicant shall have the scores submitted to the Division directly from NBPME;

4. Proof of successful completion of the PM Lexis examination in accordance with Section 1360.40 of this Part;

5. Proof of successful completion of one year of postgraduate training approved by the Council on Podiatric Medical Education of the American Podiatric Medical Association (APMA) which includes residency and preceptorship programs;

6. Certification, on forms provided by the Division, from the jurisdictions in which the applicant was originally licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was registered in that jurisdiction, including the date of the original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending; and

7. The required fee set forth in Section 18(a)(1) of the Act.

b) An applicant who has successfully completed in another jurisdiction a written clinical competency examination recognized by the Division pursuant to Section 1360.40 shall have the examination scores submitted directly to the Division by the reporting entity.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.50 Endorsement

a) An applicant for licensure as a podiatric physician who is licensed under the laws of another jurisdiction shall file an application with the Division that shall include:

1. A certification from the jurisdiction of original licensure and current licensure, stating:

A) The time during which the applicant was licensed in that jurisdiction; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending;

2. A complete work history indicating all employment since graduation from a program which meets the requirements set forth in Section 1360.20;

3. Certification of successful completion of Parts I and II of the examination given by the NBPME or any other examination which was a requirement of original licensure;

4. Verification of successful completion of one year of post-graduate training which is approved by the Council on Podiatric Medical Education of the APMA and includes a residency or preceptorship for individuals who were licensed after January 1, 1992;

5. Passage of the written clinical competency examination set forth in Section 1360.40;

6. The required fee set forth in Section 18(a)(1) of the Act; and

7. The Division may, in individual cases, upon recommendation of the Director, waive the written clinical competency examination set forth in Section 1360.40 for an applicant by endorsement after full consideration of his/her podiatric education, training and experience, including, but not limited to, whether he/she has achieved special honors or awards, has had articles published in professional journals, has participated in writing textbooks relating to podiatric medicine, and any other attribute that the Division accepts as evidence that such applicant has outstanding and proven ability in podiatry.

b) The Division shall examine each endorsement application to determine whether the requirements in such jurisdiction at the date of licensing were substantially equivalent to the requirements then in force in this State and whether the applicant has otherwise complied with the Act. A copy of the Act and/or rules that were in effect in the jurisdiction of original licensure may be requested to determine equivalency. The Division shall, within a reasonable time, either issue a certificate of registration by endorsement to the applicant or notify him/her of the reasons for the denial of the application.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.55 Renewals

a) Every license issued under the Act shall expire on January 31 of each odd numbered year. The holder of a license may renew such license during the month preceding the expiration date thereof by paying the required fee and meeting the continuing education requirements set forth in Section 1360.70.

b) It is the responsibility of each registrant to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew the license in a timely manner.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 24 of the Act.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.60 Restoration

a) A person seeking restoration of a license that has expired for 5 years or less shall have the license restored upon payment of $100 plus all lapsed renewal fees required by Section 18(a)(4) of the Act and proof of 100 hours of continuing education, as defined in Section 1360.70 of this Part, earned within the 2 years preceding restoration of the license.

b) A person seeking restoration of a license that has been placed on inactive status for 5 years or less shall have the license restored upon payment of the current renewal fee and proof of 100 hours of continuing education, as defined in Section 1360.70 of this Part, earned within 2 years preceding the restoration of the license.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fee required by Section 18(a)(4) of the Act, and be scheduled for an interview before the Board. The person shall also submit either:

1. Certification of active practice in another jurisdiction and proof of 100 hours continuing education as defined in Section 1360.70 of this Part during the 2 years prior to restoration. Such evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the applicant was authorized to practice during the term of active practice; or

2. Proof of successful completion of the PM Lexis examination in accordance with Section 1360.40 within one year before applying for restoration.

d) Pursuant to Section 15(D) of the Act, anyone applying for restoration of a license that has expired or been placed on inactive status while in military service shall submit an affidavit attesting to that service. If the application is made within 2 years after discharge and if all other provisions of Section 15(D) are met, the applicant will only be required to pay the current renewal fee and will not be required to submit proof of continuing education.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration of a license shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon the recommendation of the Board and approval by the Division, an applicant's license shall be restored.

History

• Source: Amended at 34 Ill. Reg. 16972, effective October 25, 2010

68 Ill. Adm. Code 1360.65 Temporary Licenses

a) An applicant for a temporary license to pursue postgraduate training shall file an application with the Division, on forms provided by the Division, that includes the following:

1. A complete work history indicating all employment since graduation from an approved podiatric medical program that meets the requirements set forth in Section 1360.20.

2. Either:

A) Certification of graduation from an approved podiatric medical program; or

B) Certification that the applicant will graduate from an approved podiatric medical program before entering into the postgraduate training. This certification shall be signed by the director or registrar of the applicant's podiatric medical program.

3. Proof of passage of Part I and Part II of the examination given by the NBPME by NBPME standards. The applicant shall have his or her scores submitted to the Division or its designated testing service, directly from NBPME.

4. Proof that the applicant has been accepted or appointed to a position in a postgraduate program approved by the Council on Podiatric Medical Education of the American Podiatric Medical Association which includes residencies and preceptorships.

5. Certification, on forms provided by the Division, from the jurisdictions in which the applicant was originally licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was registered in that jurisdiction, including the date of the original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

6. The required fee set forth in Section 18(a)(1) of the Act.

b) A temporary license shall be valid for one year.

c) Temporary licenses may be renewed one time in the following situations:

1. Serving full-time in the Armed Forces;

2. An incapacitating illness documented by a currently licensed physician; or

3. Proof of continuance of a postgraduate training program.

d) A licensee applying for renewal of a temporary certificate shall pay to the Division the fee set forth in Section 18(a)(3) of the Act.

e) If a temporary license holder terminates or is discharged from a residency or preceptorship program, the temporary license shall be null and void. If the licensee changes his/her preceptorship or residency program, he/she shall reapply for a new temporary license.

f) If the licensee applies for a permanent podiatric physician license while holding a temporary license, no permanent license shall be issued until the temporary license is returned to the Division.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.70 Continuing Education

a) Continuing Education Hour Requirements

1. Every renewal applicant who applies for renewal of a license as a podiatric physician must complete 100 hours of continuing education (CE) relevant to the practice of podiatric medicine.

2. A prerenewal period is the 24 months preceding January 31 of each odd-numbered year.

3. A renewal applicant is not required to comply with CE requirements for the first renewal.

4. Podiatric physicians licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

b) Approved Continuing Education

1. All continuing education hours must be earned by verified attendance at or participation in a program or course sponsored, approved or given by a sponsor approved by the Council on Podiatric Medical Education; sponsored by the Illinois Podiatric Medical Association; or which is offered or sponsored by an approved continuing education sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3), (4), (5), and (6).

2. A maximum of 18 hours of credit per prerenewal period may be earned through postgraduate training programs (i.e., extern, residency, or fellowship programs) approved by the Council on Podiatric Medical Education of the American Podiatric Medical Association as provided for in Section 5(G) of the Act.

3. A maximum of 18 hours per prerenewal period may be earned for verified teaching in an approved podiatric medical college which meets the standards set forth in Section 1360.20 and/or as an instructor of continuing education through an approved sponsor. One hour of credit will be granted for actual presentation, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course, and will only be allowed for additional study or research.

4. Up to 15 total credit hours per prerenewal period may be claimed for papers, publications, books, presentations and exhibits. The preparation of each published paper, book chapter or audio-visual presentation dealing with Podiatric Medicine which is made available to health professionals may be claimed as 5 hours of credit. A presentation or exhibit must be before a professional audience of podiatrists or other health professionals. Five credit hours may be claimed for only the first time the information is published or presented.

5. Up to 50 total credit hours per prerenewal period may be earned through nonsupervised individual activities in the following areas:

A) Self-Instruction – credit may be claimed for the use of audio-visual materials, programmed education materials, electronic teaching devices and the individual reading of podiatric medical literature.

B) Patient Care Review – credit may be claimed for time spent in programs concerned with the review and evaluation of patient care. This includes such activities as peer review.

C) Self-assessment – credit may be claimed for time spent in self-assessment programs. These would include, for example, quizzes completed by the podiatrist after reading professional publications of a scientific or patient-care oriented nature, or completion of aptitude questionnaires provided by various organizations and societies.

D) Specialty Board or Specialty Organization Preparation – credit may be claimed for nonsupervised individual activities carried out in preparation for an examination or to satisfy other requirements for membership in a specialty organization. No additional credit may be claimed for taking and/or passing an examination given by the board or organization.

6. Up to 10 hours of credit per prerenewal period may be claimed for verified formal learning experiences sponsored by hospitals, agencies, organizations or other institutions which are not approved continuing education sponsors, in subjects that facilitate the podiatrist's performance, such as courses in computerized patient-record systems, practice management, risk management or training – including advanced degree programs in education, health administration, and similar subjects.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean the Council on Podiatric Medical Education and its approved sponsors, the Illinois Podiatric Medical Association, or a person, firm, association, corporation, or any other group which has been approved and authorized by the Board and validated by the Illinois Podiatric Medical Association Continuing Education Committee to coordinate and present continuing education courses or programs.

2. A sponsor shall submit the fee set forth in Section 18(a)(10) of the Act, along with a sponsor application that certifies:

A) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(3) and all other criteria in this Section;

B) That the sponsor will be responsible for verifying attendance at each course or program, and provide a certificate of attendance as set forth in subsection (d);

C) That, upon request by the Division, the sponsor will submit such evidence (e.g., certificate of attendance or course materials) as is necessary to establish compliance with this Section. Such evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. All courses and programs shall:

A) Contribute to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of podiatric medicine;

B) Provide experiences which contain scientific integrity, and subject matter and course material relevant to podiatric medicine;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. All programs given by approved sponsors shall be open to all licensed podiatric physicians and not be limited to members of a single organization or group.

5. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

6. Each sponsor shall reapply by January 31 of each year. The sponsor shall submit to the Division, along with the completed sponsor application and the fee set forth in Section 18(a)(10) of the Act, a list of courses and programs offered within the last 12 months, which includes a brief description, location, date and time of the course.

7. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in an approved program or course with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name and address of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

8. The sponsor shall maintain attendance records for not less than five years.

9. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

10. Upon the failure of any sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of such sponsor's CE activities until such time as the Division receives assurances of compliance with this Section.

11. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved continuing education program at any time to ensure compliance with the requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of such compliance. Such additional evidence will be required in the context of the Division's random audit.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified in writing and may request an interview with the Board.

e) Continuing Education Earned in Other Jurisdictions

1. If a renewal applicant will be earning or has earned CE hours in another jurisdiction, but is not licensed in that jurisdiction and the course is not presented by an approved sponsor, the applicant shall submit an individual program approval request form, along with a $20 processing fee, to have the program reviewed. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(5) of this Section. Applicants may seek individual program approval prior to the participation in the course or program. All individual program approval requests shall be submitted 90 days prior to the expiration date of the license.

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $20 processing fee plus a $50 per credit hour late fee not to exceed $300. The Board shall review and recommend approval and disapproval of the program using the criteria set forth in subsection (b) of this Section.

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application along with the required fee set forth in Section 18(a)(3) of the Act, a statement setting forth the facts concerning such non-compliance, and request for waiver of the CE requirements on the basis of such facts. The request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from such affidavit or any other evidence submitted, that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of the requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full time service in the Armed Forces of the United States of America during a substantial part of such period;

B) An incapacitating illness documented by a statement from a currently licensed physician;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician; or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of a license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final Division decision on the application has been made.

History

• Source: Amended at 34 Ill. Reg. 16972, effective October 25, 2010

68 Ill. Adm. Code 1360.75 Visiting Professor Permits

a) Any person not licensed in this State to practice as a podiatric medical physician who has been appointed as a visiting professor at a program of podiatric medicine in this State must be the holder of a Visiting Professor Permit issued by the Division pursuant to the provisions of Section 12 of the Act.

b) An application for a Visiting Professor Permit shall be made on forms provided by the Division. Such application shall include:

1. The name and location of the applicant's program of podiatric medicine, dates of attendance, and date and type of degree conferred;

2. Certification from the jurisdictions of original licensure and current licensure, indicating:

A) The date of licensure;

B) The method of licensure; and

C) The current status of the license;

3. Certification from the Dean of the program of podiatric medicine indicating:

A) That the person has contracted with the applicant and he has received a faculty appointment to teach in the program;

B) The nature of the educational services to be provided by the applicant; and

C) The term of the contract;

4. A copy of the applicant's current curriculum vitae; and

5. The fee set forth in Section 18(a)(1) of the Act.

c) A Visiting Professor Permit shall be valid for one year and may be renewed only once for one year.

d) Application for renewal of a Visiting Professor Permit shall be made on forms supplied by the Division at least 60 days prior to expiration of the permit. Such application shall include:

1. Certification from the Dean of the program of podiatric medicine indicating the term of the renewal contract, not to exceed one year from the date of the original expiration date;

2. Certification from the jurisdiction of original licensure indicating the current status of the license; and

3. The fee set forth in Section 18(a)(3) of the Act.

e) When any person who has been issued a Visiting Professor Permit is discharged or terminates his faculty appointment, any certificate issued in the name of such person shall be null and void as of the date of such discharge or termination. Such program of podiatric medicine shall immediately deliver or mail by registered mail to the Division the Visiting Professor Permit and written notice of the reason for the return of the permit.

f) Only one Visiting Professor Permit shall be issued to an applicant, which may be renewed once. If, at the conclusion of the term of the faculty appointment for which the permit was issued, the holder of such permit desires to remain in the State and practice or teach the profession, he/she must apply for and receive a license to practice the profession.

g) Whenever a program of podiatric medicine is required to deliver or return a Visiting Professor Permit to the Division and that permit has been lost or destroyed or is for any other reason unavailable for return to the Division, the program of podiatric medicine shall immediately mail or deliver to the Division a written explanation concerning the inability to return the permit.

h) Nothing herein shall prohibit the holder of a Visiting Professor Permit from applying for and receiving a license to practice the profession in this State during the term of his/her faculty appointment. In the event the holder of such permit is issued a license to practice the profession in this State, upon receipt of the license, the permit shall become null and void and shall be returned to the Division pursuant to the provisions of subsection (e).

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.80 Definition of "human Foot" (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4234, effective March 21, 1989

68 Ill. Adm. Code 1360.85 Advertising

a) If an advertisement is communicated to the public over television or radio, it shall be prerecorded and approved for broadcast by the podiatric physician, and a recording of the actual transmission, including videotape, shall be retained for at least 3 years by the podiatric physician.

b) A podiatric physician may incorporate as a professional service corporation in accordance with the Professional Service Corporation Act [805 ILCS 10] under a fictitious or an assumed name; however, all advertisements for podiatric services to be performed by members or employees of the corporation must comply with the following:

1. A podiatric physician licensed and practicing in Illinois shall be designated at each practice location for the corporation and shall assume responsibility for all advertising in Illinois.

2. The name, office address and office phone number of the designated podiatric physician shall appear in all advertising for the corporation.

3. The names of the owners of the corporation, if other than the designated podiatric physicians, shall appear in all advertising for the corporation.

4. A list of all podiatric physicians employed by the corporation who perform podiatric services shall be prominently displayed at the location where they practice.

5. Any advertisement that contains the names of podiatric physicians employed by the corporation shall include at least one of the following terms to describe each podiatric physician's licensure: podiatric physician, doctor of podiatric medicine, podiatrist, foot specialist or chiropodist.

c) A podiatric physician not incorporated in accordance with the Professional Service Corporation Act [805 ILCS 10] shall identify himself/herself by the use of the name in which the license to practice is issued and shall include at least one of the following terms to describe his/her licensure: podiatric physician, doctor of podiatric medicine, podiatrist, foot specialist or chiropodist. This name and designation shall appear in all forms of advertising, in whatever medium conveyed.

d) A podiatric physician may advertise certification by a certifying specialty board approved by the Board or by the Council on Podiatric Medical Education. Approvals granted by the Board shall be subject to review and reconsideration every 2 years. In approving a certifying specialty board, the Board shall determine that the specialty board has met, at a minimum, the following criteria:

1. The certifying specialty board requires passage of an examination appropriately designed to test the applicant's knowledge of the area of specialty in order to obtain certification. The testing standards of the certifying specialty board are established prior to the test and are based on standards of acceptable psychometric validity and reliability;

2. The certifying specialty board requires appropriate educational and experience standards in order to obtain certification and grants or denies certification based on objective performance, skill, knowledge and merit of the candidate; and

3. The certifying specialty board shall be approved by an appropriate national accrediting agency for the certification of professional programs at least 2 years prior to application to the Division.

e) Any specialty advertisement shall include the complete name of the certifying specialty board.

f) In addition to the above requirements, a podiatric physician shall comply with advertising requirements set forth in Section 21 of the Act.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.86 Mandatory Reporting of Impaired Podiatric Physicians by Health Care Institutions

a) Entities Required to Report

Section 26 of the Act requires that the chief administrator or executive officer of any health care institution licensed by the Department of Public Health report to the Board concerning impaired persons. All instances in which a person licensed under the Podiatric Medical Practice Act of 1987 is impaired by reason of age, drug or alcohol abuse or physical or mental impairment, is under supervision, and where appropriate, is in a program of rehabilitation, must be reported to the Board. The reports, as described in subsection (f), must contain sufficient current information to enable the Board to evaluate the impairment and determine the appropriateness of the supervision of the program of rehabilitation. If the Board finds the supervision or treatment plan submitted by the institution is not sufficient to meet the needs of the individual, the Board may direct the facility to work with Division staff to revise the plan or treatment to meet the specific objections. Reports must be filed with the Board by the following entities:

1. The president or chief executive officer of any association or society of podiatric physicians licensed under the Act and operating within this State shall report to the Board when the association or society renders a final determination relating to the professional competence or conduct of the podiatric physician.

2. Every insurance company that offers policies of professional liability insurance to persons licensed under the Act, or any other entity that seeks to indemnify the professional liability of a podiatric physician licensed under the Act, shall report to the Board the settlement of any claim or cause of action, or final judgment rendered in any cause of action, that alleged negligence in the furnishing of medical care by a person licensed under the Act when a settlement or final judgment is in favor of the plaintiff.

3. The State's Attorney of each county shall report to the Board all instances in which a person licensed under the Act is convicted or otherwise found guilty of the commission of any felony.

4. All agencies, boards, commissions, departments, or other instrumentalities the State of Illinois shall report to the Board any instance arising in connection with the operations of an agency, including the administration of any law by an agency, in which a podiatric physician licensed under the Act has either committed an act or acts that may be a violation of the Act or that may constitute unprofessional conduct related directly to patient care or that indicates that a podiatric physician licensed under the Act may be mentally or physically disabled in a manner that may endanger patients under that physician's care.

b) Contents of Reports. Reports of impaired persons shall be submitted in writing, on forms provided by the Division, which shall include, but not be limited to, the following information:

1. The name, address, telephone number and title of the person making the report;

2. The name, address, telephone number and type of health care institution where the maker of the report is employed;

3. The name, address, telephone number, and professional license number of the person who is the subject of the report;

4. A means of identification used by the institution of any patient or patients whose treatment is a subject of the report, provided, however, no medical records may be revealed without the written consent of the patient or patients; and further provided that the Board may require disclosure of the name, address and telephone number of any such patient if it deems such information necessary to an evaluation of the impairment or a determination of the appropriateness of the supervision or program of rehabilitation;

5. The nature of the impairment and brief description of the facts that gave rise to the issuance of the report, including the dates of any occurrences deemed to necessitate the filing of the report;

6. The terms and conditions of the supervision under which the subject of the report is conducting his/her activities or practice, including the date supervision commenced; the term of the supervision; the name, address and telephone number of the person in charge of the subject's supervision; and a written consent executed by the subject of the report, authorizing the Board, the Division staff or other designated representative of the Board to contact the person in charge of the subject's supervision for information, including written documentation, in order to evaluate the progress of the subject's supervision;

7. If the subject of the report is in a program of rehabilitation, the name, address and telephone number of the program and the name and position of any individual in charge of the program; and

8. Any other information deemed by the reporting person to be of assistance to the Board and the Division staff in evaluating the report, including, but not limited to, the following items: drug screens being used and their status; relapses and actions taken; attendance at work; observations of recovery status and level of cooperation in recovery; other psychopathology; known related physical and mental illnesses; involvement of the family and others in treatment or supervision; and a copy of the aftercare agreement.

c) Reports of impaired persons shall be submitted to the Board in a timely manner. The initial report shall be submitted on forms provided by the Division within 60 days after it is determined that a report is necessary under the Act and this Part. Periodic reports (which evidence written documentation of the progress of suspension or rehabilitation) shall thereafter be submitted to the Board every 6 months, commencing with the time of the filing of the initial report. A copy of each report shall be sent by the person making the report to the impaired person.

d) Confidentiality

1. The contents of any report shall be strictly confidential, except as otherwise provided in this subsection, and exempt from public disclosure, but may be reviewed by:

A) Members of the Board or their designees;

B) The Board's designated attorneys;

C) The Division staff;

D) Administrative personnel assigned to open mail containing reports and to process and distribute said reports to authorized persons, and to communicate with senders of reports; and

E) The person who is the subject of the report, his/her attorney or his/her authorized representative (as evidenced by a written authorization signed by the person who is the subject of the report).

2. The reports may also be handled or processed by other designated persons in a limited manner necessary to implement reports required under this Act by computer, word processing equipment or other mechanical means. The data record shall be limited to the name and address of the originator of the report, the date the initial report was received, the date of the most recent report and the professional license number of the subject of the report.

3. The contents of the confidential reports relating to impaired persons shall not be used or made available in any other administrative proceedings before the Division or any other department of State government; however, violations of the treatment or supervision plan will result in a review of the person's status by the Board or its designees for possible discipline or revision in the treatment or supervision plan. Such reports shall not be disclosed, made available or subject to subpoena or discovery proceedings in any civil or criminal court proceedings.

e) Upon a determination by the Board that a report on an impaired person no longer requires review and consideration, the Board shall notify the maker of the report to cease sending such reports and the Board and Division records shall be purged of information contained in the report. Such determinations shall be based on, but not be limited to: the type of impairment, type of rehabilitation program, length of supervision, occurrence of any relapses and present status of license.

f) When any chief administrative or chief executive officer of any health care institution making a report or providing other information to the Board, or assisting the Board concerning an impaired person, acts in good faith and not in a willful and wanton manner, said chief administrative or chief executive officer and the health care institution employing him/her shall not, as a result of such actions, be subject to criminal prosecution or civil damages (Section 23(c) of the Act).

g) The following definitions shall apply to this Section:

1. "Impaired" means the inability to practice podiatric medicine with reasonable skill and safety due to physical or mental disabilities, as evidenced by a written evaluation or clinical evidence that reveals a deterioration of the podiatric physician's ability to deliver competent care due to problems related to aging, loss of motor skill, abuse of drugs or alcohol or mental illness.

2. "Under supervision" means that the performance of the impaired person's clinical privileges and status of the person's impairment is being observed and monitored under the authority of a written directive issued in accordance with a health care institution's or medical staff's bylaws or rules and regulations.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.90 Granting Variances

a) The Director may grant variances from this Part in individual cases when he/she finds that:

1. the provision from which the variance is granted is not statutorily mandated;

2. no party will be injured by the granting of the variance; and

3. the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.95 Dishonorable, Unprofessional and Unethical Conduct Standards

a) The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action, based upon its finding of dishonorable, unprofessional and unethical conduct of a character likely to deceive, defraud or harm the public within the meaning of Section 24 of the Act that is interpreted to include, but is not limited to, the following acts or practices:

1. Practicing or offering to practice beyond one's competency (for example, providing services and techniques for which one is not qualified by education, training and experience);

2. Making gross or deliberate misrepresentations or misleading claims as to his/her professional qualifications or of the efficacy or value of his/her treatments or remedies, or those of another practitioner;

3. Impersonating another person holding a podiatric medical license or allowing another person to use his/her license;

4. Delegating responsibility for delivery of patient care to persons who were not properly supervised or who were not competent to assume such responsibility;

5. Submission of fraudulent claims for services to any health insurance company or health service plan or third party payor.

b) Pursuant to Section 24(9) of the Act, the Division hereby incorporates by reference the "Code of Ethics", Revised 1998, Illinois Podiatric Medical Association, 53 W. Jackson, Chicago, Illinois 60604 and the "Code of Ethics" published in the American Podiatric Medical Association Bylaws, Revised 1988, the American Podiatric Medical Association, 9312 Old Georgetown Road, Bethesda MD 20814, with no later amendments or editions.

History

• Source: Amended at 30 Ill. Reg. 4704, effective March 1, 2006

68 Ill. Adm. Code 1360.APPENDIX A Curriculum Requirements (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4234, effective March 21, 1989

68 Ill. Adm. Code 1360.APPENDIX B Clinical Training Requirements (repealed)

History

• Source: Repealed at 13 Ill. Reg. 4234, effective March 21, 1989

Part 1370 Boxing and Full-Contact Martial Arts Act

68 Ill. Adm. Code 1370.10 Definitions

Unless the text indicates otherwise, the following terms shall be defined as follows:

"Act" means the Boxing and Full-contact Martial Arts Act [225 ILCS 105].

"Amateur" means a person registered by the Division who is not competing for, and has never received or competed for, any purse or other article of value, directly or indirectly, either for participating in any contest or for the expenses of training for a contest, other than a non-monetary prize that does not exceed $50 in value.

"Amateur contest" means a boxing or full-contact martial arts competition in which all of the participants competing against one another are amateurs and that the public is able to attend, and for which a fee is charged.

"Announcer" means a person responsible for announcing the names of the officials and the contestants, the contestants' weights, and the decisions of the referee and judges during a bout.

"Board" means the State of Illinois Athletic Board.

"Bout" means one professional boxing, martial arts or mixed martial arts match between 2 contestants.

"Boxing" means the art of attack and defense with the fists, practiced as a sport.

"Contest" means a group of bouts organized as a single event.

"Contestant" means a person licensed by the Division who competes in a bout.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Exhibition" means a show of boxing, martial arts or mixed martial arts, or sparring in which there is no score or decision.

"Fighting Area" means the ring, cage or physical area where the contestants compete.

"Inspector" means a person employed by the Division to attend contests and to ensure that all laws are adhered to by licensees.

"Judge" means a person licensed by the Division who serves as a member of a judging panel for contests. The panel is responsible for determining a decision in each bout.

"Main event" means the bout during a contest that is the main attraction for the contest.

"Manager" means a person licensed by the Division who is not a promoter and who, under contract, agreement or other arrangement with any contestant, undertakes to directly or indirectly control or administer the affairs of a contestant.

"Martial Arts" means a discipline such as, but not limited to, Karate, Kung Fu, Jujitsu, Muay Thai, Tae Kwon Do and Kickboxing, or other similar sport.

"Matchmaker" means a person licensed by the Division who is responsible for matching the contestants for a bout based on weight and experience.

"Mixed Martial Arts" means the use of a combination of techniques from different disciplines of martial arts, including, without limitation, grappling, kicking and striking.

"Official" means referees, judges, timekeepers, physicians and Division representatives involved in professional events.

"Paramedic" means a person licensed under the Emergency Medical Services Systems Act [210 ILCS 50] as an Emergency Medical Technician-Paramedic.

"Permit" means authorization from the Division to hold a contest in the State of Illinois.

"Physician" means a person licensed under the Medical Practice Act of 1987 [225 ILCS 60] to practice medicine in all of its branches.

"Promoter" means a natural person who initiates or takes part in the organization or development of a contest or who provides financial backing for a contest and who must be licensed by the Division to conduct contests.

"Purse" means the financial guarantee or any other remuneration contestants receive for participating in a bout. It includes the contestant's share of any payment received for radio broadcasting, television or motion picture rights.

"Referee" means a person licensed by the Division who is responsible for enforcing the Act and this Part during any bout.

"Second" means a person licensed by the Division who attends to the contestant between rounds.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Sparring" means boxing or engaging in martial arts or mixed martial arts for practice or exhibition.

"Timekeeper" means a person licensed by the Division who is responsible for keeping accurate time during each bout.

68 Ill. Adm. Code 1370.20 The State of Illinois Athletic Board

Each member of the Board shall receive compensation as determined by the Secretary.

68 Ill. Adm. Code 1370.30 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application fees for professional events:

1. The application fee for a license as a promoter is $1000.

2. The application fee for a license as a referee is $300.

3. The application fee for a license as a matchmaker is $250.

4. The application fee for a license as a manager is $200.

5. The application fee for a license as a contestant is $100.

6. The application fee for a license as a timekeeper is $150.

7. The application fee for a license as a judge is $100.

8. The application fee for a license as a second is $50.

b) Application Fees for Promoter of Amateur Events

The application fee for a license as a promoter for a full-contact martial arts contest in which only amateur bouts are to be held is $300.

c) Renewal Fees

1. The renewal fee for a license as a promoter of professional contests shall be calculated at $500 per year.

2. The renewal fee for a license as a promoter of amateur contests shall be calculated at $150 per year.

3. The renewal fee for a license as a referee shall be calculated at $150 per year.

4. The renewal fee for a license as a matchmaker shall be calculated at $125 per year.

5. The renewal fee for a license as a manager shall be calculated at $100 per year.

6. The renewal fee for a license as a contestant shall be calculated at $50 per year.

7. The renewal fee for a license as a timekeeper shall be calculated at $75 per year.

8. The renewal fee for a license as a judge shall be calculated at $50 per year.

9. The renewal fee for a license as a second shall be calculated at $25 per year.

d) Permit Fees

1. The fees for a permit for a contest are determined by the total number of bouts held, using the following fee brackets:

A) Permit for a contest to be held with 3-6 bouts is $500.

B) Permit for a contest to be held with 7-10 bouts is $750.

C) Permit for a contest to be held with 11 or more bouts is $1000.

2. In the event that bouts are added to the contest and the total number of bouts exceeds the current permit fee bracket, the promoter will be responsible for paying the difference in permit fees at the weigh-in or within 24 hours after the contest. Failure to pay shall result in discipline, including immediate suspension of the promoter's license up to and including revocation of the license. In the event that bouts are cancelled, there will be no refund of permit fees.

3. The fees for an amended permit application when an event location has been changed to a different location will be $250.

4. The fees for a permit for a contest in which only amateur bouts will be held shall be $500.

e) General Fees

1. The fee for the issuance of a duplicate license, for the issuance of a replacement certificate of registration for a certificate of registration that has been lost or destroyed, or for the issuance of a certificate of registration with a change of name or address, other than during the renewal period, is $50. No fee is required for name and address changes on Division records when no duplicate certificate of registration is issued.

2. The fee for a certification of a licensee's record for any purpose is $50.

3. The fee for a wall certificate showing licensure shall be the actual cost of producing and delivering the certificate.

4. The fee for a roster of persons licensed in this State shall be the actual cost of producing and delivering the roster.

5. The fee for the initial issuance of an Illinois national or federal ID, as described in Section 1370.150(j) or (k), will be $5. The replacement fee for an Illinois national or federal ID shall be $25.

f) Fee for Restoration of License after Discipline

1. The restoration fee for a license as a promoter is $1000.

2. The restoration fee for a license as a referee is $300.

3. The restoration fee for a license as a matchmaker is $250.

4. The restoration fee for a license as a manager is $200.

5. The restoration fee for a license as a contestant is $100.

6. The restoration fee for a license as a timekeeper is $150.

7. The restoration fee for a license as a judge is $100.

8. The restoration fee for a license as a second is $50.

9. The restoration fee for a license as a promoter of contests in which only amateur bouts are held is $300.

68 Ill. Adm. Code 1370.40 Promoters

a) No owner, officer, principal, association, partnership, corporation or limited liability company shall promote any contest without that person or a principal of that business obtaining a license from the Division.

b) Responsibilities of promoters shall include:

1. Full responsibility for all aspects of the contest and for meeting all deadlines for submission of contest permit and promoter licensure applications; and

2. Supervision of their agents, employees and representatives, the conduct of those agents, employees and representatives, and any violation of the Act or this Part related to the contest. The Division shall deem any violation by an agent, employee or representative of a promoter a violation by the promoter.

c) Promoters shall not permit another to use their license.

d) Promoters shall provide notification to contestants of the weigh-in time and location. The promoter shall also be responsible for notifying contestants when to report to their dressing room on the day of the contest; that time shall be approved by the Division.

e) Promoters shall provide notification to contestants of proper attire and equipment, as defined in this Part.

f) Promoters shall provide compensation to the referees, physicians, timekeepers and judges in the form of certified checks, money orders, or another Division-approved form of payment. Compensation for referees, judges, timekeepers and physicians shall be delivered to the Division, prior to commencement of the first bout, at a Division specified time and location. A Division representative will forward payment to the officials and provide a receipt to the promoter.

g) Promoters shall provide compensation to the contestants. The promoter shall deliver the purse to each contestant directly after the contestant has competed in his or her scheduled bout in a manner determined by the Division and in the presence of a Division representative. The Division representative will serve as a witness of the payment of the purse and provide a receipt to the contestant and promoter unless the receipt is declined.

h) Failing to provide payment as set forth in subsections (f) and (g), providing payment on an account that is insufficiently funded, or providing payment more than 24 hours after the conclusion of the contest to the Division, may result in immediate suspension or revocation of the promoter's license or other disciplinary action as the Division may deem proper

i) Promoters shall arrange for at least one ambulance to be on-site, at all times, at each bout, along with 2 licensed emergency medical technicians (EMTs) at least one of whom shall be an emergency medical technician-paramedic (EMT-P), a stretcher, oxygen and proper resuscitation equipment as required by Emergency Medical Services and Trauma Center Code (77 Ill. Adm. Code 515). No bout shall continue without the presence of the 2 EMTs, at least one of whom shall be an EMT-P, and the equipment required by the Emergency Medical Services and Trauma Code.

j) A promoter may not be a contestant in a contest he or she is promoting.

k) Promoters and organizations associated with the contests shall be deemed to have knowledge of the applicable laws and rules of the State. The promoter shall be responsible for ensuring that all requirements of this Part are strictly carried out.

l) Promoters shall provide all materials necessary to conduct the contest, including but not limited to such items as:

1. the fighting area;

2. stools, buzzer or whistle, bell or gong, timer, gloves, gauze, tape for hand wraps and properly calibrated scales;

3. a foul proof cup, clean towels, shoe laces, a professional mouthpiece, and medical tape;

4. clean dressing room facilities, including washroom and shower for contestants and officials. Separate facilities shall be provided for male and female contestants;

5. 3 small platforms or elevated chairs for the judges;

6. at minimum, 2 buckets and 2 appropriately sized bottles for use by the contestants;

7. Disposable garbage bags in garbage cans in each dressing room and ring or cageside; and

8. Cleaning solution used to disinfect the ring, cage or other surfaces contaminated by blood, other bodily fluids and debris. There shall be at least one person designated by the promoter who shall be responsible for immediately cleaning blood, other bodily fluids and debris from the ring, fighting area and other areas before, during and after each bout.

m) Promoters shall be responsible for ensuring the maintenance of adequate public safety for all contests. Failure to ensure adequate public safety may result in cancellation of a contest, discipline against a promoter's license, denial of future contest permits, or any combination of these actions.

n) For adequate public safety, the promoter is responsible for ensuring that no liquid refreshments or bottled or canned drinks, unless poured into disposable cups by vendors at the time of sale, are permitted in any hall or facility where any contest is being held. If the contest is staged out-of-doors, disposable cups also must be used on the site of the contest.

o) At the discretion of the Division, chairs may be required to be attached so that they are not portable, for the safety of contestants, officials and the public.

p) Spectator seats shall be at least 8 feet from the apron of the fighting area platform or at a distance approved by the Division. A physical barrier approved by the Division shall be placed 8 feet from the fighting area platform and shall have no more than 4 entry points. Security shall be placed at each of these entry points. The space immediately within 8 feet of the fighting area platform shall be under the jurisdiction of the Division for use by designated working officials, contestants, their seconds, timekeepers, judges, referees, physicians, announcers, medical representatives and others approved by the Division. Promoters are responsible for seeing that the working area is controlled and free of non-essential personnel.

68 Ill. Adm. Code 1370.50 Judges

a) There shall be 3 judges required for each bout. All bouts shall be scored by each judge on a 10-point must system (see Sections 1370.570 and 1370.660).

b) Contestants' techniques shall be judged based on the standards of their respective sport.

c) The judges shall reach their decisions without conferring in any manner with any other official or person, including the other judges of the panel. Each judge shall make out his or her scorecard in accordance with provisions of the rules governing the respective sport. At the end of the round, the score shall be totaled and signed or initialed by each judge. The referee working the bout shall collect the score­cards after each round and hand them to the Division representative.

d) Any erasures or changes on the scorecard shall be approved and initialed by the judge and the Division representative.

e) Official scorecards from the Division shall be used and shall be retained in the custody of the Division representative who will transport them to the Division for archiving.

f) The judges selected for the contest and for each bout shall be at the sole discretion of the Division and that determination shall be final. The Division shall set the amount of compensation to be provided to the judges.

g) Judges shall not show any partiality to any contestant at any time. There shall be no discussion of any kind among officials or with the public with regard to the decision or contest before or during the bout. The officials shall not discuss previous bouts while the contest is in progress.

68 Ill. Adm. Code 1370.60 Inspectors

The Division shall determine and assign the number of inspectors at each contest as it deems necessary, with a minimum of 6 inspectors per event. The Division will assign more than 6 inspectors when necessary, as determined by the number of contests being held during the event.

a) In all contests, contestants, promoters, managers, matchmakers, judges, referees, timekeepers, seconds, announcers and physicians at all times shall be under direction of the Division through its designated representatives and inspectors.

b) Employees and inspectors of the Division shall not have, either directly or indirectly, any interest in, or connection with, any promotion of professional contestants or contests in this State.

c) The Division and its inspectors shall supervise the sale of tickets, check the counting of receipts, and enforce the Act and this Part.

d) When printed tickets are presented to the ticket taker, he or she shall immediately deposit every admission ticket, pass or complimentary ticket in a secure box. It shall be opened only in the presence of the Division inspector, who shall see that all tickets or passes are carefully counted and reported to the Division, along with the price of admission charged for each class of ticket and exchanges and the gross receipts of all tickets. If printed tickets are otherwise scanned or are electronically processed, a printed record reflecting all of the information required by this subsection shall be provided to the Division.

e) Before the start of a contest, an inspector may check that all contestants, promoters, managers, matchmakers, seconds, timekeepers, referees and physicians are licensed by the Division. Any of those persons without a current license issued by the Division shall not participate in the contest, unless and until an application and fee have been received and the application is approved by the Division.

f) An inspector shall be present in the dressing rooms at the designated time for observing contestants and inspecting all equipment.

g) All hand wrappings must be approved by an inspector prior to being placed on contestants. All hand wraps that have been approved must be initialed by the inspector present.

h) No contestant may be gloved outside the presence of an inspector. After approval of the gloving, the tape around the strings shall be initialed by the inspector present.

i) The inspector is responsible for warning the seconds of violations of any rules relating to seconds. If the second does not conduct himself or herself in accordance with the rules, the inspector, referee or Division representative shall warn the second that further violations may result in disqualification of his or her contestant or his or her removal from the corner.

j) Inspectors shall not show any partiality to any contestant at any time. There shall be no discussion of any kind among inspectors with regard to the decision or contest. The inspectors shall not discuss previous bouts while the contest is in progress.

68 Ill. Adm. Code 1370.70 Matchmakers

a) The duties of the matchmaker shall include arranging the bouts and matching the contestants based on weight and experience.

b) All bouts shall be approved by the Division. The Division may prohibit any bout deemed to be a mismatch based on the record, experience, skill and condition of the contestants as known or represented to the Division at or before the bout or that could expose one or both contestants to serious injury. Any contestant who has lost his or her last 6 bouts, regardless of type of loss, shall not compete in a bout without prior review and approval of the Division.

c) No matchmaker in a specific contest shall act in the capacity of a manager or second for that specific contest either directly or indirectly.

68 Ill. Adm. Code 1370.80 Seconds

a) A minimum of 2 seconds per contestant is required. If requested, a maximum of 5 seconds per contestant may be allowed at the discretion of the Division. One second shall announce to the referee at the start of the bout that he or she is the chief second.

1. For boxing contests: Only one second shall be inside the fighting area between rounds; the other 2 seconds may be on the ring platform outside the fighting area.

2. For full-contact martial arts contests: When the fighting area is enclosed by a cage or similar barrier, up to 2 seconds may be inside the fighting area between rounds. When the fighting area is enclosed by ropes, only one second shall be inside the fighting area between rounds.

b) Licensed managers shall be permitted to act as seconds without being licensed as a second. While acting as a second, a manager shall observe all rules pertaining to the conduct of seconds.

c) Seconds shall comply with the following:

1. Seconds shall not stand or lean on the fighting area apron during the round. Seconds must remain seated during the round. The second may not sit or lean on the steps leading to the fighting area.

2. Seconds shall not yell. All coaching must be kept to a minimum. Continuous warnings may result in one or a combination of the following: removal of the second, disqualification of the contestant, or discipline of the second.

3. Seconds shall not enter the fighting area until the timekeeper indicates the end of the round. Seconds must leave the fighting area when the timekeeper indicates 10 seconds before the beginning of the next round. If the chief second or anyone for whom the chief second is responsible enters the fighting area before the bell ending the round has sounded, his or her license may be subject to discipline and the contestant he or she is handling may be disqualified. While the round is in progress, the chief second may either mount the apron of the fighting area or otherwise attract the referee's attention, indicating the retirement of the contestant. A second shall not enter the fighting area unless the referee stops the bout and shall not interfere with a count that is in progress.

4. The chief second shall be responsible for the conduct of his or her assistant seconds during the contest.

5. Good sportsmanship is expected at all times.

6. It is mandatory for seconds to wear disposable rubber, plastic or latex gloves while working in a contestant's corner.

7. Seconds shall not use excessive amounts of water or ice and shall wipe up any water in the fighting area. Before leaving the fighting area and at the indication of the timekeeper, seconds must remove any obstruction such as buckets, stools, towels and other materials from the corner of the fighting area.

8. Seconds shall be responsible for compliance with Sections 1370.510(b) and 1370.610(b) relating to bandages and handwraps.

9. The second shall be equipped with:

A) A clear plastic bottle or water bottles sufficiently taped;

B) Water;

C) Chopped ice in buckets;

D) Clean towels;

E) Petroleum-based products (e.g., Vaseline);

F) Adhesive tape;

G) Sterile gauze pads;

H) Scissors;

I) Extra mouthpiece;

J) Sterile cotton swabs;

K) Pressure plates; and

L) Any other Division approved equipment.

10. No iron solution shall be used to stop hemorrhaging. Only the following substances may be used:

A) A solution of adrenaline 1/1000;

B) Avitene;

C) Thrombin; or

D) Any other substance approved by the physician.

d) Any violation of the requirements in subsection (c) of this Section may result in one or a combination of the following:

1. A deduction of points from the second's contestant;

2. Immediate suspension of the second;

3. Ejection of the second from the corner.

68 Ill. Adm. Code 1370.90 Timekeepers

a) There shall be a timekeeper, licensed by the Division, responsible for keeping track of time during a contest.

b) Timekeepers shall be equipped with a whistle, a knockdown watch, a 3- or

5-minute stopwatch, as appropriate, and a back-up gong or other audible device that has been approved by the Division.

c) Timekeepers must adhere to the following:

1. The timekeeper shall be impartial. A timekeeper who signals interested parties at any time during bouts shall be subject to discipline.

2. When there are 10 seconds remaining in the rest period between rounds, the timekeeper shall sound a whistle, buzzer or other audible device approved by the Division for such purpose to warn the referee, contestants and seconds of the beginning of the next round.

3. The timekeeper shall indicate the commencing and conclusion of each round by sounding the gong, bell or other audible device approved by the Division for such purpose. The timekeeper shall also indicate by pounding the fighting area when there are 10 seconds remaining in the round to warn the referee of the end of the round.

4. It is the duty of the timekeeper to keep accurate time of all bouts. The timekeeper shall keep an exact record of time taken out at the request of a referee for an examination of a contestant by the physician, or the replacement of a glove or adjustment of any equipment during a round and the timekeeper shall report the exact time of a bout being stopped.

5. When applicable, the timekeeper shall be responsible for the knockdown count. The timekeeper shall begin counting each second during the knock-down count. If the knockdown occurs within 10 seconds prior to the end of the round, the timekeeper shall not ring the bell, or other audible device approved by the Division for such purpose, until the referee indicates the contestant is ready to continue.

6. There shall be no discussion of any kind among officials with regard to the decision or program. The officials shall not discuss previous bouts while the program is in progress.

7. The timekeeper selected for each bout shall be at the sole discretion of the Division and that determination shall be final.

d) The Division shall set the amount of compensation to be provided to the timekeeper. The promoter is responsible for all compensation for the timekeeper.

68 Ill. Adm. Code 1370.100 Referees

a) The referee is charged with the enforcement of provisions of the Act and this Part that apply to the conduct of contests and the conduct of the contestants and contestant's seconds while in the fighting area. The referee shall be the chief official and sole arbiter during all bouts.

b) A referee shall be licensed by the Division and shall be selected and assigned to contests by the Division.

c) A referee shall not show partiality to any contestant at any time.

d) A referee shall adhere to the following:

1. When a referee has cause to suspect a violation of the Act or this Part, he or she shall file a report with the Division describing the event.

2. A referee must report for duty at least one hour before the scheduled starting time of the contest.

3. A referee must first report to Division representatives, then to the physician for examination, and shall avoid conversation except with Division officials.

4. Before starting each bout, the referee shall:

A) Check with each judge and timekeeper to determine if each is ready;

B) Ascertain the name of the chief second in each corner; and

C) Verify that the physician is present.

5. At the beginning of the contest, the referee shall call contestants to the center of the ring. Contestants may be accompanied by their chief second only.

6. It is mandatory for the referee to wear disposable rubber, plastic or latex gloves when refereeing a bout.

7. The referee shall remain in the fighting area for the entire duration of the bout.

8. The referee shall ensure that the contestant stays in his or her corner between rounds.

9. The referee shall hold the chief second responsible for all conduct in his or her corner.

e) In the event a bout terminates before its scheduled number of rounds, the referee shall inform the judges and the Division of the exact duration of the bout.

f) The referee may stop or terminate a bout and render a decision for any of the following reasons:

1. The referee determines that one of the contestants is clearly less experienced or skilled than his or her opponent to the extent that allowing the bout to continue would pose a substantial risk of serious harm or injury to the less experienced or skilled contestant;

2. The referee determines that one of the contestants is at substantial risk of serious harm or injury and, despite such harm or injury, cannot or will not submit, in the case of martial arts or mixed martial arts, or stop fighting in the case of boxing;

3. The referee decides that a contestant is not making his or her best effort;

4. To protect a badly beaten contestant who can no longer protect himself or herself. When a contestant sustains a cut eye or any other injury that, in the judgment of the referee, may incapacitate the contestant, the referee may call the physician into the fighting area to examine the contestant. In such cases, the referee shall be guided by the physician's advice;

5. The referee determines that one contestant is hanging helplessly on or over the fighting area enclosure or the contestant is physically unable to continue a match or to defend himself or herself; or

6. For any other reason the referee deems necessary to protect the health, safety or welfare of any contestant or any member of the public.

g) When the fighting area is enclosed by ropes, the referee may stop the bout and require the contestants to resume the action in the center of the fighting area in the same hold the contestants were engaged in at the time the bout was stopped.

h) The referee shall warn or penalize with a deduction of points a contestant who uses the ropes, cage or any other unfair means to gain advantage.

i) Whenever a contestant has been injured, knocked out or technically knocked out, the referee shall immediately summon the attending physician to evaluate the injury of the stricken contestant. The physician may recommend the bout be stopped. Except at the request of the physician, no managers or seconds shall be permitted to aid the stricken contestant.

j) The referee or Division representative shall warn the seconds of violations of any rules relating to seconds. If, after such a warning, the second does not conduct himself or herself in accordance with the rules, the second may be immediately suspended or removed from the corner or his or her contestant may be disqualified. Further disciplinary or non-disciplinary action may be imposed as the Division deems proper.

k) The referee shall instruct judges to mark their scorecards accordingly when he or she has assessed a foul upon one of the contestants.

l) The referee or Division representative shall deliver the official scorecards to the Division representative. When picking up the scorecards from the judges, the referee or Division representative shall see to it that the cards are completed and the contestants' and judges' names are recorded. If not, the judges shall be instructed to complete scorecards correctly.

m) The referee shall ensure that a bout moves to its proper completion. Delaying or avoiding tactics, or both, should be avoided and the contestant who employs these tactics may be penalized in scoring or disqualified.

n) The referee selected for each bout shall be at the sole discretion of the Division and that determination shall be final. The promoter is responsible for all compensation for the referee. The Division shall set the amount of compensation to be provided to the referee.

68 Ill. Adm. Code 1370.110 Physicians and Emts

a) Physicians

1. The Division shall appoint at least one physician for all contests. Additional physicians shall be appointed as determined by the Division. The physician selected for each contest shall be at the sole discretion of the Division and that determination shall be final. The promoter is responsible for all compensation for the physician. The Division shall set the amount of compensation to be provided to the physician.

2. A physician shall perform all physical examinations.

3. The physician shall sit immediately adjacent to the fighting area at every contest with immediate access to the ring or cage. A contest may not proceed unless the physician is in his or her seat. The physician shall not leave the venue until after all contestants have left. If called upon, the physician shall be ready to advise the referee.

4. The physician may enter the fighting area between rounds on his or her own judgment and shall inform the referee about his or her opinion in relation to the physical condition of either contestant.

5. The physician shall coordinate with the EMTs to ensure that the appropriate drugs and medical supplies are available in the event of injury to a contestant.

6. The physician shall report in writing to the Division all injuries received by a contestant immediately following the contest. The physician shall also report on the fitness of the injured contestants to engage in further competition and determine any medical suspensions.

b) Emergency Medical Technicians (EMTs)

1. 2 EMTs, one of whom shall be an EMT-P, shall be available to assist the physician and provide emergency medical equipment, including resuscitation equipment.

2. 2 EMTs, one of whom shall be an EMT-P, shall be on site, at all times, at each contest, along with a stretcher, oxygen and proper resuscitation equipment. No contest shall continue without the presence of 2 EMTs, one of whom shall be an EMT-P, and the required equipment.

3. The EMTs are responsible for a comprehensive evacuation plan for the removal of any seriously injured contestant from the contest to a hospital facility where emergency medical care is provided.

4. The EMTs are responsible for knowing the location of the closest hospital emergency facility where adequate neurosurgical care is immediately available for skilled emergency treatment of an injured contestant.

5. The EMTs, at the direction of the physician, must check the vital signs of all contestants prior to their participation in a contest and after contestants complete their bouts. The EMTs shall record this information on forms provided by the Division.

68 Ill. Adm. Code 1370.120 Access to Venue

The promoter of a contest and officials of the venue shall permit the following persons full access to the site of the contest and the dressing rooms:

a) Any Division employee authorized by the Division;

b) Any authorized firefighters, police officers, security officers and any other authorized individuals assigned to work the event by the Division; and

c) Any referee, judge, timekeeper, physician and medical personnel who are authorized by the Division and are assigned to the event and who present photo identification or an official badge or other credential evidencing that status.

68 Ill. Adm. Code 1370.130 Safety Requirements and Physical Appearance for Contestants

All contestants shall present a clean and tidy appearance and shall comply with the following:

a) Fingernails and toenails shall be sufficiently trimmed to avoid the risk of cutting or scratching an opponent;

b) Hair shall be trimmed or tied back, if possible, or maintained as otherwise directed by the Division representative, so that the hair does not interfere with the vision of the contestant or cover the contestant's eyes. The Division's representative shall determine whether a contestant's head and facial hair presents any safety hazard to the contestant or his or her opponent or would interfere with the supervision and conduct of the bout;

c) Body grease, gels, balms or lotions applied to any part of a contestant’s body, attire or equipment is prohibited. Petroleum jelly or other similar petroleum- based product may be applied to the facial area at ring or cage side in the presence of an inspector, referee or person designated by the Division. The referee or Division representative shall cause any excessive petroleum jelly or other permitted substance or any foreign substance to be removed to his or her satisfaction. Any contestant applying anything to any part of his or her body, attire or equipment, outside the presence of an inspector, referee or person designated by the Division may be penalized a point or disqualified;

d) No cosmetics shall be worn during a bout;

e) Jewelry or piercing accessories are prohibited;

f) A contestant is prohibited from wearing corrective lenses or contact lenses in the fighting area; and

g) If the head, facial hair or physical appearance of a contestant presents a hazard or will interfere with the supervision and conduct of the contest, the contestant may not compete in the contest unless the circumstances creating the hazard or potential interference are corrected to the satisfaction of the Division or its designee.

68 Ill. Adm. Code 1370.140 Weigh Ins

a) The weigh-in shall be conducted by an inspector or Division representative at a time and place approved by the Division.

b) Prior to engaging in a contest, all contestants must submit to a weigh-in and a physical examination by the physician at the time and place approved by the Division.

1. The physical examination given to contestants shall include, at a minimum, the following: weight, pulse, blood pressure, examination of the lungs and heart, and general physical condition.

2. Contestants shall disclose all medical history and conditions to the physician during the physical examination. All female contestants must submit to a pregnancy test at a time and location to be determined by the Division and in the presence of a Division representative. Any female contestant who tests positive for pregnancy shall be prohibited from fighting.

3. The physician shall conduct examinations and tests necessary to attest to the fitness of the contestants engaged in the contest. The physician shall certify in writing on a form prescribed by the Division those contestants who are in good physical condition to compete.

4. If, upon physical examination, a contestant is determined by the physician to be unfit for competition, the contestant shall be prohibited from competing during that specific contest.

c) The scale used for the weigh-in shall be provided by the promoter and approved by the Division representative. The scales must weigh accurately and be capable of weighing up to 10 pounds over the maximum weight of the heaviest contestant scheduled to compete. The Division may, in its discretion, use the scales furnished by the promoter or use its own scales. All scales furnished by the promoter shall be thoroughly tested and approved by the representative of the Division prior to being used in connection with any contest.

d) Each contestant shall be weighed in the presence of his or her opponent, unless waived by his or her opponent, a representative of the Division, and an official representing the promoter, on scales approved by the representative of the Division, at any place designated by the Division. Weigh-ins shall be open to the public.

e) Contestants shall have all weights stripped from their bodies before weigh-in. Male contestants may wear shorts and socks. Female contestants may wear shorts, a sports bra and socks.

f) The representative of the Division may require contestants to be weighed more than once for any cause deemed sufficient.

g) Contestants who fail to make the weight for their designated weight class shall be given up to 2 hours to make required weight. Any contestant who fails to make the weight shall be disqualified unless both contestants consent to participate in the scheduled bout. The weight differential shall be approved by the Division; bouts may be cancelled per the Division's discretion.

h) At the weigh-in, no contestant may lose more than 3 pounds in less than a 2 hour period. This rule applies to a second day weigh-in also. This does not apply to boxing contestants who compete in light heavyweight class and above.

i) For title bouts, contestants may weigh no more than 10 pounds heavier on the day of the bout or contest than their weight at the weigh-in.

j) Contestants who fail to arrive or arrive later than one half hour after the appointed start time of the weigh-in may be disqualified, immediately suspended for no more than 6 months, or both.

68 Ill. Adm. Code 1370.150 Bouts and Contests

a) All licensed individuals, contestants and organizations associated with the contests shall be deemed to have knowledge of the applicable laws and rules of the State. Any questions or interpretations shall be referred to the representative of the Division. If an immediate decision is required, it shall be referred to the Division or its designee who shall make a determination on the matter. In the event a situation occurs at the contest and there are no regulations in place to cover the situation, the representative of the Division shall make a decision on the matter. The Division's or its designee's ruling shall be final. The authority of the Division and the inspectors shall be respected. No one shall interfere with the inspectors' duties, use foul language towards the inspectors, or make threats of physical harm toward the inspectors. Any interference, unprofessional conduct, use of foul language, or threats of physical harm towards the inspectors will be cause for disciplinary action.

b) The Division shall approve each bout.

c) No bout shall be advertised or promoted as a championship bout unless it has the specific approval of the Division.

d) Contestants shall at all times abide by the Act and this Part.

e) Contestants shall at all times observe the directions and decisions of all officials.

f) All contestants shall have a pre- and post-bout physical conducted by a physician to attest to the contestant's physical fitness to compete.

g) A minimum of one day prior to the date of the contest, each contestant shall provide to the Division medical test results dated no more than 6 months prior to the date of the contest. Medical tests shall include, but not be limited to, the following:

1. Complete annual physical examination;

2. A blood test that verifies the applicant is HIV negative (quantitative RNA);

3. A blood test that verifies the applicant is Hepatitis B (HBsAg) negative;

4. A blood test that verifies the applicant is Hepatitis C (HCVAb) negative; and

5. Any other test the Department or event physician may require.

h) The Division may request the contestant provide a CAT scan (CT) with contrast MRI or MRI/MRA examination when a contestant:

1. Has lost 3 bouts in a row by KO or TKO;

2. Has lost five bouts in a row;

3. Has an extensive losing record; or

4. In any other circumstances that lead the Division to determine that the health, safety or welfare of the contestant may be at risk.

i) Any contestant who has lost his or her last 6 bouts, regardless of the type of loss, shall not compete in a bout without prior review and approval of the Division.

j) All mixed martial arts contestants must have a current national identification number issued by any state, tribal athletic commission, territory, federal agency or county recognized by the Association of Boxing Commissions in order to compete in a contest. If the contestant has not applied for or does not have a current national identification number, he or she shall apply or re-apply for one and pay the required fee per the issuing state's fee schedule.

k) All boxing contestants must have a federal identification number issued by any state, tribal athletic commission, territory, federal agency or county recognized by the Association of Boxing Commissions in order to compete in a contest. If a contestant has not applied for or does not have a current federal identification number, he or she shall apply or re-apply for one and pay the required fee per the issuing state's fee schedule.

l) A contestant shall not compete in more than one contest within a 15 day period. The Division may determine that more time between contests is necessary to protect the health and safety of the contestant.

m) Each contestant shall report to the representative of the Division in the dressing rooms at least one hour before the scheduled time of the first bout of the contest.

Failure to do so may result in the contestant being disallowed to participate in the bout.

n) The administration or use of any drugs or stimulants prohibited by Section 1370.230, either before or during a bout, to or by any contestant is prohibited. Any contestant violating this subsection shall be subject to disqualification and immediate suspension under Section 1370.190.

o) During a bout or contest, contestants shall only be permitted to drink water. No other fluids shall be permitted.

p) Before starting a bout, the referee shall ascertain from each contestant the name of his or her chief second who shall be held responsible for the conduct of the assistant seconds during the progress of the bout. The referee shall call contestants together before each bout for final instructions, at which time each contestant shall be accompanied by the chief second only.

q) The 3 judges shall be stationed at the sides immediately adjacent to the fighting area, each at a separate side. The judges shall turn scorecards over to the referee or Division representative after each round. The referee or Division representative shall then hand the scorecards to the Division or an official it has designated. A final decision shall be made before the judges may leave the area. Any erasures or changes on the card shall be approved and initialed by the judge and Division or its designee.

r) After receiving instructions, the contestants may shake hands and retire to their corners.

s) The contestants and the referee shall be the only persons allowed in the fighting area during the progress of a round. When the referee calls a timeout, he or she may permit the physician to enter the fighting area.

t) Under no circumstances shall a contest be held with fewer than 3 bouts.

u) Contests with Both Professional and Amateur Bouts

1. If amateur bouts and professional bouts are scheduled during the same contest or event, the professional bouts shall be approved and scheduled as determined by the Division.

2. There shall be a minimum of one amateur bout and a minimum of 3 professional bouts.

3. There shall be no less than 15 minutes and no more than 30 minutes, as determined by the Division under the Act and this Part, between the amateur and professional bouts.

4. The Division or its designee shall have sole discretion to reassign officials such as physicians, referees, judges and timekeepers, who have been assigned to the professional bouts, to the amateur bouts scheduled during the same event.

v) The contest shall commence no later than 30 minutes after the start time stated on the contest permit unless otherwise approved by the Division.

w) Any person who has competed in any professional contest shall not participate in any amateur contest of the same discipline in the State of Illinois. The Division may discipline a registrant or the license of any contestant, promoter, manager, matchmaker or second who violates, or assists or enables another to violate, the provisions of this subsection.

x) The promoter shall provide an adequate room for the attending physician to conduct physical examinations. Whenever a contestant, because of illness or injuries, is unable to take part in a contracted bout, the contestant or the manager shall immediately report that fact to the inspector. The contestant shall then submit to an examination by a physician designated by the Division.

y) Tables immediately surrounding the fighting area shall be no higher than the level of the fighting area platform.

z) The gong, bell, buzzer, horn or other audible device approved by the Division shall be sufficiently loud so that the officials and contestant can hear it clearly. The 10 second warning before the start of a round may be by whistle or by gong, bell, buzzer, horn or other audible device approved by the Division for that purpose.

aa) The promoter may provide video screens during any bout or contest that meets the approval of the Division and that allows patrons to view the action inside the fighting area without obstruction. Video screens may also be provided to officials for use during a bout.

bb) The Division shall not release the names of officials assigned to an event until the day of the event or at another time deemed appropriate by the Division.

68 Ill. Adm. Code 1370.160 Manager-Contestant Contracts

a) A manager and contestant shall file their contract with the Division.

b) The Division shall recognize the filed document until such time as both parties appear before the Division to cancel the contract, or a court of law notifies the Division that the contract is null and void.

68 Ill. Adm. Code 1370.170 Tickets and Payment of Taxes

a) The right of admission to view a contest in person shall not be sold or otherwise granted to a person or entity unless that person or entity is provided with a ticket.

b) The Division shall have supervision over the sales of tickets, ticket boxes, entrances and exits for the purpose of checking admission controls. The Division shall ensure that all tickets are counted and that the final accounting includes the:

1. number of complimentary tickets;

2. face value of each ticket;

3. total number of each ticket price category sold; and

4. gross receipts from all ticket sales.

c) Every ticket shall be printed with the price, the name of the promoter and the date of the contest. Unless otherwise authorized by the Division, the ticket stub of each ticket shall indicate the price of the ticket. All complimentary tickets shall be printed as such or reflect a zero dollar value.

d) A promoter shall not issue complimentary tickets for professional or professional and amateur combined contests for more than 4% of the seats in the house. The promoter shall be responsible to pay the taxes provided for in Section 13 of the Act for all complimentary tickets over and above the 4% cap on complimentary tickets. If the Division approves the issuance of complimentary tickets over and above the 4% cap, the complimentary tickets that are exempt from the tax shall be based on the lowest value of sold tickets distributed.

e) To facilitate assessment of the taxes required to be paid by the promoter pursuant to Section 13 of the Act, the following procedures shall be followed:

1. Tickets shall be printed in a format approved by the Division.

2. 7 days prior to a contest, the promoter shall submit to the Division a notarized printer's manifest for the amount and price of tickets printed for a contest. General admission tickets shall be consecutively numbered. When available, an electronic printout is to be given to a Division representative on the day of a contest. No tickets of admission to that contest shall be sold except tickets declared on the notarized printer's manifest.

3. The total number of tickets printed shall not exceed the total seating capacity of the premises where the contest is to be held.

4. The final accounting of printed tickets shall be completed by the promoter on an official ticket inventory prior to or during the last bout and provided to the Division. Taxes shall be assessed and collected on all the printed face value of the tickets declared on the official ticket inventory. Taxes shall also be assessed and collected for all unaccounted tickets.

5. No ticket holder shall pass through the gate without having the ticket separated from the stub or otherwise accounted for. However, members of the news media assigned to work by their regular employers, as approved by the promoter, policemen and firemen in uniform and on duty, and persons of similar vocation are admitted free and the promoter shall not be liable for any tax for their admission.

6. When it is determined that a promoter has made an incorrect statement of gate receipts, has used tickets not appearing on the inventory, or by any subterfuge purports to reduce the amount of tax due under the law, discipline of the promoter's license, up to and including revocation, and forfeiture of bond may occur.

68 Ill. Adm. Code 1370.180 Prohibited Contests

a) Any licensee holding or promoting a contest for which no permit has been issued by the Division, or participating in such a contest as a promoter, contestant, second, referee, judge, manager, trainer, announcer or timekeeper, may be subject to discipline pursuant to Section 16 of the Act.

b) The Division shall enter an order to cease and desist to any individual or entity involved in a contest for which no permit has been issued by the Division. If the individual or entity fails to comply with the order, the Division may send the order to the Attorney General or State's Attorney for civil or criminal enforcement with respect to prohibited contests, or the Division may file a complaint for imposition of civil penalties for violation of the Act.

68 Ill. Adm. Code 1370.190 Disciplinary Action

a) All licensees may be disciplined for any violation of the Act or this Part.

b) The administration or use of any drugs, alcohol or stimulants, or injections in any part of the body or applied topically to any part of the body, either before or during a bout, to or by any contestant is prohibited. Any contestant violating this Section shall be subject to disqualification or other disciplinary or non-disciplinary action as the Division may deem proper.

c) The Division or its designee may order the purse withheld from a contestant for failing to perform to the best of his or her ability. The contestant may request a hearing in writing within 15 days after the contest to determine the amount of the purse, if any, that will be transferred to the contestant. The purse shall be returned to the promoter 15 days after the contest if no hearing is requested. The hearing shall be held within 30 days after the date the request is received by the Division. When a hearing is held, any amount of purse not awarded to the contestant shall be returned to the promoter.

d) If a licensed contestant or contestant that has fought in any event not approved by the Division then competes against an amateur contestant, he or she may be immediately suspended for a period of not more than one year.

e) A contestant who refuses to fight or fails to appear at the weigh-in or in the bout for which he or she signed a bout agreement shall be immediately suspended for not more than 6 months. The Division may terminate the suspension if the contestant is released from the bout agreement by mutual agreement between the contestant and the promoter. The promoter shall provide the Department notice of this agreement of release in writing.

f) If, prior to a bout, a contestant files a certificate from a physician stating that the contestant is unable to fulfill a bout agreement because of physical disability, the contestant shall be immediately placed on a medical suspension for 60 days and be reinstated from the suspension in the same manner as provided for in Section 25.1 of the Act.

g) A promoter's license may be immediately suspended for failure to pay taxes as required by Section 13 of the Act. Any promoter whose license has been suspended shall not promote a contest until he or she has shown the Division proof that any outstanding taxes have been paid in full. A promoter's license may be subject to further discipline for late payment of taxes.

h) A promoter's license may be immediately suspended until payment of compensation is made to contestants and other participants. Any promoter whose license has been suspended pursuant to this subsection shall not promote a contest until he or she has satisfied any disciplinary requirements imposed by the Division. A promoter's license may be subject to further discipline for late payment of compensation.

i) The Division may immediately suspend the license of any licensee who misrepresents or falsifies information, data or documentation for application or other purposes. The Division may immediately report any action taken against a licensee to any keeper of records.

j) Any registrant who misrepresents or falsifies information, data or documentation for registration or other purposes shall void his or her registration. The Division may deny future registration or licensure to that registrant. The Division may immediately report the voiding or denial of that registration to any keeper of records.

k) A promoter, contestant, manager, second or representative of the contestant may not verbally harass, physically abuse, throw any object at, or make illicit gestures toward any person present at the venue, including, but not limited to, officials, inspectors or other Division representatives before, during or after any contest. Any promoter, contestant, manager, second or any representative of the contestant violating this Part may be immediately suspended or subject to any other disciplinary or non-disciplinary action the Division deems proper.

l) Throwing the mouthpiece into the audience during or after the contest may result in an immediate suspension or subject the offender to any other disciplinary or non-disciplinary action the Division deems proper.

m) No contestant or promoter may play any type of entrance theme that includes music, video or any type of physical display that contains any profane, offensive or derogatory remarks. Anyone violating this subsection may be immediately suspended or subject to any other disciplinary or non-disciplinary action the Division deems proper.

n) When a bout is cancelled because a contestant fails to make the required weight listed in his or her contestant/promoter contract, the contestant shall be subject to a fine not to exceed 25% of the purse amount and any other disciplinary or non-disciplinary action the Division deems proper. The contestant may request a hearing in writing within 15 days after the contest to appeal the suspension. The hearing shall be held within 30 days after the date the request for hearing is received by the Division.

o) In instances in which the Division immediately suspends or revokes a license, a hearing must be commenced within 30 days after the suspension and completed without appreciable delay. A license suspended pursuant to this Section may be subject to further discipline for violation of the Act and/or this Part.

68 Ill. Adm. Code 1370.200 Suspensions and Mandatory Rest Periods

a) The Division shall report all contestants' suspensions and mandatory rest periods to Fight Fax, Mixedmartialarts.com (the official recordkeepers designated by the Association of Boxing Commissions (ABC)) or other recordkeeper designated by the Division.

1. Physician's Suspension

A) A licensee who is determined by the physician to be unfit to compete or officiate shall be immediately suspended until it is shown that he or she is fit for further competition or officiating.

B) Prior to reinstatement, any contestant suspended for his or her medical protection shall satisfactorily pass a medical examination upon the direction of the Division. The examining physician may require any necessary medical procedures during the examination.

C) Failure to report or comply with the post-contest examination by the physician will result in a minimum suspension of 90 days.

2. Knockout Suspension

In the event of a knockout (KO) by a blow to the head, the contestant shall be immediately suspended for a period of not less than 45 days. The Division may also suspend a contestant from contact sparring.

3. Technical Knockout Suspension

In the event of a technical knockout (TKO), the contestant shall be immediately suspended for a period of not less than 30 days. The Division may also suspend a contestant from contact sparring.

4. Disqualification Suspension

In the event a contestant is disqualified for any reason, that contestant shall be suspended for a minimum of 45 days. The Division may also suspend a contestant from contact sparring.

b) A contestant shall not compete until 15 days have elapsed from his or her last bout. The 15 day period starts the day following the event in which he or she competed. The license of any contestant found to be competing during the 15 day rest period shall be immediately suspended.

c) The Division shall honor the suspension of a contestant by any state, tribal athletic commission, territory, federal agency or county that regulates contests in another jurisdiction if the suspension is ordered for:

1. Medical safety;

2. A violation of a law or regulation governing boxing or full-contact martial arts that would constitute a violation of the laws or regulations of this State; or

3. Any other conduct that discredits boxing or full-contact martial arts, as determined by the Division.

68 Ill. Adm. Code 1370.210 Renewals

a) Every license issued under the Act shall expire on September 30 of each odd numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee and completing any required forms.

b) Licensed contestants shall provide with their renewal proof of completion of any required certification courses and a complete physical examination by a physician as specified in Sections 1370.440 and 1370.460 (license application process). Failure to provide the proof shall result in expiration of the license. No contestant may participate in any contest while his or her license is expired.

c) A contestant over age 35 who has not competed in a contest within the last 36 months, or other period determined by the Division, may be required to appear before the Board to determine, on a case-by-case basis, his or her fitness to participate in a contest.

d) It is the responsibility of each licensee to notify the Division of any change of address in writing within 30 days after the change becomes effective. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a license.

e) A licensee who changes his or her name must notify the Division in writing within 30 days after the change becomes effective. Licensees are required to submit legal documentation proving the name change.

68 Ill. Adm. Code 1370.220 Administration or Use of Drugs

a) The administration or use of any drugs, alcohol or stimulants, or injections in any part of the body or applied topically to any part of the body, either before or during a bout, to or by any contestant is prohibited. Any contestant violating this Section shall be subject to disqualification or other disciplinary or non-disciplinary action the Division deems proper.

b) The Division may request, at any time, that a contestant submit to a drug screen at the contestant's expense when the test is ordered for a permitted contest.

c) A person who applies for or holds a license as a professional contestant and who has at any time had a positive drug test confirmed by any state, tribal athletic commission, territory, federal agency or county that regulates contests in another jurisdiction for any substance described in subsection (c) shall be required as a condition of licensure or renewal to provide a urine specimen. In addition, contestants shall provide a urine specimen for drug testing either before or after the bout, as directed by the Division representative.

d) A positive test for any of the following substances shall be conclusive evidence of a violation of subsection (a):

1. Stimulants

2. Narcotics

3. Cannabinoids (marijuana)

4. Anabolic agents (exogenous and endogenous)

5. Peptide hormones

6. Masking agents

7. Diuretics

8. Glucocorticosteroids

9. Beta-2 agonists (asthma medications) except salbutamol (maximum 1600 micrograms over 24 hours) and salmeterol by inhalation

10. Anti-estrogenic agents

11. Alcohol

12. Any drug identified on the Prohibited List published by the World Anti-Doping Agency (2012), which is hereby incorporated by reference. The most current edition of the Prohibited List may be obtained, free of charge, from the World Anti-Doping Agency, Stock Exchange Tower, 800 Place Victoria, Suite 1700, PO Box 120, Montreal, Quebec, Canada, H4Z 1B7 or at www.wada-ama.org. This incorporation includes no later editions or amendments.

68 Ill. Adm. Code 1370.230 Therapeutic Use Exemption

a) An applicant, licensee or registrant who believes he or she has a therapeutic reason to use a substance described in Section 1370.220(d) may request a therapeutic use exemption (TUE) to permit continued use of that substance. Such a request may only be granted by the Division. The applicant or licensee shall submit the request in writing to the Division. The request shall be accompanied by supporting medical information sufficient to allow the Division to determine whether to grant the request. In reaching its decision, the Division will, at a minimum, determine whether all of the following criteria have been met:

1. The applicant or licensee would experience a significant impairment to health if the prohibited substance were to be withheld in the course of treating an acute or chronic medical condition;

2. The therapeutic use of the prohibited substance would produce no additional enhancement of performance other than that which might be anticipated by a return to a state of normal health following the treatment of a legitimate medical condition;

3. Either reasonable therapeutic alternatives to the use of the otherwise prohibited substance have been tried or no reasonable alternative exists; and

4. The necessity for the use of the otherwise prohibited substance is not a consequence, wholly or in part, of a prior non-therapeutic use of any substance described in Section 1370.220(d).

b) The Division may, in its sole discretion, either grant or deny the request based on the criteria in subsections (a)(1) through (4).

c) Failure to disclose the use of a substance described in Section 1370.220(d) constitutes a violation of Section 1370.220(a).

68 Ill. Adm. Code 1370.240 Granting Variances

The Director may grant variances from this Part in individual cases when he or she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1370.300 Application for a Permit

a) Permits shall not be issued for applications listing less than 3 bouts.

b) A promoter shall submit a completed application for a permit to conduct a contest on forms supplied by the Division at least 20 days prior to the scheduled event. The application shall include:

1. The legal names, addresses, phone numbers, fax numbers (if available) and email addresses (if available) of the promoter and matchmaker;

2. The time, date and location of the contest;

3. The seating capacity of the location where the contest is to be held;

4. A copy of the written agreement for use of the venue by the promoter or proof of ownership of venue by the promoter;

5. The admission charge or charges to be made;

6. Proof of sufficient security in compliance with the Private Detective, Private Alarm, Private Security, Fingerprint Vendor and Locksmith Act of 2004 [225 ILCS 447];

7. The name, address and phone number of the nearest hospital with a neurosurgical unit;

8. A letter or other written statement indicating the weigh-in location, date and time, which shall be subject to the approval of the Division;

9. Proof of contract indicating the requisite registration and sanctioning by a Division approved sanctioning body for any full-contact martial arts contest with scheduled amateur bouts;

10. Organizational or internationally accepted rules, per discipline, for professional or amateur full-contact martial arts contests for which the Division does not provide the rules of competition; and

11. The required fee set forth in Section 1370.30.

c) Permit fees are non-refundable.

d) The promoter may request, in writing, to amend the permit application to hold a professional or amateur contest or combination of both in a location different than the location the original application stated. The promoter shall obtain prior written approval from the Division for any venue changes for the contest. Under Section 1370.30, the Division requires additional permit fees for any venue change.

e) The promoter shall obtain a new permit from the Division for any change of date for a previously issued permit. The original permit shall be deemed null and void once the new permit is issued.

f) A minimum of 10 days prior to the contest, the promoter shall submit the following to the Division:

1. The names of the ringside physicians and their respective license numbers;

2. The names of the contestants and current information from an official recordkeeper designated by the Division such as Fight Fax, Mixedmartialarts.com or any equivalent determined by the Division;

3. A completed ambulance agreement letter;

4. Written notice to the Division indicating the name of the announcer for the contest. The announcer shall be subject to approval by the Division; and

5. Proof of insurance required by Section 8 of the Act:

A) Contestant's accidental death and dismemberment insurance for not less than $25,000, with any deductible paid by the promoter;

B) Contestant's excess medical insurance for not less than $25,000, with any deductible paid by the promoter;

C) Public liability insurance, with a $1,000,000 minimum;

D) Property damage insurance, with $25,000 minimum.

g) Five days prior to the contest, the promoter shall submit to the Division a notarized printer's manifest for the amount and price of tickets printed for contest promotions. General admission tickets shall be consecutively numbered. When available, an electronic printout is to be given to a Division representative on the day of the show. All complimentary tickets shall designate that they are complimentary or reflect a zero dollar value.

h) At least one day prior to the contest, the promoter shall submit to the Division

a copy of the contracts, including replacement bout contracts, for the bouts, which shall be signed by the promoter, contestant and manager, if applicable.

i) Within 24 hours prior to the event, the promoter shall provide to the Division the payments for the officials, as required by Section 1370.40(f).

j) The Division will not approve permits for:

1. Bouts between members of the opposite sex;

2. Bouts between professional and amateur contestants;

3. Bouts between human contestants and nonhumans; or

4. Contests with more than 2 contestants competing in the same bout.

k) The Division may, in its discretion, deny an application for a permit or grant a limited, restricted or conditional permit. Instances in which the Division may take these actions include, but are not limited to:

1. instances in which the Division determines that denying or restricting a permit is in the best interest of the contestants, officials, or public's health, welfare and safety; or

2. when a formal complaint has been filed against the promoter requesting the permit or when a complaint relates to the request to permit the event.

l) No promoter, official or contestant shall serve in any capacity at a contest for which the Division has denied a permit or for which a permit has not been issued. Participation in non-permitted contests may be grounds for discipline.

m) The promoter must have an approved permit before any advertisement, publicity or other public announcement is issued for the contest unless there is prominently displayed a disclaimer stating that the contest has not yet been approved. Violation of this provision may be grounds for discipline.

68 Ill. Adm. Code 1370.400 Application for License as a Promoter

a) Promoters shall be separately licensed for either boxing or full-contact martial arts.

b) Promoters shall be separately licensed as either a promoter of professional contests or a promoter of amateur contests.

c) All promoters must be licensed.

d) An applicant must be at least 18 years of age.

e) An applicant for licensure as a promoter shall file a completed, signed application with the Division, on forms provided by the Division, that includes:

1. A copy of a current government issued photo identification (e.g., driver's license, passport);

2. Proof of a surety bond of no less than $5,000, as required by Section 11 of the Act, to cover financial obligations;

3. a $10,000 performance bond guaranteeing payment of all obligations relating to the promotional activities;

4. Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure;

5. One passport size photo; and

6. The required fee set forth in Section 1370.30.

f) When the accuracy or sufficiency of any submitted documentation is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Division to clarify information or clear up any discrepancies or conflicts in information.

g) The Division may deny an application for licensure if, without limitation, the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination or certification course, or otherwise fails to complete requirements to the satisfaction of the Division.

68 Ill. Adm. Code 1370.410 Application for License as a Matchmaker

a) Matchmakers shall be separately licensed for either boxing or full-contact martial arts.

b) All matchmakers must be licensed.

c) An applicant for a license shall complete an application provided by the Division.

d) An applicant must be at least 18 years of age.

e) Licensees shall comply with all applicable federal regulations governing boxing or full-contact martial arts.

f) Applications for licensure as a matchmaker shall include:

1. A copy of a current government issued photo identification (e.g., driver's license, passport);

2. Proof that the applicant has matched contestants in a minimum of 5 amateur or professional contests. The Division may examine any applicant for licensure as a matchmaker to determine whether the applicant has sufficient knowledge of the sport and is otherwise competent to perform as a matchmaker;

3. Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure;

4. One passport size photo; and

5. The required fee set forth in Section 1370.30.

g) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Division to clarify information or clear up any discrepancies or conflicts in information.

h) The Division may deny an application for licensure if, without limitation, the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination or certification course, or otherwise fails to complete requirements to the satisfaction of the Division.

68 Ill. Adm. Code 1370.420 Application for License as a Manager

a) Managers shall be separately licensed for either boxing or full-contact martial arts.

b) All managers shall be licensed.

c) An applicant for a license shall complete an application provided by the Division.

d) An applicant must be at least 18 years of age.

e) Licensees shall comply with all applicable federal regulations governing boxing or full-contact martial arts.

f) Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure.

g) The applications for licensure as a manager shall include, but not be limited to:

1. a copy of current government issued photo identification (e.g., driver's license, passport);

2. One passport size photo; and

3. The required fee set forth in Section 1370.30.

h) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Division to clarify information or clear up any discrepancies or conflicts in information.

i) The Division may deny an application for licensure if, without limitation, the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination or certification course, or otherwise fails to complete requirements to the satisfaction of the Division.

68 Ill. Adm. Code 1370.430 Application for License as a Second

a) Seconds shall be separately licensed for either boxing or full-contact martial arts.

b) All seconds must be licensed.

c) An applicant for a license shall complete an application provided by the Division.

d) An applicant must be at least 18 years of age.

e) Licensees shall comply with all applicable federal regulations governing boxing or full-contact martial arts.

f) The application for licensure as a second shall include:

1. A copy of a current government issued photo identification (e.g., driver's license, passport);

2. Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure;

3. One passport size photo; and

4. The required fee set forth in Section 1370.30.

g) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Division to clarify information or clear up any discrepancies or conflicts in information.

h) The Division may deny an application for licensure if, without limitation, the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination or certification course, or otherwise fails to complete requirements to the satisfaction of the Division.

68 Ill. Adm. Code 1370.440 Application for License as a Boxing Contestant

a) The Division may deny an application for licensure if the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination, or otherwise fails to complete training to the satisfaction of the Division.

b) No contestant shall participate in a contest without being licensed.

c) Contestants shall be separately licensed for either boxing or full-contact martial arts.

d) An applicant for a license shall complete an application provided by the Division.

e) An applicant must be at least 18 years of age.

f) An applicant must show proof of State residency.

g) An applicant shall disclose in writing, on a form provided by the Division, a complete medical history, including any prior or existing medical conditions.

h) All costs involved with medical examinations and/or tests required in this Section shall be the responsibility of the applicant.

i) Licensees shall comply with all applicable federal regulations governing boxing.

j) Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure.

k) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Board to clarify information or clear up any discrepancies or conflicts in information.

l) Applications for licensure as a contestant shall be completed on forms provided by the Division and shall include without limitation:

1. A copy of current government issued photo identification (e.g., driver's license, passport);

2. Proof of age (e.g., driver's license or copy of birth certificate);

3. Social Security Number or tax identification number, as appropriate;

4. Documentation of a minimum of 2 years of boxing experience as an amateur or professional, including the total number of bouts and a breakdown of wins and losses. The applicant shall have a minimum of 20 bouts or demonstrate exceptional fighting ability, as determined by the Division, based on the applicant's competition and training history;

5. One passport size photo; and

6. The required fee set forth in Section 1370.30.

m) All contestants must submit proof of completion of a complete physical examination by a physician. All physical examination and laboratory results submitted shall be dated no more than 6 months prior to the date of application. The examining physician shall conduct examinations and tests necessary to attest to the fitness of the applicant to engage in contests. Physical examinations of female contestants shall also include a pelvic, abdominal and breast exam.

n) Each applicant shall provide medical test results to the Division, dated no more than 6 months prior to the date of application, that shall include without limitation:

1. Complete physical examination;

2. Any results of an MRI report and cerebral magnetic resonance angiography dated within the last 5 years;

3. A blood test that verifies the applicant is HIV negative (quantitative RNA);

4. A blood test that verifies the applicant is Hepatitis B (HBsAg) negative;

5. A blood test that verifies the applicant is Hepatitis C (HCVAb) negative;

6. An eye examination by an optometrist or a physician licensed to practice medicine in all its branches who specializes in ophthalmology with results of dilated eye exam; and

7. Any other test a physician may require.

o) A contestant over age 35 who has not competed in a contest within the last 36 months, or as otherwise determined by the Division, may be required to appear before the Board to determine his or her fitness to participate in a contest.

p) The Division may deny a contestant a license if the contestant's license to participate or compete as a contestant has been denied, refused or disciplined for a medical condition by another state, tribal athletic commission, territory, federal agency or county.

q) If an applicant for licensure has suffered a serious head injury, including but not limited to a cerebral hemorrhage, the applicant must have his or her application for licensure or renewal reviewed by the Division before a license is issued or renewed.

r) The Division will not issue or renew a license to an applicant who is found to be blind in one eye or whose vision in one eye is so poor that a physician recommends that the license not be granted or renewed. This subsection is effective regardless of the acuity of vision the applicant may have in the other eye.

68 Ill. Adm. Code 1370.450 Application for License as a Timekeeper, Referee or Judge – Boxing

a) The Division may deny an application for licensure if the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination, or otherwise fails to complete training to the satisfaction of the Division.

b) All timekeepers, referees or judges shall be licensed.

c) Timekeepers, referees and judges shall be separately licensed for either boxing or full-contact martial arts.

d) An applicant for a license shall complete an application provided by the Division.

e) An applicant must be at least 18 years of age.

f) All fees involved with medical examinations and/or tests required in this Section shall be the responsibility of the applicant.

g) Licensees shall comply with all applicable federal regulations governing boxing.

h) Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure.

i) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Board to clarify information or clear up any discrepancies or conflicts in information.

j) The application for licensure as a referee, judge or timekeeper shall be completed on forms provided by the Division and shall include, but not be limited to:

1. A copy of current government issued photo identification (e.g., driver's license, passport);

2. A passport size photo;

3. The required fee set forth in Section 1370.30;

4. An eye examination by an optometrist or physician licensed to practice medicine in all its branches who specializes in ophthalmology, dated no more than 6 months prior to the date of application, reflecting that the applicant has corrected or uncorrected visual acuity of at least 20/40 in both eyes; and

5. Documented experience in boxing as a referee, judge or timekeeper, as appropriate, which shall include but not be limited to:

A) 3 of the last 4 years in amateur or professional boxing or a minimum of 300 bouts;

B) experience in amateur or professional, local or national tournaments or contests; or

C) proof of active licensure in another jurisdiction.

k) The Division may also require the applicant to submit to a minimum of one on-site evaluation of his or her working as a judge, referee or timekeeper during an actual bout to complete an applicant’s portfolio of eligibility for licensure.

l) In addition to the other requirements of this Section, applicants for licensure as a referee shall provide proof of a complete physical examination by a physician, dated no more than 6 months prior to the date of application, to determine whether the applicant is in good physical condition and has the speed and reflexes necessary for the protection of both fighters.

68 Ill. Adm. Code 1370.460 Application for License as a Full-Contact Martial Arts Contestant

a) The Division may deny an application for licensure if the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination, or otherwise fails to complete training to the satisfaction of the Division.

b) No contestant shall participate in a contest without being licensed.

c) Contestants shall be separately licensed for either boxing or full-contact martial arts.

d) An applicant for a license shall complete an application provided by the Division, which shall include the fee set forth in Section 1370.30.

e) An applicant must be at least 18 years of age.

f) An applicant must show proof of state residency.

g) Disclose in writing, on a form provided by the Division, a complete medical history, including any prior or existing medical conditions.

h) All costs involved with medical examinations and/or tests required in this Section shall be the responsibility of the applicant.

i) Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure.

j) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Board to clarify information or clear up any discrepancies or conflicts in information.

k) Applicants for licensure as a contestant shall be completed on forms provided by the Division and shall include, without limitation:

1. A copy of current government issued photo identification (e.g., driver's license, passport);

2. Proof of age (e.g., driver's license or copy of birth certificate);

3. Social Security Number or tax identification number, as appropriate;

4. Documentation of one year of mixed martial arts experience as a contestant, including the total number of bouts and a breakdown of wins and losses. The applicant shall have a minimum of 5 bouts or demonstrate exceptional fighting ability, as shown by the applicant's competition and training history, in combat sports, wrestling, grappling or martial arts, as determined by the Division;

5. A passport size photo; and

6. The required fee set forth in Section 1370.30.

l) All contestants must submit proof of a complete physical examination by a physician. All physical exams and laboratory results submitted shall be dated no more than 6 months prior to the date of application. The examining physician shall conduct examinations and tests necessary to attest to the fitness of the applicant to engage in contests. Physical examinations of female contestants shall also include a pelvic, abdominal and breast exam.

m) Each applicant shall provide medical test results to the Division dated no more than 6 months prior to the date of application, which shall include but not be limited to:

1. Complete physical examination;

2. Any results of an MRI report and cerebral magnetic resonance angiography dated within the last 5 years;

3. A blood test that verifies the applicant is HIV negative (quantitative RNA);

4. A blood test that verifies the applicant is Hepatitis B (HBsAg) negative;

5. A blood test that verifies the applicant is Hepatitis C (HCVAb) negative;

6. An eye examination by an optometrist or a physician licensed to practice medicine in all its branches who specializes in ophthalmology with results of dilated eye exam; and

7. Any other test the Division or event physician may require.

n) A contestant over age 35 who has not competed in a contest within the last 36 months, or as otherwise determined by the Division, may be required to appear before the Board to determine his or her fitness to participate in a contest.

o) The Division may deny a contestant a license if the contestant's license to participate or compete as a contestant has been denied, refused or disciplined for a medical condition by another state, tribal athletic commission, territory, federal agency or county.

p) If an applicant for licensure has suffered a serious head injury, including but not limited to a cerebral hemorrhage, the applicant must have his or her application for licensure or renewal reviewed by the Division before a license is issued or renewed.

q) The Division will not issue or renew a license to an applicant who is found to be blind in one eye or whose vision in one eye is so poor that a physician recommends that the license not be granted or renewed. This subsection is effective regardless of the acuity of vision the applicant may have in the other eye.

68 Ill. Adm. Code 1370.470 Application for License as a Full-Contact Martial Arts Timekeeper, Referee or Judge

a) The Division may deny an application for licensure if the applicant fails to meet the qualifications specified in this Section, fails to pass a required examination, or fails to otherwise complete training to the satisfaction of the Division.

b) All timekeepers, referees or judges shall be licensed.

c) Timekeepers, referees and judges shall be separately licensed for either boxing or full-contact martial arts.

d) An applicant for a license shall complete an application provided by the Division.

e) An applicant must be at least 18 years of age.

f) All fees involved with medical examinations and/or tests required in this Section shall be the responsibility of the applicant.

g) Proof of good moral character. The applicant shall notify the Division of any criminal convictions other than minor traffic violations. The Division may consider any criminal convictions or discipline in another jurisdiction in which the applicant is licensed when determining if the applicant is qualified for licensure.

h) When the accuracy or sufficiency of any submitted documentation of stated experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure may be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Division to clarify information or clear up any discrepancies or conflicts in information.

i) The application for licensure as a referee, judge or timekeeper shall be completed on forms provided by the Division and shall include, without limitation:

1. A copy of current government issued photo identification (e.g., driver's license, passport);

2. An eye examination by an optometrist or physician licensed to practice medicine in all its branches who specializes in ophthalmology, dated no more than 6 months prior to the date of application reflecting that the applicant has corrected or uncorrected visual acuity of at least 20/40 in both eyes;

3. A passport size photo;

4. The required fee set forth in Section 1370.30; and

5. Documented experience in martial arts or full-contact martial arts, which shall include, without limitation:

A) 3 of the last 4 years in amateur or professional martial arts or full-contact martial arts contests or a minimum of 100 bouts;

B) exceptional ability as a referee, judge or timekeeper, as determined by the Division based on the applicant's experience; or

C) proof of active licensure in another jurisdiction.

j) The Division may also require the applicant to submit to a minimum of one in-person evaluation of his or her working as a judge, referee or timekeeper during an actual bout to complete an applicant's portfolio of eligibility for licensure.

k) In addition to the other requirements of this Section, applicants for licensure as a referee shall provide proof of a complete physical examination by a physician, dated no more than 6 months prior to the date of application, to determine whether the applicant is in good physical condition and has the speed and reflexes necessary for the protection of both fighters.

68 Ill. Adm. Code 1370.500 Classes and Weights of Contestants – Boxing

a) Contestants shall be classified under the following classifications:

Light Flyweight

not over 108 pounds

Flyweight

over 108 to 112 pounds

Bantamweight

over 112 to 118 pounds

Super Bantamweight

over 118 to 122 pounds

Featherweight

over 122 to 126 pounds

Super Featherweight

over 126 to 130 pounds

Lightweight

over 130 to 135 pounds

Super Lightweight

over 135 to 140 pounds

Welterweight

over 140 to 147 pounds

Super Welterweight

over 147 to 154 pounds

Middleweight

over 154 to 160 pounds

Super Middleweight

over 160 to 168 pounds

Light Heavyweight

over 168 to 175 pounds

Cruiserweight

over 175 to 200 pounds

Heavyweight

over 200 pounds

b) Any contestant's change in weight class must be approved by the Division.

c) Contestants shall only fight contestants in their own weight class unless permission is granted by the Division.

68 Ill. Adm. Code 1370.510 Attire and Equipment for Contestants – Boxing

a) Attire and Equipment for Contestants

All contestants shall comply with the following:

1. Contestants shall wear athletic shorts that do not extend below the knee, as specified in the bout agreement.

2. Each contestant shall have available for the contest 2 uniforms of contrasting colors, consisting of a body shirt, athletic jersey and shorts. No leotard or other such costume is permitted.

3. Shirts or gis shall not be worn by a contestant during a bout.

4. Knee pads, elbow pads, chest protectors (for male contestants), and shin guards shall not be allowed.

5. Shoes shall be of soft material and not fitted with spikes, cleats, hard soles or hard heels.

6. All contestants shall wear an individually fitted mouthpiece, which shall be subject to examination and approval by the Division.

A) All contestants shall have available 2 mouthpieces; and

B) A round will not begin until both contestants have their respective mouthpieces in place.

7. Male contestants shall wear a foul-proof groin protector.

8. Female contestants:

A) shall wear a breast protector during the contest with both contestants wearing the same type. The breast protector shall be subject to examination and approval by the Division; and

B) may wear a pelvic protector at the option of the contestant.

9. A contestant shall be prohibited from wearing any attire or equipment that contains any metal substance.

10. All equipment and attire are subject to approval by the Division. An inspector or other Division official may direct a contestant to change any attire or equipment that he or she determines gives unfair advantage or is a threat to the health, safety or welfare of the other contestant or the public.

b) Bandages/Handwraps

In all weight classes, seconds must adhere to the following for wrapping hands:

1. Hand bandages shall be restricted to 15 yards of soft gauze bandage not more than 2 inches in width, held in place by not more than 6 feet of surgeon's tape, ½ inch in width, for each hand. Any deviation must have the approval of the Division official.

2. Bandages shall be evenly distributed across the hand.

3. The binding of surgeon's tape must not be applied within ½ inch of the knuckles of the contestant's hand.

4. Bandages and tape shall be placed on the contestant's hand in the dressing room prior to the bout in the presence of the inspector. The opposing contestant for a title may also witness the bandaging of the opponent's hands. This privilege may be waived.

5. The Division official shall approve all bandages and taping prior to gloves being placed on any contestant and after gloves are removed. Under no circumstances are gloves to be placed on the hands of a contestant before approval by the inspector.

c) Gloves

1. Contestants competing against each other in the same bout shall wear gloves that are of the same weight.

2. The brand of glove used in a contest must be approved by the Division prior to the contest. Gloves shall be whole, clean and in good condition. Broken gloves are prohibited during any bout or contest.

3. Gloves that are padded in the palm or fingertip area are prohibited.

4. All gloves shall be inspected and approved by the inspector prior to each bout. The inspector or a designee of the Division may inspect gloves at any time.

5. All gloves shall be furnished by the promoter. Webbed gloves with attached thumbs must be worn and must be approved by the Division or its designee. For all title bouts, gloves shall be new. Promoters must have extra sets of gloves in each size used during the contest to be used in case gloves are broken or in any way damaged during the course of a bout. Promoters are prohibited from furnishing gloves provided by a contestant.

A) Gloves shall be appropriate in weight for the contestants and shall be no less than 8 ounces and no more than 12 ounces in weight.

B) Male boxing contestants who are over 147 pounds shall wear gloves that are, at minimum, 10 ounces in weight.

C) Male boxing contestants who are 147 pounds and under shall wear gloves that are, at minimum, 8 ounces in weight.

D) Female contestants shall wear gloves that weigh at least 10 ounces.

68 Ill. Adm. Code 1370.520 Structure of the Ring for Contests

a) Size of the Ring

1. The ring shall be square shaped.

2. The ring for a contest shall be no less than 16 x 16 feet and no larger than 24 x 24 feet within the ropes. The ring floor shall be constructed of at least a 1 inch base of wood-based board padded with at least a 1 inch layer of foam rubber or foam rubber equivalents. There must be a top covering of canvas, duck or similar material tightly stretched and attached to the ring platform.

3. The ring shall have 4 posts not less than 3 inches in diameter that extend from the floor of the ring to a height of no less than 48 inches and no more than 58 inches. The posts shall be securely anchored and adequately padded.

b) The ring shall have, at minimum, 4 ropes of cotton, hemp, nylon or comparable material, each not less than one inch in diameter. The ropes shall be padded with a soft material.

c) The floor of the ring shall not be more than 4 feet above the floor on which it is standing, and shall be supplied with steps for the entry and departure of contestants and officials.

d) The platform of the ring must extend beyond the ropes for a distance of at least 2 feet.

e) The ring shall be kept clear of obstructions.

68 Ill. Adm. Code 1370.530 Intentional and Accidental Fouls and Injuries

a) Fouls

1. If one of the contestants falls to the ring floor, or otherwise indicates an unwillingness to continue because of a claim of a low-blow foul, and the referee does not agree, the contest may be terminated, and the referee may award the contest to the opponent.

2. In the case of a referee determined accidental foul, the referee shall determine whether the contestant who has been fouled can continue. If the contestant's chances have not been seriously jeopardized as a result of the foul, the referee may order the bout continued after an interval of not more than 5 minutes rest.

3. The following actions in a boxing bout or contest shall be considered fouls:

A) Hitting below the belt;

B) Hitting an opponent who is down;

C) Holding an opponent with one hand while hitting with the other;

D) Holding or clinching after the referee orders the contestants to break or hitting on the break;

E) Wrestling or kicking;

F) Butting with the head or shoulder;

G) Hitting with open gloves, hitting with the butt of the hand, wrist or elbow, and all back hand blows;

H) Roughing on the ropes;

I) Hitting in the back or kidney area;

J) Hitting on the back of the head or neck;

K) Jabbing the opponent's eyes with the thumb of the glove;

L) Hitting after the bell has sounded ending a round; and

M) Conduct that in the opinion of the referee is unsportsmanlike.

b) Injuries

1. The referee, at his or her discretion, may request that the physician examine a contestant during the bout. Should the examination occur during the course of a round, the clock shall be stopped until the examination is completed. The physician may recommend that the referee stop the bout, in which case the referee shall render the appropriate decision.

2. In the event of serious cuts or injuries, the referee shall summon the physician who shall advise whether the bout should be stopped.

3. A referee shall consider the decision of the physician.

4. The referee shall be authorized to determine if injuries were produced by a foul, and if the foul was intentional or accidental.

c) Injuries Sustained as a Result of Fouls

1. Intentional Fouls

A) If an intentional foul causes an injury, and the injury is severe enough to terminate the bout immediately, the contestant causing the injury shall lose by disqualification.

B) If an intentional foul causes an injury and the bout is allowed to continue, the referee will notify the Division representative and may deduct points from the contestant who caused the foul. Point deductions for intentional fouls will be mandatory.

C) If an intentional foul causes an injury and the injury results in the bout being stopped in a later round, the injured contestant will win by technical decision if he or she is ahead on the score cards, or the bout will result in a technical draw if the injured boxing contestant is behind or even on the score cards.

D) If a contestant injures himself or herself while attempting to intentionally foul his or her opponent, the referee will not take any action in his or her favor, and this injury will be the same as one produced by a fair blow.

E) If the referee believes that a contestant has conducted himself or herself in an unsportsmanlike manner, the referee may stop the bout and disqualify the contestant.

2. Accidental Fouls

A) If an accidental foul causes an injury severe enough for the referee to stop the bout immediately, the bout will result in a no decision if stopped before 4 completed rounds. Four rounds are complete when the bell rings signifying the end of the fourth round.

B) After four rounds have occurred, if an accidental foul causes an injury severe enough for the referee to stop the bout immediately, the bout will result in a technical decision, awarded to the contestant who is ahead on the score cards at the time the bout is stopped.

C) Partial or incomplete rounds will be scored. If no action has occurred, the round should be scored as an even round. This is at the discretion of the judges.

3. A contestant who is hit with an accidental low blow must continue after a reasonable amount of time, but no more than 5 minutes, or he or she will lose the fight.

d) Loss of mouthpiece. When a mouthpiece is knocked out of a contestant's mouth, the referee may call time when he or she deems that there is a lull in action (not in the heat of battle). The referee may have the second replace the mouthpiece. The referee may call a time out based on loss of a mouthpiece one time per contestant during the bout without points being deducted from the contestant whose mouthpiece came out, at the discretion of the referee

68 Ill. Adm. Code 1370.540 Rounds

a) Non-Title Bouts. Each non-title bout shall be no fewer than 4 rounds and no more than 12 rounds of 3 minutes duration, with a one minute rest period between rounds.

b) Title Bouts. Each title bout shall be no fewer than 8 rounds and no more than 12 rounds of 3 minutes duration, with a one minute rest period between rounds.

c) Women's boxing bouts shall have 2 minute rounds, with a one minute rest period between rounds.

68 Ill. Adm. Code 1370.550 Types of Bout Results

a) A contestant shall be considered by the referee to be knocked down when any part of his or her body other than the feet is on the fighting area floor, or if the contestant is hanging over the ropes and unable to defend himself or herself.

b) A contestant hanging over the ropes is not officially "down" until so pronounced by the referee.

c) When a contestant is knocked down, the referee shall order the opponent to retire to the farther neutral corner of the ring, pointing to the corner, and immediately pick up the count from the timekeeper and continue counting over the contestant who is down.

d) The referee shall announce the passing of the seconds, audibly, accompanying the count with motions of his or her arm, the downward motion indicating the end of each second.

e) There shall be a mandatory 8-count. Any contestant who is knocked down shall not be allowed to resume boxing until after the referee has finished counting 8. The contestant may take this count either on the floor or standing.

f) Three knockdowns in one round shall be regarded as justifiable reason for the referee to halt a contest. The referee may allow a fight to continue after a contestant has been knocked down 3 times if, in his or her judgment, the contestant is able to continue.

g) If the contestant taking the count is still down when the referee calls the count of 10, the referee shall wave both arms to indicate that the contestant has been knocked out and has lost the bout.

h) Should the opponent fail to stay in the neutral corner, the referee shall cease counting until the opponent has returned to it; the referee will then go on with the count from the point at which it was interrupted.

i) Contestants who have been knocked out shall be kept lying down until they have recovered. When a contestant is knocked out, no one shall touch him or her, except that the referee shall remove the contestant's mouthpiece, until the ringside physician enters the ring and personally attends to the contestant and issues necessary instructions to the contestant's seconds.

j) The bell does not save the contestant in any round.

k) If any contestant fails or refuses to resume fighting when the bell sounds starting the next round, the referee may award a technical knockout to the opponent as of the last completed round plus one second of the current round.

l) Cessation of contest because of unexpected reasons. Should unexpected or accidental reasons determine the cessation of a contest before completion of the scheduled rounds, a technical decision shall be awarded to the contestant who is ahead in points on the scorecard of judges and the determination of the referee, provided that at least 4 rounds have been completed when the cessation occurs. If the cessation occurs before 4 rounds have been completed, the decision will be a technical draw.

m) No manager or second shall bring about the termination of a contest by tossing in a towel. The manager or second shall notify the physician or referee that the bout needs to be stopped. Seconds cannot walk into the ring. The chief second may mount the apron of the fighting area and attract the referee's attention, indicating the retirement of the contestant.

68 Ill. Adm. Code 1370.560 State of Illinois Boxing Championships

a) All title bouts will be 8, 10 or 12 rounds, each of which is 2 or 3 minutes, with one minute of rest between rounds.

b) Scoring will be the 10-point must system as described in Section 1370.570. The scoring will be done by 3 judges. The referee will be a non-scoring official.

c) In the event a contestant is knocked down, there will be a mandatory 8-count. There is no standing 8-count.

d) The bout will be stopped any time the referee or physician considers it necessary for the safety of either contestant.

e) The weigh-in will be set by the Division. The champion and challenger will have 2 hours after the initial weigh-in to make weight; if either fails to make weight, no title will be at stake.

f) A champion must keep his or her contestant license up to date. He or she will have 30 days after the expiration date, as set forth in Section 1370.210, to renew his or her license. If the license is not renewed, the contestant's title will be vacated.

g) A champion must defend or have a contract to defend his or her title every 6 months or his or her title will be vacated.

h) If a champion is convicted of any felony, his or her title will be declared vacant.

i) If a champion wins a major title, such as International Boxing Federation (IBF), World Boxing Organization (WBO), World Boxing Council (WBC), World Boxing Association (WBA), North American Boxing Federation (NABF), North American Boxing Organization (NABO), or United States Boxing Association (USBA), he or she must relinquish his or her State title.

j) All championship bouts must be approved by the Division.

k) A 10% fee above the normal scale will be paid to the officials who work the championship bout.

l) The championship belt must be provided by the promoter for a new champion.

m) It is the responsibility of the champion's manager to contact a promoter for the defense of the champion's title.

n) There will be no permit fee for the championship bout.

o) Gloves

1. Male contestants who are over 147 pounds shall wear thumb web gloves that are, at minimum, 10 ounces in weight.

2. Male contestants who are 147 pounds and under shall wear thumb web gloves that are, at minimum, 8 ounces in weight.

3. Female contestants shall wear gloves that weigh at least 10 ounces.

p) A contestant must be licensed in Illinois and residing in Illinois or an adjacent state, as demonstrated by providing a driver's license, a utility bill or a lease in the contestant's name, or similar documentation, before he or she is eligible to be rated. He or she must also have at least one fight every 6 months.

68 Ill. Adm. Code 1370.570 Scoring – Boxing

a) Scoring shall be by 3 licensed judges in attendance to score each bout, stationed on different sides of the ring, and the referee. The judges shall watch every phase of the bout and make a decision if the contest lasts the full number of rounds scheduled. They shall be ready at all times, if requested by the referee, to assist in deciding whether fouls have been committed.

b) The following shall be considered by judges while scoring:

1. Clean blows, not otherwise prohibited by this Part, in proportion to their damaging effects.

2. Aggressiveness.

3. Defensive maneuvers for avoiding or blocking a blow.

4. Conspicuous command of the fighting area, which includes such factors as the ability to take advantage of an opportunity; to cope with, foresee and neutralize an opponent's attack; or to force an opponent to adopt a style of fighting at which he or she is not skillful.

c) System for Scoring a Contest

1. The scoring of the contest by the judges will be by the 10-point must system.

2. Under the 10-point must system, the winner of each round receives 10 points and the loser a proportionately lower number.

3. If the round is even, each contestant receives the full number of points. No fractions of points are to be used.

4. If a round is stopped by a referee due to an accidental foul, the round shall be scored.

5. The winner of the round shall be awarded 10 points and the loser of the round shall be awarded 9 or fewer points, except for rare instances of an even round for which each contestant shall be awarded 10 points.

68 Ill. Adm. Code 1370.600 Classes and Weights of Contestants

a) In full-contact martial arts contests, contestants shall be classified under the following classifications:

Weight Class

Weights

Allowances

Straw Weight

up to 115 pounds

3 pounds

Flyweight

over 115 to 125 pounds

3 pounds

Bantamweight

over 125 to 135 pounds

3 pounds

Featherweight

over 135 to 145 pounds

5 pounds

Lightweight

over 145 to 155 pounds

5 pounds

Welterweight

over 155 to 170 pounds

5 pounds

Middleweight

over 170 to 185 pounds

7 pounds

Light Heavyweight

over 185 to 205 pounds

7 pounds

Heavyweight

over 205 to 265 pounds

7 pounds

Super Heavyweight

over 265 pounds

b) Any contestant's change in weight class must be approved by the Division.

c) Contestants shall only fight contestants in their own weight class unless permission is granted by the Division. With permission of the Division, a contestant can compete against a competitor in his or her own weight class or in one of the 2 higher or 2 lower weight classes.

68 Ill. Adm. Code 1370.610 Attire and Equipment

a) Attire and Equipment for Contestants

All contestants shall comply with the following:

1. Contestants shall wear athletic shorts that do not extend below the knee, such as mixed martial arts shorts, grappling or fighting shorts, boxing shorts or kickboxing shorts, or as specified in the bout agreement.

2. Each contestant shall have available for the contest 2 uniforms of contrasting colors, consisting of athletic shorts as described in this subsection. No leotard or other such costume is permitted.

3. Shirts or gis shall not be worn by a contestant during a bout, unless approved by the Division.

4. Knee pads, elbow pads, chest protectors (for male contestants), shin guards, headgear, or closed toe shoes shall not be allowed.

5. All contestants shall wear an individually fitted mouthpiece, which shall be subject to examination and approval by the Division.

A) All contestants shall have available 2 mouthpieces; and

B) A round will not begin until both contestants have their respective mouthpieces in place.

6. Male contestants shall wear a foul-proof groin protector.

7. Female contestants:

A) shall wear a breast protector during the contest with both contestants wearing the same type. The breast protector shall be subject to examination and approval by the Division; and

B) may wear a pelvic protector at the option of the contestant.

8. Taping of hands, wrists and ankles is subject to approval by the Division.

9. A contestant shall be prohibited from wearing any attire or equipment that contains any abrasive material, metal substance, or other hard material such as plastic or buckles.

10. All equipment and attire, such as neoprene ankle or knee sleeves, or other emerging market materials that comprise equipment and attire, are subject to approval by the Division. An inspector or other Division representative may direct a contestant to change any attire or equipment that he or she determines gives unfair advantage or is a threat to the health, safety or welfare of the other contestant or the public or could be deemed a detriment to the sport.

b) Bandages/Handwraps

In all weight classes, seconds must adhere to the following for wrapping hands:

1. The bandages/handwraps shall consist of soft gauze type cloth that is no more than 15 yards in length and not more than 2 inches in width and held in place by no more than 10 feet or one winding of surgeon's tape not over 2 inches wide. Up to one 20 yard roll of bandage may be used to complete the wrappings for each hand;

2. The surgeon's tape shall be placed directly on each hand for protection near the wrist. The tape may cross the back of the hand twice but may not extend within three-fourths of an inch of the knuckles when the hand is clenched to make a fist;

3. Bandages shall be evenly distributed across the hand;

4. Bandages and tape shall be placed on the contestant's hand in the dressing room prior to the bout in the presence of the inspector. The opposing contestant for a title may also witness the bandaging of the opponent's hands. This privilege may be waived; and

5. The Division official shall approve all bandages and taping prior to gloves being placed on any contestant and after gloves are removed. Under no circumstances are gloves to be placed on the hands of a contestant before approval by the inspector.

c) Gloves for Contestants

1. Contestants competing against each other in the same bout shall wear the same weighted gloves. Gloves shall be clearly marked or have sewn into the lining a tag with the official weights by the manufacturer. When gloves are manufactured with a size mark or tag (e.g., Small, Medium, Large or Extra Large) rather than the official weight of the glove, the promoter must provide the glove manufacturer's documentation reflecting the size to weight ratio of the gloves.

2. Gloves shall be whole, clean and in good condition. Broken gloves are prohibited during any bout or contest.

3. Gloves that are padded in the palm or fingertip area are prohibited.

4. All gloves shall be inspected and approved by the inspector prior to each bout. The inspector or a designee of the Division may inspect gloves at any time.

5. All gloves shall be furnished by the promoter. For all title bouts gloves shall be new. Promoters must have extra sets of gloves in each size used during the contest to be used in case gloves are broken or in any way damaged during the course of a bout. Promoters are prohibited from furnishing gloves to the Division that were provided by a contestant.

6. Gloves shall be appropriate in size for the contestant and shall be no less than 4 ounces and no more than 8 ounces in weight.

68 Ill. Adm. Code 1370.620 Structure of the Fighting Area for Contests

a) Contests shall be held in a ring, cage or a fenced area.

b) The fighting area shall be approved by the Division, including all padding or enclosures. Fighting areas that are not approved by the Division shall not be used. The fighting area shall meet the following requirements:

1. The fighting area:

A) shall be constructed in a manner that does not pose a substantial risk to the safety or health of any person. The fighting area must be circular or have as many as 8 equal sides for a contest. The fighting area shall be no smaller than 16 feet wide and no larger than 32 feet wide within the ropes, cage or fenced area;

B) shall have a corner with a blue designation and the corner directly across shall have a red designation;

C) floor shall extend at least 24 inches beyond the ropes or other barrier. The floor must be of a canvas, duck or similar material that shall be padded with at least a one inch layer of foam padding that shall extend over the edge of the platform of the fighting area. Vinyl or other plastic rubberized covering is prohibited. Materials that may gather in lumps or ridges during the bout or contest are prohibited;

D) platform shall be a minimum of one foot and no more than 4 feet above the floor on which it is standing and must have suitable steps or ramps for use by officials and the contestants;

E) shall have 5 fighting area ropes, when fighting area ropes are used, not less than one inch in diameter and wrapped in soft material. The lowest rope must be no higher than 12 inches from the fighting area floor; and

F) must not be obstructed by any object, including, without limitation, a triangular border, on any part of the fighting area floor.

2. When fighting area ropes are used, the post:

A) must be made of metal no less 3 inches and not more than 6 inches in diameter, and must be properly padded in a manner approved by the Division; and

B) must be 18 inches away from the fighting area ropes.

3. The fence or cage specifications for martial arts and mixed martial arts are:

A) the fence or cage shall be made of material that will prevent a contestant from falling out or breaking through the fighting area onto the floor beneath the fighting area or onto spectators. The enclosure may be composed of vinyl-coated chain link fencing or other similar material;

B) any exposed metal on the interior of the fenced or caged area must be covered and padded in a manner approved by the inspector or Division representative. The covering shall not be abrasive to the contestants;

C) any metal parts used to reinforce the fenced or caged area enclosure shall not interfere with the safety of the contestants;

D) unless otherwise approved by the Division, the enclosure shall provide 2 separate entries onto the fighting area canvas that are sufficient to allow easy access to the fighting area by officials and emergency personnel. The entrances must be padded or covered so that there is no exposed metal on the interior of the fence or caged area;

E) The enclosure shall not obstruct or limit the supervision and regulation of the bout by officials or Division representatives; and

F) The enclosure shall not inhibit the judging of the bout in any manner.

68 Ill. Adm. Code 1370.630 Intentional and Accidental Fouls and Injuries

a) The following actions in a bout or contest shall be considered fouls:

1. Butting with the head;

2. Eye gouging of any kind;

3. Biting;

4. Hair pulling;

5. Fishhooking;

6. Groin attacks of any kind;

7. Putting a finger into any orifice or into any cut or laceration of an opponent;

8. Small joint manipulation;

9. Striking to the spine or the back of the head;

10. Striking downward, "sky to earth", using the point of the elbow;

11. Throat strikes of any kind, including, without limitation, grabbing the trachea;

12. Clawing, pinching or twisting the flesh;

13. Grabbing the clavicle;

14. Kicking the head of a grounded opponent;

15. Kneeing the head of a grounded opponent;

16. Stomping a grounded opponent;

17. Kicking to the kidney with the heel;

18. Spiking an opponent to the canvas on his head or neck;

19. Throwing an opponent out of the ring or fenced area;

20. Holding the shorts or gloves of an opponent;

21. Spitting at an opponent;

22. Engaging in any unsportsmanlike conduct that causes injury to an opponent;

23. Holding the ropes or the fence;

24. Using abusive language in the ring or fenced area;

25. Attacking an opponent during the break;

26. Attacking an opponent who is under the care of the referee;

27. Attacking an opponent after the bell has sounded the end of the period of unarmed combat;

28. Flagrantly disregarding the instructions of the referee;

29. Timidity, including, without limitation, avoiding contact with an opponent, intentionally or consistently dropping the mouthpiece or faking an injury;

30. Interference by the corner from anyone working a contestant's corner, including leaving the corner's designated area;

31. Any act that, in the judgment of the referee, is detrimental and places an opponent at a disadvantage or risk, such as applying a foreign substance to one's hair, body, clothing or gloves prior to or during a contest; and

32. Throwing in the towel during competition.

b) Injuries

1. The referee, at his or her discretion, may request that the physician examine a contestant during the bout. Should the examination occur during the course of a round, the clock shall be stopped until the examination is completed. The physician may recommend that the referee stop the bout, in which case the referee shall render the appropriate decision.

2. In the event of serious cuts or injuries, the referee shall summon the physician who shall advise whether the bout should be stopped.

3. A referee may consider the decision of the physician.

4. The referee shall be authorized to determine if injuries were produced by a foul, and if the foul was intentional or accidental.

c) Injuries Sustained by Fair Blows and Fouls

1. Fair Blows

If an injury is severe enough to terminate a contest, the injured contestant loses by technical knockout (TKO).

2. Fouls

A) Intentional

i) If an intentional foul causes an injury, and the injury is severe enough to terminate a bout immediately, the contestant causing the injury shall lose by disqualification.

ii) If an intentional foul causes an injury and the bout is allowed to continue, the referee may notify the Division representative and may deduct points from the contestant who caused the foul.

iii) If an intentional foul causes an injury and the injury results in the bout being stopped in a later round, the injured contestant shall win by technical decision if he or she is ahead on the scorecards, or the bout shall result in a technical draw if the injured contestant is behind or even on the scorecards.

iv) If a contestant injures himself or herself while attempting to intentionally foul his or her opponent, the referee shall not take any action in his or her favor, and this injury shall be the same as one produced by a fair blow.

v) If the referee believes that a contestant has conducted himself or herself in an unsportsmanlike manner, the referee may stop the bout and disqualify the contestant.

B) Accidental

i) If the referee determines, either from his or her own observation or on the advise of the physician, that the bout should not continue because of the injury from the accidental foul, the bout will be declared a no contest if the foul occurred:

· during the first 2 rounds of a non-championship bout; or

· during the first 3 rounds of a championship bout.

ii) If the referee determines, either from his or her own observation or on the advise of the physician, that the bout should not continue because of the injury from the accidental foul, the bout will be determined by scoring the completed rounds and the round in which the referee stops the bout if the foul occurred:

· after the completion of the second round in a non-championship bout; or

· after the completion of the third round in a championship bout.

iii) A contestant who is hit with an accidental low-blow must continue after a reasonable amount of time, but no more than 5 minutes, or he or she may lose the bout by technical knockout.

iv) If an injury from an accidental foul later becomes aggravated by fair blows and the referee orders the bout stopped because of the injury, the outcome must be determined by scoring the completed rounds and the round in which the referee stops the contest.

3. In assessing fouls, the referee shall weigh the cause, as well as the effect. If the referee has seen an unauthorized blow, strike or attack delivered that has a damaging effect, the referee may permit a rest period to the victim not to exceed 5 minutes. During the rest period, seconds may not assist or coach the injured contestant. The offending contestant shall go to a neutral corner and shall not be coached during the period.

4. At the discretion of the referee, the referee may give an official warning or penalty to the offending contestant for the unauthorized blow, strike or attack, and then may give the command to continue after the end of the rest period if the contestant who received the unauthorized blow, strike or attack indicates ability to continue the bout. If the injured contestant refuses to continue after a 5 minute rest period, the opponent shall be named the winner.

5. Repeated unauthorized blows, strikes or attacks shall be penalized with deduction of points from the offending contestant or disqualification of the offending contestant.

6. A contestant cannot be named the winner of a bout as the result of receiving an unauthorized blow, strike or attack, or low blow unless, in the opinion of the referee, the unauthorized blow, strike or attack was delivered deliberately and with enough force to seriously incapacitate the injured contestant so that he or she could not continue the bout. Under this condition, the offender shall be dis­qualified immediately.

7. A fouled contestant has up to 5 minutes to recuperate.

8. Only the referee can assess a foul and any point deductions. If the referee does not call the foul, judges shall not make that assessment on their own.

9. If a foul is committed:

A) The referee shall call time.

B) The referee shall check the fouled contestant's condition and safety.

C) The referee shall then assess the foul to the offending contestant, deduct points and notify the seconds, judges and official scorekeeper.

10. If a bottom contestant commits a foul, unless the top contestant is injured, the contest will continue.

A) The referee will verbally notify the bottom contestant of the foul.

B) When the round is over, the referee will assess the foul and notify both corners, the judges and the official scorekeeper.

C) The referee may terminate a bout based on the severity of a foul. If the referee terminates a bout under such circumstances, the contestant committing the foul shall lose by disqualification.

11. When any injury is severe enough for the referee to stop the contest immediately after 2 rounds of a 3 round contest, or after 3 rounds of a 5 round contest, are complete, the results of the bout shall be determined as if the bout were completed.

12. Disqualification occurs after any combination of 3 fouls or if the referee determines the foul to be intentional.

13. Except as provided in this Section, any contestant guilty of committing a foul in a round shall be given an immediate warning and points may be deducted from the contestant's total score as determined by the referee. The use of foul tactics may also result in the disqualification of the contestant.

68 Ill. Adm. Code 1370.640 Rounds

a) Non-championship/non-title bouts. Each non-championship/non-title bout shall be no fewer than 3 rounds of 5 minutes in length, with a one minute rest period between rounds and with a 10 second warning signal.

b) Main or championship bouts. Each main or championship bout shall be no more than 5 rounds and no fewer than 3 rounds of 5 minutes in length, with a one minute rest period between rounds and with a 10 second warning signal.

c) Women's bouts shall be no fewer than 3 rounds of 2 to 5 minutes in length, with up to a 1½ minute rest period between rounds.

68 Ill. Adm. Code 1370.650 Types of Bout Results

A bout may end under the following results:

a) Submission:

1. Tap out: when a contestant physically uses his or her hands to indicate that he or she no longer wishes to continue.

2. Verbal tap out: when a contestant verbally announces to the referee that he or she does not wish to continue.

b) Knockout (KO): Failure to rise from canvas.

c) Technical Knockout (TKO):

1. Referee stops bout because contestant can no longer defend himself or herself;

2. Physician advises referee to stop the bout and the referee does so; or

3. An injury as a result of a legal maneuver is severe enough to terminate the bout.

d) Decision Via Scorecards:

1. Unanimous decision: when all 3 judges score the bout for the same contestant.

2. Split decision: when 2 judges score the bout for one contestant and one judge scores for the opponent.

3. Majority decision: when 2 judges score the bout for the same contestant and one judge scores the bout a draw.

e) Draws:

1. Unanimous: when all 3 judges score the bout a draw.

2. Majority: when 2 judges score the bout a draw.

3. Split: when all 3 judges score it differently and the score total results in a draw.

f) Disqualification: When a contestant has intentionally fouled his or her opponent severely enough to terminate the contest or engages in other unsportsmanlike conduct.

g) Forfeit: When a contestant fails to begin competition or prematurely ends the contest for reasons other than injury or indicating a tap out.

h) Technical Draw: When an injury sustained during competition as a result of an intentional foul causes the injured contestant to be unable to continue and the injured contestant is even or behind on the scorecards at the time of the stoppage.

i) Technical Decision: When the bout is prematurely stopped due to an injury and a contestant is leading on the scorecards.

j) No Contest: When a contestant is prematurely stopped due to accidental injury and a sufficient number of rounds have not been completed to render a decision via scorecards.

68 Ill. Adm. Code 1370.660 Scoring

a) Scoring shall be by 3 licensed judges in attendance to score each bout, stationed on different sides of the ring, and the referee. The judges shall watch every phase of the bout and make a decision if the contest lasts the full number of rounds scheduled. They shall be ready at all times, if requested by the referee, to assist in deciding whether fouls have been committed.

b) Judges shall evaluate each contestant's mixed martial arts technique using the following criteria for scoring:

1. Effective and efficient striking – determining the total number of legal strikes landed.

2. Effective grappling – considering the amount of successful executions of legal takedowns and reversals. Factors to consider are takedowns from the standing position to a mount position, passing the guard to the mount position, and bottom position fighters using an active threatening guard.

3. Effective control – which contestant is dictating the pace, location and position of the bout. Factors to be considered are countering a grappler's attempt at a takedown by remaining standing and legally striking, taking an opponent down to force a ground fight, creating threatening submission attempts, passing the guard to achieve a mount and creating striking opportunities.

4. Effective aggressiveness – moving forward and landing legal strikes.

5. Effective defense – avoiding being struck by one's opponent, takedowns or reversals while countering with offensive strikes.

c) System for Scoring a Contest

1. The scoring of the contest by the judges will be by the 10-point must system.

2. Under the 10-point must system, the winner of the round shall be awarded 10 points and the loser of the round shall be awarded 9 or fewer points, except for rare instances of an even round for which each contestant shall be awarded 10 points.

3. If the round is even, each contestant receives the full number of points. No fractions of points are to be used unless otherwise directed by the Division for a particular contest.

4. If a round is stopped by a referee due to an accidental foul, the round shall be scored.

68 Ill. Adm. Code 1370.700 Sanctioning Bodies – Amateur

a) In determining whether an amateur sanctioning body shall be approved pursuant to Section 7 of the Act, the Division shall consider, but is not limited to, the following factors:

1. the sanctioning body is exclusively or primarily dedicated to advancing the sport;

2. the sanctioning body limits participation in its events to its registered members;

3. the sanctioning body has a record of enforcing the rules governing a contest or exhibition;

4. the record for safety of the sanctioning body; and

5. Whether the rules for the sanctioning body provide substantially similar protections for the health, safety and welfare of the contestants as the Act and this Part.

b) In seeking approval under this Section, the sanctioning body shall submit this information, and other information the sanctioning body believes relevant, to the Division. The Division may request additional information, including an appearance before the Board, to clarify information or clear up any discrepancies. The Division may discipline up to and including revocation of approval of a sanctioning body if the sanctioning body fails to effect or enforce those representations made to the Division in obtaining approval or anytime during the course of a sanctioned event. Unless otherwise provided for in Sections 6 and 7 of the Act, amateur events not sponsored by an approved sanctioning body are not exempt events.

c) There shall be a non-refundable application processing fee of $250. The approval shall be valid until September 30 of each odd numbered year. The sanctioning body shall re-apply for approval on forms provided by the Division and pay a non-refundable application processing fee of $250.

68 Ill. Adm. Code 1370.710 Registration

a) No contestant shall participate in a contest without being registered.

b) A registrant shall complete an application provided by the Division.

c) A registrant must be at least 18 years of age.

d) A registrant shall disclose in writing, on a form provided by the Division, a complete medical history, including any prior or existing medical conditions.

e) Amateur contestants must register with the Division, on forms provided by the Division, and shall include, without limitation:

1. A copy of current government issued photo identification (e.g., driver's license, passport);

2. Proof of age (e.g., driver's license or copy of birth certificate);

3. Social Security Number or tax identification number, as appropriate; and

4. A passport size photo.

68 Ill. Adm. Code 1370.720 Classes and Weights of Contestants

a) In mixed martial arts contests, contestants shall be classified under the following classifications:

Weight Class

Weights

Allowances

Straw Weight

up to 115 pounds

3 pounds

Flyweight

over 115 to 125 pounds

3 pounds

Bantamweight

over 125 to 135 pounds

3 pounds

Featherweight

over 135 to 145 pounds

5 pounds

Lightweight

over 145 to 155 pounds

5 pounds

Welterweight

over 155 to 170 pounds

5 pounds

Middleweight

over 170 to 185 pounds

7 pounds

Light Heavyweight

over 185 to 205 pounds

7 pounds

Heavyweight

over 205 to 265 pounds

7 pounds

Super Heavyweight

over 265 pounds

b) Any contestant's change in weight class must be approved by the Division or sanctioning body.

c) Contestants shall only fight contestants in their own weight class.

68 Ill. Adm. Code 1370.730 Attire and Equipment

a) Attire and Equipment for Contestants

All contestants shall comply with the following:

1. Contestants shall wear athletic shorts that do not extend below the knee, such as mixed martial arts shorts, grappling or fighting shorts, boxing shorts or kickboxing shorts, or as specified in the bout agreement.

2. Each contestant shall have available for the contest 2 uniforms of contrasting colors, consisting of athletic shorts as described in subsection (a)(1). No leotard or other such costume is permitted.

3. Shirts or gis shall not be worn by a contestant during a bout, unless approved by the Division.

4. Knee pads, elbow pads, chest protectors (for male contestants), shin guards, headgear, or closed toe shoes shall not be allowed.

5. All contestants shall wear an individually fitted mouthpiece, which shall be subject to examination and approval by the Division.

A) All contestants shall have available 2 mouthpieces; and

B) A round will not begin until both contestants have their respective mouthpieces in place.

6. Male contestants shall wear a foul-proof groin protector.

7. Female contestants:

A) shall wear a breast protector during the contest with both contestants wearing the same type. The breast protector shall be subject to examination and approval by the Division; and

B) may wear a pelvic protector at the option of the contestant.

8. Taping of hands, wrists and ankles will be subject to approval by the Division.

9. A contestant shall be prohibited from wearing any attire or equipment that contains any abrasive material, metal substance, or other hard material such as plastic or buckles.

10. All equipment and attire, such as neoprene ankle or knee sleeves, or other emerging market materials that comprise equipment and attire, are subject to approval by the Division. An inspector or other Division representative may direct a contestant to change any attire or equipment that he or she determines gives unfair advantage or is a threat to the health, safety or welfare of the other contestant or the public or could be deemed a detriment to the sport.

b) Bandages/Handwraps

In all weight classes, seconds must adhere to the following for wrapping hands:

1. The bandages/handwraps shall consist of soft gauze type cloth that is no more than 15 yards in length and not more than 2 inches in width and held in place by no more than 10 feet or one winding of surgeon's tape not over 2 inches wide. Up to one 20 yard roll of bandage may be used to complete the wrappings for each hand;

2. The surgeon's tape shall be placed directly on each hand for protection near the wrist. The tape may cross the back of the hand twice but may not extend within three-fourths of an inch of the knuckles when the hand is clenched to make a fist;

3. Bandages shall be evenly distributed across the hand;

4. Bandages and tape shall be placed on the contestant's hand in the dressing room prior to the bout in the presence of the inspector. The opposing contestant for a title may also witness the bandaging of the opponent's hands. This privilege may be waived; and

5. The Division official shall approve all bandages and taping prior to gloves being placed on any contestant and after gloves are removed. Under no circumstances are gloves to be placed on the hands of a contestant before approval by the inspector.

c) Gloves for Contestants

1. Contestants competing against each other in the same bout shall wear the same weighted gloves. Gloves shall be clearly marked or have sewn into the lining stating the official weights by the manufacturer. When gloves are manufactured with a size mark or tag (e.g. Small, Medium, Large or Extra Large) rather than the official weight of the glove, the promoter must provide the glove manufacturer's documentation reflecting the size to weight ratio of the gloves.

2. Gloves shall be whole, clean and in good condition. Broken gloves are prohibited during any bout or contest.

3. Gloves that are padded in the palm or fingertip area are prohibited.

4. All gloves shall be inspected and approved by the Division or sanctioning body prior to each bout. The designee of the Division may inspect gloves at any time.

5. Promoters must have extra sets of gloves in each size used during the contest to be used in case gloves are broken or in any way damaged during the course of a bout. Promoters are prohibited from furnishing gloves to the Division that were provided by a contestant.

6. Gloves shall be appropriate in size for the contestant and shall be no less than 6 ounces and no more than 8 ounces in weight.

68 Ill. Adm. Code 1370.740 Structure of the Fighting Area for Contests

a) Contests shall be held in a ring, cage or a fenced area.

b) The fighting area shall be approved by the Division, including all padding or enclosures. Fighting areas that are not approved by the Division shall not be used. The fighting area shall meet the following requirements:

1. The fighting area:

A) shall be constructed in a manner that does not pose a substantial risk to the safety or health of any person. The fighting area must be circular or have as many as eight equal sides for a contest. The fighting area shall be no smaller than 16 feet wide and no larger than 32 feet wide within the ropes, cage or fenced area;

B) shall have a corner with a blue designation and the corner directly across shall have a red designation;

C) floor shall extend at least 24 inches beyond the ropes or other barrier. The floor must be of a canvas, duck or similar material that shall be padded with at least a one inch layer of foam padding that shall extend over the edge of the platform of the fighting area. Vinyl or other plastic rubberized covering is prohibited. Materials that may gather in lumps or ridges during the bout or contest are prohibited;

D) platform shall be a minimum of one foot and no more than 4 feet above the floor on which it is standing and must have suitable steps or ramps for use by officials and the contestants;

E) shall have 5 fighting area ropes, when fighting area ropes are used, not less than one inch in diameter and wrapped in soft material. The lowest rope must be no higher than 12 inches from the fighting area floor; and

F) must not be obstructed by any object, including, without limitation, a triangular border, on any part of the fighting area floor.

2. When fighting area ropes are used, the post:

A) must be made of metal no less 3 inches and not more than 6 inches in diameter, and must be properly padded in a manner approved by the Division; and

B) must be 18 inches away from the fighting area ropes.

3. The fence or cage specifications for martial arts and mixed martial arts are:

A) the fence or cage shall be made of material that will prevent a contestant from falling out or breaking through the fighting area onto the floor beneath the fighting area or onto spectators. The enclosure may be composed of vinyl-coated chain link fencing or other similar material;

B) any exposed metal on the interior of the fenced or caged area must be covered and padded in a manner approved by the inspector or Division representative. The covering shall not be abrasive to the contestants;

C) any metal parts used to reinforce the fenced or caged area enclosure shall not interfere with the safety of the contestants;

D) the enclosure shall provide 2 separate entries onto the fighting area canvas that are sufficient to allow easy access to the fighting area by officials and emergency personnel, unless otherwise approved by the Division. The entrances must be padded or covered so that there is no exposed metal on the interior of the fence or caged area;

E) the enclosure shall not obstruct or limit the supervision and regulation of the bout by officials or Division representatives; and

F) the enclosure shall not inhibit the judging of the bout in any manner.

68 Ill. Adm. Code 1370.750 Intentional and Accidental Fouls and Injuries

a) The following actions in a bout or contest shall be considered fouls:

1. Butting with the head;

2. Eye gouging of any kind;

3. Biting;

4. Hair pulling;

5. Fishhooking;

6. Groin attacks of any kind;

7. Putting a finger into any orifice or into any cut or laceration of an opponent;

8. Small joint manipulation;

9. Striking to the spine or the back of the head;

10. Striking with the elbow;

11. Knee strikes to the head;

12. Heel hooks or angled leg locks;

13. Spine locks;

14. Neck cranks;

15. Excessive slamming;

16. Throws against a joint;

17. Twisting leg submissions;

18. Throat strikes of any kind, including, without limitation, grabbing the trachea;

19. Clawing, pinching or twisting the flesh;

20. Grabbing the clavicle;

21. Kicking the head of a grounded opponent;

22. Kneeing the head of a grounded opponent;

23. Stomping a grounded opponent;

24. Kicking to the kidney with the heel;

25. Spiking an opponent to the canvas on his head or neck;

26. Throwing an opponent out of the ring or fenced area;

27. Holding the shorts or gloves of an opponent;

28. Spitting at an opponent;

29. Engaging in any unsportsmanlike conduct that causes injury to an opponent;

30. Holding the ropes or the fence;

31. Using abusive language in the ring or fenced area;

32. Attacking an opponent during the break;

33. Attacking an opponent who is under the care of the referee;

34. Attacking an opponent after the bell has sounded the end of the period;

35. Flagrantly disregarding the instructions of the referee;

36. Timidity, including, without limitation, avoiding contact with an opponent, intentionally or consistently dropping the mouthpiece or faking an injury;

37. Interference by the corner from anyone working a contestant's corner, including leaving the corner's designated area;

38. Any act in the judgment of the referee that is detrimental and places an opponent at a disadvantage or risk, such as applying a foreign substance to one's hair, body, clothing or gloves prior to or during a contest; and

39. Throwing in the towel during competition.

b) Injuries

1. The referee, at his or her discretion, may request that the physician examine a contestant during the bout. Should the examination occur during the course of a round, the clock shall be stopped until the examination is completed. The physician may recommend that the referee stop the bout, in which case the referee shall render the appropriate decision.

2. In the event of serious cuts or injuries, the referee shall summon the physician who shall advise whether the bout should be stopped.

3. A referee may consider the decision of the physician.

4. The referee shall be authorized to determine if injuries were produced by a foul, and if the foul was intentional or accidental.

c) Injuries Sustained by Fair Blows and Fouls

1. Fair Blows

If injury is severe enough to terminate a contest, the injured contestant loses by technical knockout (TKO).

2. Fouls

A) Intentional

i) If an intentional foul causes an injury, and the injury is severe enough to terminate a bout immediately, the contestant causing the injury shall lose by disqualification.

ii) If an intentional foul causes an injury and the bout is allowed to continue, the referee may notify the Division representative and may deduct points from the contestant who caused the foul.

iii) If an intentional foul causes an injury and the injury results in the bout being stopped in a later round, the injured contestant shall win by technical decision if he or she is ahead on the scorecards, or the bout shall result in a technical draw if the injured contestant is behind or even on the scorecards.

iv) If a contestant injures himself or herself while attempting to intentionally foul his or her opponent, the referee shall not take any action in his or her favor, and this injury shall be the same as one produced by a fair blow.

v) If the referee believes that a contestant has conducted himself or herself in an unsportsmanlike manner, the referee may stop the bout and disqualify the contestant.

B) Accidental

i) If the referee determines, either from his or her own observation or on the advise of the physician, that the bout may not continue because of the injury from the accidental foul, the bout will be declared a no contest if the foul occurred:

· during the first 2 rounds of a non-championship bout; or

· during the first 3 rounds of a championship bout.

ii) If the referee determines, either from his or her own observation or on the advise of the physician, that the bout may not continue because of the injury from the accidental foul, the bout will be determined by scoring the completed rounds and the round in which the referee stops the bout if the foul occurred:

· after the completion of the second round in a non-championship bout; or

· after the completion of the third round in a championship bout.

iii) A contestant who is hit with an accidental low-blow must continue after a reasonable amount of time, but no more than 5 minutes, or he or she may lose the bout by technical knockout.

iv) If an injury from an accidental foul later becomes aggravated by fair blows and the referee orders the bout stopped because of the injury, the outcome must be determined by scoring the completed rounds and the round in which the referee stops the contest.

3. In assessing fouls, the referee shall weigh the cause, as well as the effect. If the referee has seen an unauthorized blow, strike or attack delivered that has a damaging effect, the referee may permit a rest period to the victim not to exceed 5 minutes. During the rest period, seconds may not assist or coach the injured contestant. The offending contestant shall go to a neutral corner and shall not be coached during the period.

4. At the discretion of the referee, the referee may give an official warning or penalty to the offending contestant for the unauthorized blow, strike or attack, and then may give the command to continue after the end of the rest period if the contestant who received the unauthorized blow, strike or attack indicates ability to continue the bout. If the injured contestant refuses to continue after a 5 minute rest period, the opponent shall be named the winner.

5. Repeated unauthorized blows, strikes or attacks shall be penalized with deduction of points from the offending contestant or disqualification of the offending contestant.

6. A contestant cannot be named the winner of a bout as the result of receiving an unauthorized blow, strike or attack, or low blow unless, in the opinion of the referee, the unauthorized blow, strike or attack was delivered deliberately and with enough force to seriously incapacitate the injured contestant so that he or she could not continue the bout. Under this condition, the offender shall be dis­qualified immediately.

7. A fouled contestant has up to 5 minutes to recuperate.

8. Only the referee can assess a foul and any point deductions. If the referee does not call the foul, judges shall not make that assessment on their own.

9. If a foul is committed:

A) The referee shall call time.

B) The referee shall check the fouled contestant's condition and safety.

C) The referee shall then assess the foul to the offending contestant, deduct points and notify the seconds, judges and official scorekeeper.

10. If a bottom contestant commits a foul, unless the top contestant is injured, the contest will continue.

A) The referee will verbally notify the bottom contestant of the foul.

B) When the round is over, the referee will assess the foul and notify both corners, the judges and the official scorekeeper.

C) The referee may terminate a bout based on the severity of a foul. If the referee terminates a bout under such circumstances, the contestant committing the foul shall lose by disqualification.

11. When any injury is severe enough for the referee to stop the contest immediately after 2 rounds of a 3 round contest, or after 3 rounds of a 5 round contest, are complete, the results of the bout shall be determined as if the bout was completed.

12. Disqualification occurs after any combination of 3 fouls or if the referee determines the foul to be intentional.

13. Except as provided in this Section, any contestant guilty of committing a foul in a round shall be given an immediate warning and points may be deducted from the contestant's total score as determined by the referee. The use of foul tactics may also result in the disqualification of the contestant.

68 Ill. Adm. Code 1370.760 Rounds

a) Non-championship/non-title bouts. Each non-championship/non-title bout shall be no fewer than 3 rounds of 3 minutes in length, with up to a 1½ minute rest period between rounds, with up to a 15 second warning signal.

b) Championship/title bouts. Each championship/title bout shall be no more than 5 rounds and no fewer than 3 rounds of 3 minutes in length, with a one minute rest period between rounds, with up to a 15 second warning signal.

c) Women's bouts shall be no more than 3 rounds of 2 minutes in length up to 3 minutes in length, with up to a 1½ minute rest period between rounds, with up to a 15 second warning signal.

68 Ill. Adm. Code 1370.770 Types of Bout Results

A bout may end under the following results:

a) Submission:

1. Tap out: when a contestant physically uses his or her hands to indicate that he or she no longer wishes to continue.

2. Verbal tap out: when a contestant verbally announces to the referee that he or she does not wish to continue.

b) Knockout (KO): Failure to rise from canvas.

c) Technical Knockout (TKO):

1. Referee stops bout because contestant can no longer defend himself or herself;

2. Physician advises referee to stop the bout and the referee does so; or

3. An injury as a result of a legal maneuver is severe enough to terminate the bout.

d) Decision Via Scorecards:

1. Unanimous decision: when all 3 judges score the bout for the same contestant.

2. Split decision: when 2 judges score the bout for one contestant and one judge scores for the opponent.

3. Majority decision: when 2 judges score the bout for the same contestant and one judge scores the bout a draw.

e) Draws:

1. Unanimous: when all 3 judges score the bout a draw.

2. Majority: when 2 judges score the bout a draw.

3. Split: when all 3 judges score it differently and the score total results in a draw.

f) Disqualification: when a contestant has intentionally fouled his or her opponent severely enough to terminate the contest or engages in other unsportsmanlike conduct.

g) Forfeit: when a contestant fails to begin competition or prematurely ends the contest for reasons other than injury or indicating a tap out.

h) Technical Draw: when an injury sustained during competition as a result of an intentional foul causes the injured contestant to be unable to continue and the injured contestant is even or behind on the scorecards at the time of the stoppage.

i) Technical Decision: when the bout is prematurely stopped due to an injury and a contestant is leading on the scorecards.

j) No Contest: when a contest is prematurely stopped due to accidental injury and a sufficient number of rounds have not been completed to render a decision via scorecards.

68 Ill. Adm. Code 1370.780 Scoring

a) Scoring shall be by 3 judges in attendance to score each bout, stationed on different sides of the ring, and the referee. The judges shall watch every phase of the bout and make a decision if the contest lasts the full number of rounds scheduled. They shall be ready at all times, if requested by the referee, to assist in deciding whether fouls have been committed.

b) Judges shall evaluate each contestant's mixed martial art technique using the following criteria for scoring:

1. Effective and efficient striking – determining the total number of legal strikes landed.

2. Effective grappling – considering the amount of successful executions of legal takedowns and reversals. Factors to consider are takedowns from the standing position to a mount position, passing the guard to the mount position, and bottom position fighters using an active threatening guard.

3. Effective control – which contestant is dictating the pace, location and position of the bout. Factors to be considered are countering a grappler's attempt at a takedown by remaining standing and legally striking, taking an opponent down to force a ground fight, creating threatening submission attempts, passing the guard to achieve a mount, and creating striking opportunities.

4. Effective aggressiveness – moving forward and landing legal strikes.

5. Effective defense – avoiding being struck by one's opponent, takedowns or reversals while countering with offensive strikes.

c) System for Scoring a Contest

1. The scoring of the contest by the judges will be by the 10-point must system.

2. Under the 10-point must system, the winner of the round shall be awarded 10 points and the loser of the round shall be awarded 9 or fewer points, except for rare instances of an even round for which each contestant shall be awarded 10 points.

3. If the round is even, each contestant receives the full number of points. No fractions of points are to be used unless otherwise directed by the Division for a particular contest.

4. If a round is stopped by a referee due to an accidental foul, the round shall be scored.

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375.10 Definitions

"Act" means the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act [225 ILCS 107].

"Board" means the Professional Counselor Licensing and Disciplinary Board.

"Clinical Supervision", "Supervision" or "Face-to-Face Supervision" means the review of counseling and case management that is live, interactive, and visual. Video supervision is considered clinical supervision if the session is synchronous and permits verbal and visual interaction during supervision. All supervision shall be conducted in a confidential manner in accordance with the American Counseling Association's ACA Code of Ethics and Mental Health and the Developmental Disabilities Confidentiality Act [740 ILCS 110].

"Division" means the Illinois Department of Financial and Professional Regulation, Division of Professional Regulation.

History

• Source: Repealed at 24 Ill. Reg. 7335, effective May 1, 2000; new Section added at 48 Ill. Reg. 8776, effective June 4, 2024

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.20 How to Obtain a Permanent License as a Professional Counselor After Receiving a Temporary License (repealed)

History

• Source: Repealed at 24 Ill. Reg. 7335, effective May 1, 2000

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375.30 Application for Licensure by Examination as a Professional Counselor

a) Each applicant seeking original licensure under Section 35 of the Act shall file an application with the Division, on forms provided by the Division. The application shall include:

1. Certification of education from a master's degree program or doctoral degree program in counseling, psychology or rehabilitation counseling from a college, university or school that is a regionally accredited institution of higher education and recognized by the U.S. Department of Education, or certification of education and an official transcript from a similar master's degree or doctoral degree program in accordance with Section 1375.45.

2. The required fee set forth in Section 1375.205.

3. If originally licensed in another jurisdiction, certification of licensure, on forms provided by the Division, from the state, territory, or jurisdiction of the United States in which an applicant was originally licensed and the state in which the applicant predominantly practices and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance in that jurisdiction;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) Proof of holding one of the following certifications (based upon examination) shall be sufficient evidence of meeting the educational requirements set forth in Section 1375.45(a).

1. Commission on Rehabilitation Counselor Certification (CRC); or

2. National Certified Counselors (NCC).

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

d) Applicant shall provide proof of passage of the examination in accordance with Section 1375.60. The applicant shall have the examination scores submitted to the Division directly from the testing entity or from the state of original licensure.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.40 Professional Experience for Licensure as a Professional Counselor After December 31, 1998 (repealed)

History

• Source: Repealed at 35 Ill. Reg. 7586, effective May 13, 2011

68 Ill. Adm. Code 1375.45 Required Education for Professional Counselor License

a) The educational requirements for licensure as a licensed professional counselor are as follows:

1. Certification of completion of a master's degree program or a doctoral degree program in counseling, psychology, or rehabilitation counseling from a college, university or school that is a regionally accredited institution of higher education and recognized by the U.S. Department of Education, or certification of education and an official transcript from a similar master's degree program or doctoral degree program in accordance with this Section;

2. The programs, wherever they may be administratively housed, must be clearly identified and labeled as offering counseling, rehabilitation counseling, psychology programs, or similar degree programs. Such a program must specify in institutional catalogues and brochures its intent to educate and train counselors;

3. The program is an organizational entity within the institution;

4. The program has an integrated, organized sequence of study;

5. The program must be at least 2 academic years in length and require an individual to graduate from a program with a minimum of 48 semester hours or 72 quarter hours with a minimum of one course ("course" is defined as 3 semester hours or 4.5 quarter hours equivalent) in each of the areas listed in this subsection (a)(5). The definition of a minimum of one course means that the objectives and content of one course cannot be used to meet the objectives and content of another course. (See Appendix A (Course Descriptions) for a definition of the subject content for each core area with examples of course titles that relate to each of the core content areas.)

A) Human Growth and Development

B) Counseling Theory

C) Counseling Techniques

D) Group Dynamics, Processing and Counseling

E) Appraisal of Individuals

F) Research and Evaluation

G) Professional, Legal and Ethical Responsibilities Relating to Professional Counseling

H) Social and Cultural Foundations

I) Lifestyle and Career Development

J) Practicum/Internship

K) Psychopathology and Maladaptive Behavior

L) Addictions

M) Family Dynamics;

6. Through June 30, 2026, individuals that graduated from a program that requires at least 39 semester hours but less than 48 semester hours may take additional classes post-degree in a regionally accredited counseling program that issues degrees acceptable for licensure under this Part, or as approved by the Board. Programs that require less than 39 semester hours of education to receive a degree will not be accepted for the purpose of licensure.

7. Beginning July 1, 2026, individuals applying for licensure shall graduate from a program with a minimum of 60 semester hours or 90 quarter hours with a minimum of one course ("course" is defined as a minimum of 3 semester hours or 4.5 quarter hours equivalent) in each of the core areas listed in subsection (a)(5). Individuals graduating from a program that requires at least 39 semester hours but less than 60 semester hours may take additional classes post-degree in a regionally accredited counseling program that issues degrees acceptable for licensure under this Part, or as approved by the Board. Programs that require less than 39 semester hours of education to receive a degree shall not be acceptable for the purpose of licensure. Programs with evidence of fewer than 7 of the 13 required core areas listed in subsection (a)(5) will not be accepted for the purposes of licensure.

8. The program has faculty responsible for the program and has a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled;

9. The program has an identifiable body of students who are matriculated in that program for a degree;

10. The program has a one-year residence. Residence requires completion of courses at a single institution's program. One year's residence is defined as 24 semester hours taken on a full-time or part-time basis at the institution accumulated within the time frame and course of study of the program. Beginning July 1, 2026, one year's residence semester hour requirement is 30 semester hours.

b) For the purpose of this Section, course shall be defined as an integrated, organized course of study that encompasses a minimum of one school semester or equivalent hours. No student designed courses, self-study courses, independent study courses, workshops, or continuing education courses may be used to satisfy the core courses.

c) Upon recommendation of the Board, the Division determined that all master's degree and doctoral programs in professional counseling or rehabilitation counseling that are accredited by the Council for Accreditation of Counseling and Related Educational Programs (CACREP), the Council on Rehabilitation Education (CORE) and doctoral programs in psychology approved by the American Psychological Association and the Council for the National Registry of Health Service Providers are approved programs.

d) Individual Program Requirements:

1. Individuals applying for licensure as a professional counselor who have not graduated from a program listed in subsection (c) shall submit their official transcripts and program materials to the Division for evaluation by the Board to determine if they meet the requirements of this Section.

2. Individuals applying for licensure who are deficient in any of the content areas set forth in subsection (a)(5) may complete any content area deficiencies in a graduate counseling, rehabilitation counseling, psychology, or similar degree program. No student designed courses, self-study courses, independent study courses, workshops, or continuing education courses may be used to satisfy the core courses. The applicant will be required to submit proof to the Division that the applicant has passed such courses. The proof shall include syllabi, course descriptions and official transcript.

e) The Board may, as a means of assisting it in the review of foreign country training or licensure, require an applicant to submit educational training credentials and transcripts and/or evidence of licensure to an approved education credentialing service or similar service approved by the Board for evaluation at the cost to the applicant.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.50 Approved Professional Counseling Programs (repealed)

History

• Source: Repealed at 35 Ill. Reg. 7586, effective May 13, 2011

68 Ill. Adm. Code 1375.60 Examination – Professional Counselor

a) The examination administered by the Division for licensure as a professional counselor shall be the National Counselor Examination (NCE) of the National Board for Certified Counselors (NBCC). The passing score on the examination shall be the passing score established by the testing entity.

b) The Division also shall accept passage of the Certified Rehabilitation Counselor Examination of the Commission on Rehabilitation Counselor Certification (CRCC). The passing scores on the examinations shall be the passing scores established by the testing entity.

History

• Source: Amended at 35 Ill. Reg. 7586, effective May 13, 2011

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375.70 Application for Licensure by Endorsement as a Professional Counselor

a) Each applicant seeking licensure under Section 70 of the Act shall file an application with the Division on forms provided by the Division. The application shall include:

1. Certification of completion of a master's degree program or a doctoral degree program in counseling, psychology, or rehabilitation counseling from a college, university or school that is a regionally accredited institution of higher education and recognized by the U.S. Department of Education, or certification of education and an official transcript from a similar master's degree program or doctoral degree program in accordance with Section 1375.45;

2. Successful completion of the professional counselor examination set forth in Section 1375.60;

3. The required fee set forth in Section 1375.205;

4. Certification, on forms provided by the Division, from the state, territory, or jurisdiction of the United States in which the applicant was originally licensed and the state or jurisdiction in which the applicant is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.80 Restoration of License as a Professional Counselor

a) Any professional counselor whose license has expired or has been placed on inactive status for five years or less may have the license restored by filing the form provided by the Division and paying the fees required by Section 1375.205. Individuals seeking restoration of a license are to submit proof of completing the continuing education requirements pursuant to Section 1375.220. Continuing education must be completed during the 24 months preceding application for restoration.

b) Any professional counselor seeking restoration of a license that has been expired or placed on inactive status for more than five years shall file an application, on forms supplied by the Division together with the fee required by Section 1375.205. Individuals seeking restoration of a license are required to submit proof of having met the continuing education requirements pursuant to Section 1375.220. Continuing education must be completed during the 24 months preceding application for restoration. The applicant shall also submit either:

1. Certification of active practice in another jurisdiction. Such certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 60(d) of the Act; or

3. Proof of passage of the National Counselor Examination or the Certified Rehabilitation Counselor Examination during the period the license was lapsed or on inactive status.

c) A professional counselor who is seeking restoration of a license after disciplinary action must complete all requirements of the disciplinary order and submit a petition for restoration to the Department for adjudication through the hearing process established under 68 Ill. Adm. Code 1110. The petition must contain evidence demonstrating rehabilitation to warrant the public trust as provided in Section 1375.227.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be required to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 49 Ill. Reg. 8346, effective June 5, 2025

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.100 Temporary License as a Clinical Professional Counselor (repealed)

History

• Source: Repealed at 24 Ill. Reg. 7335, effective May 1, 2000

68 Ill. Adm. Code 1375.110 How to Obtain a Permanent License as a Clinical Professional Counselor After Receiving a Temporary License (repealed)

History

• Source: Repealed at 24 Ill. Reg. 7335, effective May 1, 2000

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375.120 Application for Licensure by Examination as a Clinical Professional Counselor

a) Each applicant seeking original licensure pursuant to Section 35 of the Act shall file an application with the Division, on forms provided by the Division. The application shall include:

1. The applicant will be required to meet the educational requirements set forth in Section 1375.145(a); individuals applying for licensure as a clinical professional counselor may submit one of the following certifications (based on examination), in lieu of the documents required in Section 1375.45(a):

A) Commission on Rehabilitation Counselor Certification (CRC); or

B) Certified Clinical Mental Health Counselors Certification (CCMHC);

2. Verification of meeting the experience requirements as set forth in Section 1375.130;

3. The fee required in Section 1375.205; and

4. Certification of licensure, if applicable, on forms provided by the Division, from the state, territory, or jurisdiction of the United States in which an applicant was originally licensed and the state in which the applicant predominantly practices and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance in that jurisdiction;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) An applicant may begin gaining the required experience upon completion of the degree requirements. Verification of the date of completion of the degree, when different from the date of graduation, shall be certified to the Division by the applicant's educational institution.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

d) Proof of passage of the examinations in accordance with Section 1375.150. The applicant shall have the examination scores submitted to the Division directly from the testing entity or from the state of original licensure.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.130 Professional Experience for Licensure as a Clinical Professional Counselor

Supervised clinical professional counseling experience shall be obtained as set forth in this Section:

a) A person holding a master's degree in counseling, rehabilitation counseling, psychology or similar degree program shall have completed the equivalent of 2 years of full-time satisfactory supervised experience working as a clinical counselor in a professional capacity under the direction of a qualified supervisor subsequent to obtaining the degree.

b) A person holding a doctorate in counseling, rehabilitation counseling, psychology or similar degree program shall have completed the equivalent of 2 years of full-time satisfactory supervised experience working as a clinical counselor in a professional capacity under the direction of a qualified supervisor at least one year of which is subsequent to obtaining the degree. Internships required as part of the doctoral degree may count toward professional experience.

c) A qualified supervisor means any person who is a licensed clinical professional counselor, licensed clinical social worker, licensed clinical psychologist, licensed marriage and family therapist, or licensed psychiatrist as defined in Section 1-121 of the Mental Health and Developmental Disabilities Code. (Section 10 of the Act) If supervision took place outside Illinois, the supervisor shall be a master's level or doctoral level counselor engaged in clinical professional counseling, clinical social work, clinical psychology, marriage and family therapy, or psychiatry. The supervisor shall hold an active license if the jurisdiction in which the supervisor practices requires licensure. Supervised experience obtained while the clinical counselor applicant is situated in Illinois must be supervised by an Illinois licensed qualified supervisor in accordance with this subsection (c). An Illinois licensed clinical professional counselor must complete the supervision CE required in Section 1375.220 to be a qualified supervisor. When a clinical counseling applicant is obtaining supervised experience while physically located in Illinois, the qualified supervisor must be licensed in Illinois, even if the services are being provided to persons located outside of Illinois via telehealth.

d) One year of supervised clinical professional counseling experience shall be 1680 clock hours obtained in not less than 48 weeks. At least 50% of those hours must consist of direct face to face service to clients, which includes using telehealth methods where there is synchronous audio-visual communication with the client. Part time experience shall be counted toward the experience requirement.

e) For purposes of this Section, supervised clinical professional counseling experience shall be experience obtained under a qualified supervisor as defined in Section 10 of the Act and subsection (c) and entail the provision of clinical professional counseling as defined in Section 10 of the Act.

1. The supervisor shall have met face-to-face, as defined in Section 10 of the Act, with the applicant at least one hour each week. The supervision means the review of counseling and case management.

2. The experience shall have been evaluated by the supervisor as satisfactory or better.

f) Supervision may be on an individual or group basis. When group supervision is provided the number of supervisees may not exceed five.

g) The clinical professional counseling activities must be performed pursuant to the supervisor's order, control, oversight, guidance and full professional responsibility.

h) A qualified supervisor may be provided at the applicant's place of work or may be hired or contracted by the applicant to provide clinical supervision. (See Section 10 of the Act.)

i) The following activities are not acceptable clinical supervision:

1. Peer supervision.

2. Administrative supervision. For example, clinical practice performed under administrative rather than clinical supervision of an institutional director or executive.

3. A primarily didactic process wherein techniques or procedures are taught in a classroom, workshop or seminar.

4. Consultation, staff development, or orientation to a field or program, or role-playing of family interrelationships as a substitute for current clinical practice in an appropriate clinical situation.

j) Supervised clinical professional counseling experience may be earned upon completion of the degree requirements. Verification of the date of completion of the degree, when different from the date of graduation, shall be certified to the Division by the applicant's educational institution.

k) Supervised clinical professional counseling experience may be gained as a volunteer, as defined in Section 10 of the Act, when the volunteer holds a licensed professional counselor license.

l) When providing clinical professional counseling services as set forth in Section 10 of the Act a licensed professional counselor who is obtaining the required supervised clinical professional experience shall always operate and represent themselves as a designee, supervisee or an employee of the qualified supervisor and may not work as an independent contractor as defined by Internal Revenue Service regulations (see 26 CFR 31.3121(d)-1). The licensed professional counselor may not hold an ownership interest in the business organization providing the clinical counseling services.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.135 Clinical Professional Counselor Licenses for Clinical Psychologists and Clinical Social Workers

An individual who holds an active license as a clinical psychologist in Illinois pursuant to the Clinical Psychologist Licensing Act [225 ILCS 15] or as a clinical social worker pursuant to the Clinical Social Work and Social Practice Act [225 ILCS 20] shall be issued a license as a clinical professional counselor without examination as provided in Section 45(d) of the Act upon payment of the fee required in Section 60(a) of the Act.

68 Ill. Adm. Code 1375.140 Approved Clinical Professional Counseling Programs (repealed)

History

• Source: Repealed at 35 Ill. Reg. 7586, effective May 13, 2011

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375.145 Required Education for Clinical Professional Counseling Programs

a) The educational requirements are identical to those found in Section 1375.45.

b) For the purposes of this Section, an individual holding an active professional counselor license meets the education requirements of this Section.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.150 Examination – Clinical Professional Counselor

a) The examination for licensure as a clinical professional counselor shall be the National Counselor Examination (NCE) of the National Board for Certified Counselors (NBCC) and the National Clinical Mental Health Counseling Examination (NCMHCE).

b) The passing score on the examination shall be the passing score established by the testing entity.

c) The Division also shall accept passage of the Certified Rehabilitation Counselor Examination of the Commission on Rehabilitation Counselor Certification (CRCC).

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.160 Licensure by Endorsement as a Clinical Professional Counselor

a) Each applicant seeking licensure as a clinical professional counselor pursuant to Section 70 of the Act shall file an application with the Division on forms provided by the Division. The application shall include:

1. Proof that applicant has met the educational requirements set forth in Section 1375.45;

2. When applicant has completed an approved master's degree program as provided for in Section 1375.45, proof of completion of the equivalent of 2 years full-time satisfactory supervised employment or experience working as a counselor in a professional capacity under the direction of a qualified supervisor, subsequent to the degree, as defined in Section 1375.130 on forms provided by the Division;

3. When applicant has completed an approved doctoral degree program as provided in Section 1375.45, proof of completion of the equivalent of 2 years of full-time satisfactory supervised experience working as a counselor in a professional capacity under the direction of a qualified supervisor, as defined in Section 10 of the Act, at least one year of which is subsequent to the degree on forms provided by the Division;

4. Successful completion of the examinations in accordance with Section 1375.150;

5. The required fee set forth in Section 1375.205; and

6. Certification of licensure, if applicable, on forms provided by the Division, from the state, territory, or jurisdiction of the United States in which an applicant was originally licensed and the state in which the applicant predominantly practices and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance in that jurisdiction;

B) A description of the examination in that jurisdiction; and

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

b) An individual who has been licensed at the independent level in another United States jurisdiction for 5 consecutive years without discipline is not required to submit proof of completion of the education, the supervised employment or experience required in subsections (a)(1) and (2) or (3). Individuals with 5 consecutive years of experience must submit certification of licensure from the jurisdiction in which the applicant practiced and must comply with all other licensing requirements including the payment of fees. (See Section 70 of the Act.)

c) The Division, upon recommendation of the Board, shall issue a license if a review of the application indicates that the applicant meets all the requirements of this Part and the Act.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.170 Restoration of a License as a Clinical Professional Counselor

a) Any clinical professional counselor whose license has expired or has been placed on inactive status for five years or less may have the license restored by filing the form provided by the Division, paying the fees required by Section 1375.205, and submitting proof of completing the continuing education requirements pursuant to Section 1375.220. Continuing education must be completed during the 24 months preceding application for restoration.

b) For any licensed clinical professional counselor seeking to restore a license that has expired or been placed on inactive status for five years or less and who has had no disciplinary action taken against their license in this State or in any other jurisdiction during the entire period of licensure, the following requirements are suspended: proof of fitness, certification of active practice in another jurisdiction, and the payment of a renewal fee. An individual may not restore their license in accordance with this subsection more than once.

c) Any person seeking restoration of a license that has been expired or placed on inactive status for more than five years shall file an application, on forms supplied by the Division, together with the fee required by Section 1375.205 and submit proof of completing the continuing education requirements pursuant to Section 1375.220. Continuing education must be completed during the 24 months preceding application for restoration. The applicant shall also submit either:

1. Certification of active practice in another jurisdiction. Such certification shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 50(d) of the Act; or

3. Proof of passage of the Certified Rehabilitation Counselor (CRC) examination or the National Clinical Mental Health Counselor (NCMHC) examination during the period the license was lapsed or on inactive status.

d) A licensee who is seeking restoration of a license after disciplinary action must complete all requirements of the disciplinary order and submit a petition for restoration to the Department for adjudication through the hearing process established under 68 Ill. Adm. Code 1110. As part of the petition the licensee shall submit evidence demonstrating rehabilitation to warrant the public trust as provided in Section 1375.227.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the coursework or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be required to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 49 Ill. Reg. 8346, effective June 5, 2025

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.200 Renewals

a) Every license issued under the Act shall expire on March 31 of odd numbered years. The holder of a license may renew the license preceding the expiration date at a time determined by the Division by paying the fee set forth in Section 1375.205 and completing 30 hours of continuing education in accordance with Section 1375.220.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Practicing or offering to practice on a license that has expired or is in inactive status shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 80 of the Act.

History

• Source: Amended at 35 Ill. Reg. 7586, effective May 13, 2011

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375.205 Fees

The following fees shall be paid to the Division for the administration of the Act and are not refundable:

a) Application Fees

1. The fee for application for a license as a professional counselor or a clinical professional counselor is $150.

2. The fee for application as a continuing education sponsor is $500. State colleges, State universities, and State agencies are exempt from payment of this fee.

b) Renewal Fees

1. The fee for the renewal of a license as a professional counselor or a clinical professional counselor is $120 for the renewal period.

2. The fee for renewal as a continuing education sponsor is $250 for the renewal period.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $300.

2. The fee for a certification of a licensee's record for any purpose is $20.

3. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.210 Inactive Status

a) Licensed professional counselors and clinical professional counselors who notify the Division, on forms provided by the Division, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Any licensed professional counselor and clinical professional counselor seeking restoration from inactive status shall do so in accordance with this Part.

c) No professional counselor or clinical professional counselor whose license is on inactive status shall use the title "licensed professional counselor" or "licensed clinical professional counselor". Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 35 Ill. Reg. 7586, effective May 13, 2011

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing and Practice Act

68 Ill. Adm. Code 1375. 215 Applicant and Licensee Address of Record, Email Address of Record, and Licensee Change of Name Information

68 Ill. Adm. Code 1375.220 Continuing Education

a) Continuing Education (CE) Hours Requirements

1. A licensee shall complete 30 hours of CE during the 24 months preceding renewal.

2. At least 3 of the CE hours must include content related to ethics in the practice of counseling. It is recommended that licensees review the American Counseling Association's 2014 ACA Code of Ethics and Section 1375.225 (Unprofessional Conduct). Additionally, CE must be obtained as set forth in 68 Ill. Adm. Code 1130 Subpart E.

3. Upon the second renewal of a clinical professional counselor license, 9 of the required 30 CE hours shall be in clinical supervision training. This is a one-time (lifetime) requirement.

4. One CE hour shall equal 50 minutes of attendance. After completion of the initial CE hour, credit may be given in one-half hour increments.

5. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

6. Professional counselors or clinical professional counselors licensed in Illinois but residing and practicing in other states or jurisdictions shall comply with the CE requirements set forth in this Section.

7. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of this Section as set forth in subsection (e).

b) Approved Continuing Education

1. CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program or course (herein after "course") that is offered or sponsored by an approved continuing education sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3) and (4).

2. CE hours may be earned for successful completion of courses in person or remote. Remote courses may be live or recorded and may include a course by mail, computer, pre-recorded online course/program, live online course, etc. that are offered by an approved sponsor who meets the requirements set forth in subsection (c). Each course shall include an examination.

3. CE hours may be earned through postgraduate training programs (e.g., extern, residency, or fellowship programs) or completion of professional counseling related courses that are a part of the curriculum of a college, university, or graduate school. Courses that are part of the curriculum of a university, college, or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

4. CE hours may be earned for verified teaching in the field of counseling in an accredited college, university, or graduate school and/or as an instructor of continuing education programs given by approved sponsors. Credit shall be allotted at the rate of 1.5 hours for every hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations of the same program). A maximum of 10 hours of CE credit may be obtained in this category per prerenewal period.

5. CE hours may be earned for authoring papers, publications, dissertations, or books and for preparing presentations and exhibits in the field of counseling. The preparation of each published paper, book chapter, or professional presentation dealing with professional counseling or clinical professional counseling may be claimed for up to 10 hours of credit. A presentation must be before an audience of professional counselors. 10 credit hours may be claimed for only the first time the information is published or presented.

6. A maximum of 8 hours of CE may be earned per renewal period for clinical supervision received or provided on a regular basis with a set agenda. Clinical supervision shall be documented with a letter from the supervisor indicating the start and end dates in which the supervision occurred, the site where supervision was provided, the number of hours of participation and the name and license number of the supervisor. The letter shall be signed by the supervisor and the supervisee and shall be proof of clinical supervision received and provided.

7. A maximum of 6 hours of CE may be earned per renewal period for leadership activities. These activities include, but are not limited to, officer of a state or national counseling organization; editor of a professional counseling journal; member of a national counselor certification board; member of a national ethics disciplinary review committee; chair of a major counseling conference or convention; active member of a counseling committee producing a substantial written product. The leadership shall be documented in a letter of confirmation on the organization's letterhead and shall include the start and end dates of leadership, the name of the organization and the position held.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) National Board for Certified Counselors or its affiliates;

B) American Counseling Association or its affiliates;

C) Commission on Rehabilitation Counselor or its affiliates;

D) American Association for Marriage and Family Therapy or its affiliates;

E) Employee Assistance Professional Association (EAPA) and Employee Assistance Society of North America (EASNA) or its affiliates;

F) Social Work Continuing Education Sponsors approved by the Division in accordance with the rules for the administration of Clinical Social Work and Social Work Practice Act [225 ILCS 20], 68 Ill. Adm. Code 1470.95;

G) American Psychological Association or its affiliates;

H) Illinois Counseling Association or its affiliates;

I) Illinois Mental Health Counselors Association or its affiliates;

J) American Medical Association or its affiliates;

K) Marriage and Family Therapy Continuing Education Sponsors approved by the Division in accordance with the Marriage and Family Therapy Licensing Act [225 ILCS 55] and 68 Ill. Adm. Code 1283.110;

L) Clinical Psychologist Continuing Education Sponsors approved by the Division in accordance with the Clinical Psychologist Licensing Act [225 ILCS 15] and 68 Ill. Adm. Code 1400.85;

M) Accredited colleges, universities, State agencies; and

N) Any other person, firm, or association that has been approved and authorized by the Division pursuant to subsection (c)(2) to coordinate and present continuing education courses.

2. An entity seeking approval as a CE sponsor pursuant to subsection (c)(1)(N) shall submit an application, on forms supplied by the Division, along with the fee set forth in Section 1375.205. (State agencies, State colleges, community colleges, and State universities in Illinois shall be exempt from paying this fee.) The application shall include:

A) Certification:

i) That all courses offered by the sponsor for CE credit shall comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor shall be responsible for verifying full-time continuous attendance at each course and provide a certificate of attendance as set forth in subsection (c)(9);

iii) That, upon request by the Division, the sponsor shall submit evidence (e.g., certificate of attendance or course material) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance;

B) A copy of a sample course with faculty, course materials and syllabi.

3. All courses shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of professional counseling or clinical professional counseling;

B) Foster the enhancement of general or specialized counseling or clinical counseling practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the course;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE course shall provide a mechanism for evaluation of the course and instructor by the participants. The evaluation may be completed on-site immediately following the course presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or electronically. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent courses accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved courses. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the course may also be identified but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the course meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. All courses given by approved sponsors shall be open to all licensed professional counselors and licensed clinical professional counselors and not be limited to members of a single organization or group.

7. To maintain approval as a sponsor pursuant to subsection (c)(2), each sponsor shall submit to the Division by March 30 of each odd-numbered year a renewal application, the fee set forth in Section 1375.205 and a list of courses offered within the last 24 months. The list shall include a brief description, location, date, and time of each course given by the sponsor and by any subcontractor.

8. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a course with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each course;

E) The date and place of the course; and

F) The signature of the sponsor or person responsible for the CE course.

9. The sponsor shall maintain attendance records for not less than 5 years.

10. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the course.

11. Upon the failure of a sponsor to comply with any of the requirements of this Section, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE courses until such time as the Division receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE course at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request a hearing with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100].

e) Continuing Education Attended in Other Jurisdictions

1. If a licensee attended or is seeking CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual course approval request form, along with a $25 processing fee, prior to participation in the course. The course shall be reviewed using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out of state CE approval form prior to participation in the course, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $50 per CE hour late fee not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

3. CE completed remotely whether live or asynchronous (e.g., self-study, book-study, or computer/online based course) is not eligible for out-of-state CE credit. Instead it must be provided by an approved CE provider as set forth in subsection (b)(2).

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with CE requirements and the provisions of Section 1375.80 or 1375.170, the Division shall restore the license upon payment of the required fee as provided in Section 1375.205.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements may file with the Division a renewal application along with the required fee set forth in Section 1375.205; a statement setting forth the facts concerning noncompliance; and request for waiver of the CE requirements based upon those facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds that good cause has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and is defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during all or a substantial part of the pre-renewal period;

B) A temporary incapacitating illness documented by a licensed physician. A second, consecutive request for a CE waiver pursuant to this subsection (g)(2)(B) shall be prima facie proof that the renewal applicant has a physical or mental illness, including, but not limited to, deterioration through the aging process or loss of cognitive or motor skills that results in the licensee's inability to practice professional counseling or clinical professional counseling with reasonable judgment, skill or safety, in violation of Section 80(a)(18) of the Act, and shall be grounds for denial of the renewal application or other disciplinary or non-disciplinary action; or

C) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.225 Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action, based upon its finding of unethical, dishonorable, or unprofessional conduct within the meaning of Section 80 of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

a) Counseling Relationships

1. Practicing, condoning, facilitating, collaborating with or engaging in discrimination against prospective or current clients, students, employees, supervisees, or research participants based on age, culture, disability, ethnicity, race, religion/spiritually, gender, gender identity, sexual orientation, marital status/partnership, language preference, socioeconomic status, immigration status, or any basis proscribed by law.

2. Engaging in any action that violates or diminishes the civil or legal rights of clients.

3. Engaging in the sexual exploitation of clients, client's romantic partners, client's family members, students, or supervisees.

4. Engaging in or condoning sexual harassment, including but not limited to, deliberate or repeated comments, gestures, or physical contacts of a sexual nature that occur in connection with professional activities or roles.

5. Bringing personal or professional biases into the counseling relationship. Through an awareness of the impact of stereotyping and discrimination (i.e., biases based on age, disability, ethnicity, gender, religion, or sexual preference), counselors guard the individual rights and personal dignity of the client in the counseling relationship.

6. Engaging in any type of sexual or romantic intimacies with clients, client's romantic partners, or client's family members. Counselors shall not provide counseling services to persons with whom they have had a sexual relationship, including the person's romantic partners, or their family members.

7. Engaging in any type of sexual or romantic intimacies with former clients, former clients' romantic partners, or former clients' family members within five years of professional contact.

8. Engaging in any nonprofessional relationships with clients, former clients, clients' romantic partners, or clients' family members should be avoided, except when the interaction is potentially beneficial to the client. All potentially beneficial relationships must be documented in case notes, and conducted with full client consent. When unintentional harm occurs to the client, or former client, or to an individual significantly involved with the client or former client, due to the nonprofessional interaction, the counselor must show evidence of an attempt to remedy that harm.

9. Failing to offer all pertinent facts regarding services rendered to the client prior to administration of professional services. The purpose of informed consent is to ensure a client's complete access to information pertaining to professional services. Examples include, but are not limited to, the purposes, goals, techniques, procedures, limitations, potential risks, and benefits of services; the counselor's qualifications, credentials, and relevant experience; and continuation of services upon the incapacitation or death of a counselor. Counselors must take steps to ensure that clients understand the implications of diagnosis, the intended use of assessments and reports, billing arrangements, length of treatment, and utilization of consultants. The client's signature indicating receipt of pertinent information is strongly encouraged.

b) Confidentiality

1. Failing to inform clients at the onset of the counseling relationship of the limits of confidentiality. These limitations include but are not limited to: limitations mandated by the law, requirements to protect clients or identified others from serious and foreseeable harm, or when the counselor is a defendant in a civil, criminal, or disciplinary action arising from the counseling.

2. Revealing facts, data, or information relating to a client or examinee, except as allowed under Section 75 of the Act or under the Mental Health and Developmental Disabilities Confidentiality Act [740 ILCS 110] or any other federal or State laws pertaining to confidentiality.

3. Failing to take appropriate steps to protect the privacy of a client and avoid unnecessary disclosures of confidential information. The right to privacy belongs to clients and may be waived. A written waiver shall be signed by the client and the information revealed shall be in accordance with the terms of the waiver.

c) Scope of Practice/Professional Responsibility

1. Performing, or pretending to be able to perform, professional services beyond one's scope of practice and one's competency, as defined by education, training, supervised experience, State and national professional credentials, and appropriate professional experience.

2. Abandoning or neglecting clients and/or failing to refer and/or make appropriate arrangements for the continuation of treatment, when necessary, during interruptions, such as vacations or illness, and following termination.

3. Failing to use techniques/procedures/modalities that are grounded in professionally accepted theory and/or have an empirical or scientific foundation. Counselors who do not use these tools, must define the techniques/procedures/modalities as "unproven" or "developing"; explain the potential risk and ethical considerations of using the techniques/procedures/modalities; and take steps to protect clients from possible harm.

4. Failing to establish and maintain client records and case notes, including failing to inform clients of issues related to the difficulty of maintaining the confidentiality of electronically transmitted communication. Records must be maintained for at least 7 years. In the case of a minor, records must be maintained 7 years after the minor turns 18.

5. Failing to inform clients of the benefits and limitations of using information technology applications in the counseling process and in business/billing procedures. These technologies include but are not limited to computer hardware and software, telephone, the internet, online assessment instruments, and other communication devices.

6. Advertising shall not be deceptive, misleading, or false. Counselors should claim or imply only professional credentials possessed and are responsible for correcting any misrepresentations of their credentials by others. Professional credentials include highest relevant degrees, accreditation of graduate programs, national voluntary certifications, government-issued certifications or licenses, professional membership, or any other credential that might indicate to the public specialized knowledge or expertise in professional counseling.

7. Submission of fraudulent claims for services to any person or entity including, but not limited to, health insurance companies, health service plans, or third-party payors.

8. Knowingly offering or providing services to a client when the counselor's ability to practice is impaired. Failing to seek assistance for problems that reach the level of professional impairment, and, if necessary, limiting, suspending, or terminating professional responsibilities until such time it is determined that it is safe to resume work. Causes of impairment may include, but are not limited to, the abuse of mood-altering chemicals and physical or mental problems and offering professional services when the counselor's personal problems or conflicts may harm a client or others.

d) Supervision

1. Permitting a supervisee or intern under the counselor's supervision or control to perform, or permitting the supervisee or intern to hold themself out as competent to perform, professional services beyond the supervisee's or intern's level of education, training, and/or experience.

2. Allowing a supervisee to violate the rights of clients; permitting a supervisee to violate confidentiality standards or client privacy; or failing to provide clients with professional disclosure information and inform them of how the supervision process influences the limits of confidentiality, including who will have access to records of the counseling relationship and how these records will be used.

3. Participating in any form of sexual or romantic contact with supervisees. Nonprofessional relationships with supervisees that might impair the supervisor's objectivity and professional judgment should be avoided and/or the supervisory relationship terminated.

e) Evaluation, Assessment, and Interpretation

1. Failing to have appropriate education and training for each specific assessment, failing to recognize the limits of the counselor's competence, and failing to perform only those functions for which the counselor is prepared. In particular, counselors using technology-assisted test interpretations must be trained in the construct being measured and the specific instrument being used prior to using a technology-based application.

2. Failing to fully inform prospective research participants or their authorized representative of potential serious aftereffects of the research or failing to remove the aftereffects as soon as the design of the research permits.

f) The Division hereby incorporates by reference the "2014 Code of Ethics", 2014, approved by the American Counseling Association, 2461 Eisenhower Avenue, Alexandria, Virginia 22314, with no later amendments or editions.

g) Licensed Professional Counselors and Licensed Clinical Professional Counselors are responsible for professional conduct consistent with every standard set forth in this Part.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.227 Rehabilitation

Upon written application to the Division for restoration of a license or for any other relief following discipline, the Division shall consider, but is not limited to, the following in determining if the person is sufficiently rehabilitated to warrant the public trust:

a) The seriousness of the offense that resulted in the disciplinary action being considered;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the applicant has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the applicant;

e) Continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered;

f) The results of a professional competency examination designated by the Division and paid for by the applicant;

g) Written reports and oral testimony by peer-review committees or other persons relating to the skill, knowledge, honesty, integrity and contriteness of the applicant;

h) Restitution to injured parties;

i) Future plans of the applicant;

j) Involvement of the applicant's family and friends in the applicant's rehabilitation process;

k) A written report of a physical or mental examination given by a practitioner selected by the Division and paid for by the applicant;

l) Any other information evidencing rehabilitation that would bear upon the applicant's request for relief or restoration of a license;

m) Whether the order imposing discipline was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the discipline;

n) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

o) Compliance with any probationary terms imposed.

History

• Source: Added at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.230 Granting Variances

The Director of the Division of Professional Regulation (Director) with the authority delegated by the Secretary may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

68 Ill. Adm. Code 1375.APPENDIX A Course Descriptions

The following counselor education course content areas are defined and subject areas outlined; however, this is not an exhaustive list and many other courses may fall within each of the core content areas.

a) Human Growth and Development: Courses in this area cover one or more of the various stages of the human growth cycle and include information about theories of development such as physical, social, cognitive, moral, and creative development, etc. Examples of acceptable courses include, but are not limited to, Human Growth and Development, Developmental Psychology, Child Psychology, Child Development, Adolescent Psychology, Adolescent Development, Life Span Development, and Adult Development.

b) Counseling Theory: Courses in this area cover the major theories of counseling psychotherapy. These courses shall be general theory courses. A course devoted to one type of counseling/therapy is considered a Counseling Technique core course. Examples of acceptable courses include, but are not limited to, Theories of Counseling, Introduction to Psychotherapy, and overview courses in Behavior, Cognitive, Humanistic and Psychodynamic Theories.

c) Counseling Techniques: Courses in this area cover the theoretical foundations and professional skill training enabling the counselor to understand presenting problem, best practice recommendations, and effective, empirically supported intervention strategies. Examples of acceptable courses include, but are not limited to, Rational Emotive Therapy, Behavior Modification, Marital/Couples Counseling, Crisis Counseling, Counselor Interviewing Skills, Pre-Practicum in Counseling, Introduction to Rehabilitation Counseling, Grief Therapy, Substance Abuse Counseling, Stress Management, etc.

d) Group Dynamics, Processing and Counseling: Courses in this area teach the theories, principles, and techniques of group counseling and group psychotherapy. Examples of acceptable courses include, but are not limited to, Group Counseling, Group Counseling and Dynamics, Group Therapy, Group Dynamics, Theories of Group Practice, etc. Courses that use a group format with a focus on the professional development of the counselor are not considered a group course.

e) Appraisal of Individuals: Courses in this area cover assessment of the various attributes of a person through standardized tests. These courses also include an overview of statistical procedures relevant to test standardization and interpretation. Examples of acceptable courses include, but are not limited to, Individual Appraisal, Group Testing, Standardized Testing, Individual Intelligence Testing, Personality Assessment, Introduction to Psychological Measurements, Tests and Measurements, etc.

f) Research and Evaluation: Courses in this area cover statistical principles, research designs, methods, techniques and tools used in performing and interpreting research in counseling. Examples of acceptable courses include, but are not limited to, Methods of Research, Statistics, Research Design, Research in Counseling, Research Techniques, etc.

g) Professional, Legal, and Ethical Responsibilities: Courses in this area cover such topics as professionalism in counseling, federal and State laws relevant to counselors, and ethics with an emphasis on the Code of Ethics of the American Counseling Association. Examples of acceptable courses include, but are not limited to, Ethics and Legal Issues in Counseling, Ethics and Legal Issues in Psychology, Ethics and Legal Issues in Psychotherapy, Ethics and Legal Issues in Professional Counseling, Ethics and Legal Issues in Rehabilitation Counseling, etc.

h) Social and Cultural Foundations: Courses in this area shall include an overview of multicultural issues. The course may not focus on only one cultural group or counseling population. Courses in this area cover topics such as aging, culture, disability, ethnicity, race, religion/spirituality, gender, gender identity, sexual orientation, marital status/partnership, language preference, and socioeconomic status. Examples of acceptable courses include, but are not limited to, Multicultural Counseling, Cultural Differences in Counseling, Cultural Differences in Psychology, Cultural Differences in Rehabilitation Counseling, etc.

i) Lifestyle and Career Development: Courses in this area cover the lifelong processes and the influences that lead to work values, occupational choices, career path/patterns, decision-making style, and integration of self- and career-identity with patterns of work adjustment. The course is designed around the concepts of career development. Examples of acceptable courses include, but are not limited to, Career Counseling, Career Development, Theories of Vocational Choice, Theories of Vocational Counseling, etc.

j) Practicum/Internship: Provides practical experience in counseling for the purpose of developing both individual and group counseling skills. These courses shall include a minimum of 700 clock hours on-site, with a minimum of 280 hours of direct, face-to-face client contact. These experiences allow students to perform some of the counseling activities that a licensed counselor would be expected to perform. Supervision is required on an ongoing basis during the practicum.

Examples of acceptable courses include, but are not limited to, Internship – Community Counseling, Internship – Mental Health Counseling, Internship – Art Therapy, Internship – Pastoral Counseling, and Internship – Rehabilitation Counseling.

k) Psychopathology and Maladaptive Behavior: Courses in this area cover general principles of etiology, diagnosis, treatment, prevention, and cultural factors of mental and emotional disorders. Emphasis is placed on mental status assessment and diagnostic categories as organized in the American Psychiatric Association. (2022). Diagnostic and Statistical Manual of Mental Disorders (5th ed., test rev.) (or current edition). Examples of acceptable courses include, but are not limited to, Abnormal Psychology, Psychopathology, Diagnosis and Treatment Planning, Mental Health Rehabilitation Counseling.

l) Addictions: Courses in this area provide an overview of assessment and treatment methods available for clients and their family members struggling with substance-related disorders and/or behavioral/process addiction issues. Examples of acceptable courses include, but are not limited to, Substance Abuse Counseling, Psychology of Addiction, Addictions Counseling, Addictive Disorders, and Behavioral/Addictions Process. Psychopharmacology is not considered a course in substance abuse.

m) Family Dynamics: Courses in this area cover family systems theory and its applications, prevention approaches for working with families, and specific problems that impede family function. Examples of acceptable courses include, but are not limited to, Family Therapy, Family Counseling, Family Systems Theory, and Family Dynamics.

History

• Source: Amended at 48 Ill. Reg. 8776, effective June 4, 2024

Part 1375 Professional Counselor and Clinical Professional Counselor Licensing Act

68 Ill. Adm. Code 1375.APPENDIX B Education, Experience and Examination History

a) Licensed Professional Counselor

Through December 31, 1998:

1. Certification of education from a master's or doctoral degree program in counseling, psychology or rehabilitation counseling from a college, university or school recognized by the educational accrediting authority in the jurisdiction in which it is located, or certification of education and a transcript from a similar master's or doctoral degree program approved by the Divison in accordance with Section 1375.50(a) of this Part; or

2. Certification of a baccalaureate degree from a college, university or school recognized by the educational accrediting authority in the jurisdiction in which it is located and 5 years of full time satisfactory supervised experience as a professional counselor as defined in Section 1375.30(a)(1)(B).

b) Licensed Clinical Professional Counselor

Prior to January 1, 1999, the examination for licensure as a clinical professional counselor shall be the National Clinical Mental Health Counseling Examination (NCMHCE).

History

• Source: Amended at 35 Ill. Reg. 7586, effective May 13, 2011

Part 1376 Behavior Analyst Licensing Act

68 Ill. Adm. Code 1376.10 Definitions

"Act" means the Behavior Analyst Licensing Act [225 ILCS 6].

"BACB" means the Behavior Analyst Certification Board.

"BCaBA" means a Board Certified Assistant Behavior Analyst.

"BCBA" means a Board Certified Behavior Analyst.

"Board" means the Advisory Board of Behavior Analysts.

"Department" means the Department of Financial and Professional Regulation of the State of Illinois.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

68 Ill. Adm. Code 1376.15 Approved Programs for Licensed Behavior Analysts

A program approved by the Division shall be an educational program that meets the criteria specified by the BACB Handbook for eligibility to sit for the BCBA examination. For purposes of this Section, the Division incorporates by reference the Behavior Analyst Certification Board's "Board Certified Behavior Analyst Handbook", 2024, approved by the BACB, 7950 Shaffer Pkwy, Littleton, CO 80127, with no later amendments or editions.

68 Ill. Adm. Code 1376.20 Approved Programs for Licensed Assistant Behavior Analysts

A program approved by the Division shall be an educational program that meets the criteria specified by the BACB Handbook for eligibility to sit for the BCaBA examination. For purposes of this Section, the Division incorporates by reference the Behavior Analyst Certification Board's "Board Certified Behavior Analyst Handbook", 2024, approved by the BACB, 7950 Shaffer Pkwy, Littleton, CO 80127, with no later amendments or editions.

68 Ill. Adm. Code 1376.25 Supervised Work Experience

The Division has determined that the 500 hours of supervision required for licensure as a licensed behavior analyst required by Section 30 of the Act are satisfied by the field training required for certification as a BCBA or BCaBA.

68 Ill. Adm. Code 1376.30 Examination

a) The examination approved by the Division for licensure as a licensed behavior analyst is the BCBA Certification Examination of the BACB. The passing score on the examination shall be the passing score established by the BACB.

b) The examination approved by the Division for licensure as a licensed assistant behavior analyst is the BCaBA Certification Examination of the BACB. The passing score on the examination shall be the passing score established by the BACB.

c) An applicant who fails an examination may retake the examination in accordance with the procedures established by the BACB.

d) The applicant shall pay examination fees to the BACB. These fees are in addition to the license application fee payable to the Division.

68 Ill. Adm. Code 1376.35 Application for Licensure

a) An applicant for licensure as a behavior analyst shall file an application on forms provided by the Division. The application shall include:

1. Current valid BCBA certification issued by the BACB that includes the minimum hours of supervised experience under Section 30(a)(3) of the Act. If the applicant is unable to provide proof of current valid certification, the applicant shall provide:

A) Certification of graduation from an approved program that meets the requirements set forth in Section 1376.15; and

B) Proof of passing the BCBA Certification Examination. The proof shall be forwarded to the Division from the BACB; and

2. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

3. The fee required in Section 1376.55.

b) An applicant who applies for licensure as a behavior analyst before July 1, 2028, who has not obtained the supervised experience described in Section 30(a)(3) of the Act, may be considered for a license if the following is submitted with an application:

1. An official transcript and a diploma or certification of graduation evidencing that the applicant has received a graduate degree in behavior analysis or a related field from a regionally accredited college or university that meets the standards provided in Section 1376.15;

2. Certification of successful completion of an examination as provided in Section 1376.30. The certification shall be forwarded to the Division from the BACB;

3. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

4. The fee required in Section 1376.65.

c) An applicant for licensure as an assistant behavior analyst shall file an application on forms provided by the Division. The application shall include:

1. Current valid BCaBA certification issued by the BACB that includes the supervised experience required under Section 35(a)(3) of the Act. If the applicant is unable to provide proof of current valid certification, the applicant shall provide:

A) Certification of graduation from an approved program that meets the requirements set forth in Section 1376.15; and

B) Proof of passing the BCaBA Certification Examination. The proof shall be forwarded to the Division from the BACB; and

2. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

3. The fee required in Section. 1376.65.

d) An applicant who applies for licensure as an assistant behavior analyst before July 1, 2028, who has not obtained the supervised experience as described in Section 35(a)(3) of the Act, may be considered for a license if the following is submitted with an application:

1. An official transcript and a diploma or certification of graduation evidencing that the applicant has received a bachelor's degree in the field of behavior analysis from a regionally accredited college or university that meets the standards provided in Section 1376.15;

2. Certification of successful completion of an examination as provided in Section 1376.30. The certification shall be forwarded to the Division from the testing entity;

3. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application; and

4. The fee required in Section 1376.65.

History

• Source: Amended at 49 Ill. Reg. 8353, effective June 5, 2025

68 Ill. Adm. Code 1376.40 Endorsement

a) An applicant for licensure as a licensed behavior analyst or licensed assistant behavior analyst who is licensed under the laws of another state shall file an application on forms provided by the Division. Applicants must be at least 18 years of age. The application shall include:

1. A certification from the jurisdiction of original licensure and current licensure stating:

A) The date of issuance and status of the license; and

B) Whether the records of the licensing authority contain any record of any disciplinary actions taken or pending.

2. Proof of the following:

A) Official transcript and diploma or official transcript and certification of graduation that complies with Section 1376.15 or Section 1376.20; and

B) Certification of previous successful completion of an examination that is the same or similar to the examination as provided for in Section 1376.30. If the applicant does not meet this requirement, the applicant must successfully complete the examination provided for in Section 1376.30.

3. Verification of a fingerprint-based background check submitted to the Illinois State Police (ISP) electronically through a licensed live scan fingerprint vendor. The fingerprints shall be checked against the ISP and Federal Bureau of Investigation criminal history record. Out-of-state residents may have their fingerprints taken by a fingerprinting agency outside of Illinois and submit one fingerprint card, accompanied by the fee specified by ISP, to a licensed live scan fingerprint vendor with card scan capability. Fingerprints shall be taken not more than 60 days prior to the application.

4. The fee required in Section 1376.65.

b) The Division shall examine each endorsement application to determine whether the requirements in the other state at the date of licensing were substantially equivalent to the requirements of the Act and this Part. If the Division determines the endorsement application to be substantially equivalent, then the Division will approve the application.

c) An individual applying for licensure as a licensed behavior analyst or assistant behavior analyst who has been licensed in another United States jurisdiction for 10 consecutive years without discipline is not required to submit proof of completion of the education, professional experience, and supervision required in subsection (a)(2)(A) of this Section. [225 ILCS 6/40]

History

• Source: Amended at 49 Ill. Reg. 8353, effective June 5, 2025

68 Ill. Adm. Code 1376.45 Renewals

a) All licenses issued under the Act shall expire October 31 of each odd-numbered year. The holder of a license may renew the license during the 60 days preceding the expiration date by paying the required fee.

b) Compliance with the CE requirement in Section 1376.50 is a condition of renewal.

c) Practice on an expired license shall be considered unlicensed practice and shall be grounds for discipline pursuant to Section 60 of the Act.

68 Ill. Adm. Code 1376.50 Continuing Education

a) Continuing Education (CE) Requirements

1. Beginning with the 2027 renewal period, all licensed behavior analysts shall complete 30 hours of approved CE during the 24 months preceding renewal. All licensed assistant behavior analysts shall complete 20 hours of approved CE during the 24 months preceding renewal.

2. As part of the required hours of CE for renewal, CE must be obtained as provided 68 Ill. Adm. Code 1130, Subpart E.

3. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

4. Licensees licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

5. CE hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois as provided in subsection (d).

b) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) Behavior Analyst Certification Board approved continuing education providers;

B) American Psychological Association;

C) Any Illinois university or college that offers a degree in behavior analysis and that provides CE in a form and manner consistent with this Section; or

D) Any other person, firm, association, corporation, or other group that has been approved and authorized by the Division pursuant to subsection (b)(2), below, upon recommendation of the Board to coordinate and present continuing education courses or programs.

2. Entities seeking approval as CE sponsors pursuant to subsection (b)(1)(D) shall file an application, on forms supplied by the Division, along with the application fee specified in Section 1376.65. The applicant shall certify on the application the following:

A) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (b)(3), and all other criteria in this Section. A sponsor shall be required to submit a CE program with course materials for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each program and provide a certificate of attendance as set forth in subsection (b)(7);

C) That, upon request by the Division, the sponsor will submit evidence (e.g., certificate of attendance or completion or course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the profession of applied behavior analysis;

B) Foster the enhancement of the behavior analyst profession and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content, and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. CE may be offered in a classroom setting or by online instruction. Each online CE program shall include examination.

5. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or electronic means. The sponsor and instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

6. A sponsor approved pursuant to subsection (b)(1) may subcontract with individuals or organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the approved sponsor. The presenter of the program may also be identified but should be identified as a presenter. When an approved sponsor subcontracts with a presenter, the sponsor retains all responsibility for monitoring attendance, providing certificates of attendance, and ensuring the program meets all the criteria established by the Act and this Section, including the maintenance of records.

7. Certification of Attendance.

A) It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

i) The sponsor's name and, if applicable, sponsor approval number;

ii) The name of the participant;

iii) A brief statement of the subject matter;

iv) The number of hours attended in each program;

v) The date and place of the program; and

vi) The signature of the sponsor.

B) The sponsor shall maintain attendance records for not less than 5 years.

8. The sponsor shall be responsible for assuring that no one will receive CE hours for time not actually spent attending or participating in the program.

9. Upon the failure of the sponsor to comply with any of the requirements of subsection (b), the Division, after notice to the sponsor, shall thereafter refuse to accept for CE attendance at or participation any of that sponsor's CE programs until the Division receives assurances of compliance with this Section.

10. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

c) Certification of compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificates of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request a hearing with the Board. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings.

d) CE Attended in Other Jurisdictions

1. If a licensee has attended CE programs offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit towards full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days after expiration of the license. The program will be reviewed using the criteria set forth in subsection (b)(2) and the Division will notify the licensee of its decision.

2. If a licensee fails to submit an out-of-state CE approval form prior to participation in the program, late approval may be obtained by submitting the approval request with the $25 processing fee plus a late fee of $50 per CE hour, not to exceed $300. The program will be reviewed using the criteria set forth in subsection (b)(2).

3. CE completed online is not eligible for out-of-state CE credit. All online CE must be provided by an approved CE provider as set forth in subsection (b).

e) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements may file with the Division a renewal application, along with the fee set forth in Section 1376.65, an affidavit setting forth the facts concerning noncompliance and request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division will waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the Armed Forces of the United States during a substantial part of the pre-renewal period;

B) A temporary incapacitating illness document by a statement from a currently licensed health care provider; A second, consecutive request for a CE waiver pursuant to this subsection (e)(2)(B) shall be prima facie proof that the renewal applicant has a physical or mental illness, including, but not limited to, deterioration through the aging process or loss of cognitive or motor skills that results in the licensee's inability to practice applied behavioral analysis or as an assistant behavioral analyst with reasonable judgment, skill or safety, in violation of Section 60(a)(18) of the Act, and shall be grounds for denial of the renewal application or other disciplinary or non-disciplinary; or

C) Any other similar extenuating circumstances.

3. When the licensee is requesting a waiver due to physical or mental illness or incapacity, the licensee shall provide a current fitness to practice statement from a currently licensed health care provider familiar with the licensee's medical history.

4. Any renewal applicant who, prior to the expiration date of the license, submits a request for waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

68 Ill. Adm. Code 1376.55 Restoration

a) A person seeking restoration of a license that has expired for 5 years or less shall have the license restored upon payment of all lapsed renewal fees required by Section 1376.65 and proof of completion of the CE required under Section 1376.60 in the 2 years prior to restoration.

b) A person seeking restoration of a license that has been placed on inactive status for 5 years or less shall have the license restored upon payment of the current renewal fee required by Section 1376.65 and proof of completion of the CE required under Section 1376.50 in the 2 years prior to restoration.

c) A person seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, proof of completion of the CE required under Section 1376.50, and payment of the restoration fee required by Section 1376.65 in the 2 years prior to restoration. The applicant shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice;

2. An affidavit attesting to military service as provided in subsection 50(d) of the Act;

3. Evidence of current certification as a BCBA or BCaBA; or

4. Submit verification of 500 hours of supervised experience as described in Section 1376.25.

d) A person seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation for 3 years or less shall comply with the same requirements provided in subsection (b); shall provide sufficient evidence to establish that the person has been rehabilitated as provided in Section 1376.60; and pay the restoration fee required by Section 1376.65.

e) A person seeking restoration of a license that has been revoked, suspended, in refuse to renew status, or on probation for more than 3 years shall comply with the same requirements provided in subsection (d); shall provide sufficient evidence to establish that the person has been rehabilitated as provided in Section 1376.60; and pay the restoration fee required by Section 1376.65.

f) Except for persons seeking restoration of a license pursuant to subsections (d) and (e), when the accuracy or sufficiency of any submitted documentation is questioned by the Division because of a lack of information, discrepancies, or conflicts in information given or a need for clarification, the person seeking restoration of a license may be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflict in information.

68 Ill. Adm. Code 1376.60 Rehabilitation

Upon written petition for restoration of a license from discipline pursuant to Section 1376.55, the Board shall consider, but is not limited to, the following in determining if the person is to be deemed sufficiently rehabilitated to warrant the public trust:

a) The seriousness of the offense that resulted in the disciplinary action taken;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the petitioner has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the petitioner;

e) CE courses or other types of courses taken to correct the grounds for the disciplinary action having been taken;

f) Written reports and oral testimony by other persons relating to the skill, knowledge, honesty, integrity, and contriteness of the petitioner;

g) Restitution to injured parties;

h) Future plans of the petitioner;

i) Involvement of the petitioner's family and friends in the petitioner's rehabilitation process;

j) A written report of a physical or mental examination given by a physician selected by the Board and paid for by the petitioner;

k) Any other information evidencing rehabilitation that would bear upon the petitioner's request for restoration of a license;

l) Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

m) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

n) Whether there has been compliance with any probationary terms imposed.

68 Ill. Adm. Code 1376.65 Fees

The following fees shall be paid to the Division and are not refundable:

a) The fee for application for a license as a licensed behavior analyst under Section 1376.35 is $400.

b) The fee for application for a license as a licensed assistant behavior analyst under Section 1376.35 is $100.

c) The fee for renewal of a license as a licensed behavioral analyst is $300.

d) The fee for renewal of a license as a licensed assistant behavioral analyst is $75.

e) The fee for restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees not to exceed $600 for a licensed behavior analyst and not to exceed $150 for a licensed assistant behavior analyst.

f) The fee for certification of a licensee's record for any purpose is $20.

g) The fee for a CE sponsor subject to the approval of the Board is $500. The fee is waived for a State agency, State university, or community college.

h) The fee for a two-year renewal for a CE sponsor subject to approval of the Board is $250. The renewal fee is waived for a State agency, State university, or community college.

68 Ill. Adm. Code 1376.70 Dishonorable, Unethical, or Unprofessional Conduct

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its findings of dishonorable, unethical, or unprofessional conduct likely to deceive, defraud, or harm the public pursuant to Section 60(a)(9) of the Act, which includes but is not limited to, the following acts or practices:

a) Engaging in conduct demonstrating a willful disregard for the health, welfare, or safety of a client. Actual injury need not be established.

b) Engaging in behavior that violates professional boundaries (such as signing wills or other documents not related to client health care).

c) Engaging in sexual conduct with a client or conduct that may reasonably be interpreted by a client as sexual, or behavior that is sexually harassing to a client, including any verbal behavior that is sexual harassing.

d) Demonstrating actual or potential inability to practice with reasonable skill, safety, or judgment by a reason of illness, use of alcohol, drugs, chemicals, or any other material or as a result of any mental or physical condition.

e) Misrepresenting educational background, training, credential, or competence.

f) Practicing, condoning, facilitating, collaborating with or engaging in discrimination based on sex, age, culture, disability, ethnicity, race, religion, gender, gender identity, sexual orientation, marital status/partnership, language preference, socioeconomic status, or any basis prescribed by law.

g) Revealing facts, data, or information relating to a client, except as allowed under the Mental Health and Developmental Disabilities Confidentiality Act [405 ILCS 5] or any other federal or State law.

h) Failing to take appropriate steps to protect the privacy of a client and avoid unnecessary disclosures of confidential information. The right to privacy belongs to clients and may be waived. A written waiver shall be signed by the client and the information revealed shall be in accordance with the terms of the waiver.

i) Submission of fraudulent claims for services to any person or entity including, but not limited to, health insurance companies or health service plans or third-party payors.

j) Any violation of or failure to conform to the Behavior Analyst Certification Board's (7950 Shaffer Parkway, Littleton, CO 80127) 2020 "The Ethics Code for Behavior Analysts" effective date, January 1, 2022 with no later amendments or editions, which is hereby incorporated by reference. The 2020 Ethics Code for Behavior Analysts can be found at https://www.bacb.com/wp-content/uploads/2022/01/Ethics-Code-for-Behavior-Analysts-240201-a.pdf.

68 Ill. Adm. Code 1376.75 Applicant and Licensee Address of Record, Email Address of Record, and/or Licensee Change of Name Information

All applicants and licensees shall:

a) provide a valid address and email address to the Division, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) inform the Division of any change of address of record or email address of record within 14 days after such change either through the Division's website or by contacting the Department's licensure maintenance unit. (Section 15 of the Act)

68 Ill. Adm. Code 1376.80 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1380.210 Approved Engineering Program

a) The Department of Financial and Professional Regulation − Division of Professional Regulation ("Division") shall, upon the recommendation of the State Board of Professional Engineers ("Board"), approve an engineering program as reputable and in good standing if it meets the following minimum criteria:

1. The educational institution is legally recognized and authorized by the jurisdiction in which it is located to confer a baccalaureate degree in engineering.

2. Faculty

A) The faculty shall have a sufficient number of full-time, or full-time equivalent, instructors to make certain that the educational obligations to the student are fulfilled. A program at the basic level shall have no fewer than 3 full-time faculty members whose primary commitment is to that program. If an institution relies on part-time faculty members, it shall demonstrate that, in addition to the commitment of at least 3 full-time equivalent faculty members, effective mechanisms are in place to provide adequate levels of student advising and faculty interaction, and faculty control over the curriculum.

B) The faculty shall have demonstrated competence in their area of teaching as evidenced by appropriate degrees from professional colleges or institutions. Other evidence of faculty capability includes non-academic engineering experience, experience in teaching, ability to communicate effectively, participation in professional, scientific and other learned societies, licensure as a professional engineer and an interest in students' curricular activities.

C) Teaching loads shall allow time for research and professional development activities. Stimulation of students' minds requires faculty involvement in scientific and technological development and in instructional innovation.

3. Curriculum

A) The curriculum shall include at least 4 academic years leading to the awarding of the baccalaureate degree while providing integration of the educational experience with the ability to apply the knowledge gained to the identification and solution of practical problems.

B) The overall curriculum shall include a minimum of 120 semester hours or their equivalent (e.g., 180 quarter hours) and shall include at least the following subjects:

i) Mathematics – 15 hours.

Mathematics shall be beyond trigonometry and emphasize mathematical concepts and principles rather than computations. Coursework in calculus (differential and integral) and differential equations at the baccalaureate level are required. Remaining coursework may include, but is not limited to, linear algebra, numerical analysis, matrix theory, probability, statistics, and advanced calculus. Courses in computer usage and/or programming shall not be used to satisfy the mathematics requirement.

ii) Basic Sciences – 15 hours.

Basic sciences must include general chemistry and general calculus-based physics. Chemistry courses shall make up no less than 5 semester credit hours with at least 1 hour of laboratory experience and physics shall make up no less than 8 semester hours. Remaining basic science courses may include, but are not limited to, general biological sciences, earth sciences, advanced chemistry, advanced physics, and advanced biology.

iii) Engineering Sciences – 30 hours.

Courses must be taught within the college/faculty of engineering (unless specifically taught by other faculty and the course substantially meets the standards as required by engineering faculty), have their roots in mathematics and basic sciences, and carry knowledge further toward creative application of engineering principles. Approved engineering courses include, but are not limited to, mechanics, thermodynamics, heat transfer electrical and electronic circuits, material science, transport phenomena engineering economics, and computer science (other than computer programming skills).

iv) Engineering Design – 15 hours.

Coursework involves the conversion of resources to predetermined objectives. Courses must stress the establishment of objectives and criteria, synthesis, analysis, construction, testing, and evaluation to develop student creativity through open-ended problems and consideration of alternative solutions. The inclusion of realistic constraints, such as economic factors, safety, aesthetics, ethics, and social impact is appropriate. Examples of these subjects include design of: circuits, machines, power networks, process equipment and systems, and water treatment.

v) Humanities/Social Sciences – 15 hours.

Coursework includes subjects in philosophy, history, literature, fine arts, religion, sociology, psychology, political science, economics, and foreign language (other than student's native language). Non-traditional courses may include social responsibility and professional ethics. Subjects such as accounting and management may only satisfy engineering electives and cannot be used to fulfill this course objective.

C) Laboratory experience is essential to an engineering education at both theoretical and practical levels and shall be part of the basic sciences requirement.

D) Computer-based experience shall be included in the program of each student. The program shall include technical computations, problem solving, data acquisition and usage, process control and computer-assisted design. The student shall have access to computational facilities in order to integrate these techniques into the program.

E) The program shall require that the student demonstrate competency in both written and oral communication. Curriculum will include composition courses exploring fundamentals of expository writing.

F) An understanding of ethical, social, economic and safety considerations shall be included in the engineering program.

G) For those institutions that elect to prepare a student to enter the profession at the advanced level, the curriculum shall satisfy the criteria set forth in this Section at the basic level, and shall include at least one year of additional study. That year shall include at least ⅔ of a year of advanced mathematics, basic sciences, engineering sciences and engineering design. Of this component, at least ⅓ of a year shall be devoted to engineering design. The program shall be designed toward a meaningful individual course of study and include thesis, research and/or special projects.

4. Facilities

A) The laboratory facilities shall reflect the requirements of the offered educational program. The laboratory should provide for individual project work by the students and the faculty. The facilities shall be equipped with instruments and scientific equipment of a kind and quality to ensure the effective functioning of the laboratory.

B) The libraries in support of the engineering program shall be both technical and nontechnical, to include books, journals and other reference material for collateral reading in connection with the instructional and research programs and professional work. The library collection shall reflect the existence of an active acquisition policy; this policy shall include specific acquisitions on the request and recommendation of the faculty of the engineering program. There shall be computer-accessible information centers and inter-library loan services for both books and journals. The library collections, whether centralized or decentralized, shall be readily available for use with the assistance of trained library staff, or through an open-stack arrangement, or both.

C) There shall be computer facilities accessible to the engineering students and faculty.

5. The institution shall maintain permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

b) In determining whether a baccalaureate degree program should be approved, the Division shall take into consideration but not be bound by accreditation by the Accreditation Board for Engineering and Technology (ABET).

c) The Division, upon the recommendation of the Board, has determined that baccalaureate degree engineering programs accredited by the Engineering Accreditation Commission (EAC) of ABET meet the minimum criteria set forth in subsection (a) for an approved engineering program and are, therefore, approved, subject to review.

1. The Division, upon the recommendation of the Board, has determined that the signed Mutual Recognition Program agreement between ABET and the Canadian Engineering Accrediting Board (CEAB) of the Canadian Council of Professional Engineers (CCPE) meets the minimum criteria as equivalent to the EAC/ABET accredited programs and is, therefore, approved, subject to review.

2. The Division, upon the recommendation of the Board, does not recognize ABET "substantially equivalent" programs as meeting the minimum criteria set forth in subsection (a) for an approved engineering program and are, therefore, not approved.

d) The Division, upon the recommendation of the Board, has withdrawn program approval of the following programs accredited by the Engineering Accreditation Commission of ABET. Subsequent to notification, the Board reviewed the programs and determined that they do not meet the requirements of this Section and are, therefore, no longer approved. An applicant graduating from any of the following programs will have the applicant's transcript reviewed on a case-by-case basis to determine if the applicant meets Illinois requirements:

1. Purdue University − Geomatic Engineering

2. California State, Fresno − Civil and Geomatic Engineering and Construction, Major in Geomatics

3. Ohio State − Geomatic Engineering

4. New Mexico State − Surveying Engineering

5. Ferris State University − Surveying Engineering

6. University of Maine − Surveying Engineering Technology

e) Withdrawal of Program Approval

1. The following are grounds for withdrawal of approval of an engineering program or a program leading to a degree in basic engineering.

A) Non-compliance with any provisions of the Professional Engineering Practice Act of 1989 [225 ILCS 325] ("Act");

B) Non-compliance with any provision of this Part;

C) Fraud or dishonesty in furnishing documentation for evaluation of the program; or

D) Failure to continue to meet the criteria of an approved program as set out in this Section.

2. If the Board has reason to believe there has been any fraud or dishonesty in the furnishing of any documentation for the evaluation of a program on the part of any licensee, it shall refer such matter to appropriate Division personnel for any disciplinary action which might be appropriate under the Act.

3. A program whose approval is being reconsidered by the Division shall be given 15 days written notice prior to any recommendation by the Board and may either submit written comments or request a hearing before the Board.

f) Evaluation of Newly Submitted Programs

1. An educational institution with a baccalaureate degree program that seeks Division approval shall be forwarded to the Division documentation concerning the criteria in this Section.

2. Once the Division has received the documentation or after 6 months have elapsed from the date of application, whichever is later, the Board will evaluate the program based on all documentation received from the school and any additional information the Division has received that will enable the Board to evaluate the program based on the criteria specified in this Section.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1380 The Professional Engineering Practice Act of 1989

68 Ill. Adm. Code 1380.220 Definition of a Non-Approved Program

a) A non-approved program shall be defined as a baccalaureate degree which was gained from an educational institution legally recognized by the jurisdiction in which it is located to confer a baccalaureate degree of at least four years in length, and which meets the education requirements specified in the National Council of Examiners for Engineering and Surveying (NCEES) 2019 Engineering Education Standard.

1. Applicants applying under this Section shall have their education evaluated at their expense by NCEES to verify that the baccalaureate degree meets the education requirements specified in subsection (a).

2. The required evaluation forms may be obtained at NCEES Engineering and Surveying Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607.

b) Educational courses taken to satisfy the NCEES Engineering Education Standard requirements may be completed prior to, concurrent with, or subsequent to receiving the baccalaureate degree.

c) The Division, upon the recommendation of the Board, has determined that an applicant who has gained a baccalaureate degree accredited by the Engineering Technology Accreditation Commission (ETAC) of ABET, and that has the NCEES 2019 Engineering Education Standard is eligible to apply under this Section. However, engineering technology courses shall not be accepted toward meeting the educational requirements in accordance with this Section and the prescribed education requirements of the NCEES 2019 Engineering Education Standard.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.230 Approved Experience

a) Each application shall be reviewed by the Board to determine whether the applicant has shown evidence that the professional (non-structural) engineering experience meets the requirements for licensure as described in this Section. All experience shall have been acquired after conferral of the baccalaureate degree except as provided in subsections (a)(1), (a)(4), and (a)(5).

1. Credit for one year of experience shall be given for completion of graduate study resulting in a master's degree in engineering from a U.S. university, including as part of a combined or dual-degree or co-terminal program where the baccalaureate degree requirements are being met simultaneously with the master's degree requirements.

2. Credit for two years of experience shall be given for completion of graduate study resulting in a doctoral degree in engineering from a U.S. university.

3. The maximum credit for graduate study shall be 2 years.

4. Credit for one year of experience shall be given for a graduate of a university certified cooperative program.

A) An internship shall not qualify for co-op credit.

B) The co-op program shall consist of supervised industrial or field training to last at least one academic year and alternate with semesters of full-time academic education.

C) Applicants claiming credit for participation shall submit an official transcript reflecting university credit for completion of the co-op program.

D) All experience must be verified, on forms provided by the Division, by the supervising engineer who is licensed as a professional engineer.

5. Credit for professional engineering experience earned prior to conferral of a baccalaureate degree shall be given if the employment is full-time and if the applicant takes eight or more years to earn the degree as a part-time student, as provided for in Section (10)(b) of the Act [225 ILCS 325/10(b)].

6. All experience shall be gained under the supervision of a licensed professional engineer or a person legally practicing professional engineering pursuant to Section 3 of the Act [225 ILCS 325/3] who verifies the experience during which the applicant was doing work at a professional level, and the manner in which the work prepares the applicant for licensure as a professional engineer.

7. Credit for all necessary experience shall only be given for actual experience in the practice of professional engineering. Acceptable experience shall be within the definition of the practice as set forth in Section 4(o) of the Act [225 ILCS 325/4(o)] and shall require the application of technical knowledge and professional engineering principles.

8. The required engineering experience shall require the applicant to demonstrate progressive growth in quality, responsibility, and capability of making independent technical decisions, and be held accountable for the performance of the applicant's duties.

9. Engineering experience that is structural in nature shall not be accepted for the professional engineer license as it is outside the scope of practice as set forth in Section 4(o) of the Act [225 ILCS 325/4(o)].

10. A maximum of three years of experience may be given for full-time teaching of upper division junior/senior courses or graduate courses in an approved engineering program as defined in Section 1380.210. An academic year of full-time instruction shall be considered equivalent to one year of experience as required for licensure. Instruction may not be done concurrently while enrolled as a student in an approved engineering program at any level. Instruction must be documented and certified via affidavit by the department chair or dean of the engineering program.

11. All experience must be verified and submitted on forms provided by the Division or as part of the National Council of Examiners for Engineering and Surveying ("NCEES") Record ("NCEES Record").

12. Experience gained outside of the U.S. may be accepted and shall be accompanied by certified documents detailing the requirements to legally practice professional engineering in the country and proof that the supervisor met those requirements at the time of supervision.

A) The applicant, at their expense and if necessary, is responsible for providing translation of documents into English for review by the Board.

B) A maximum of two years of experience gained in this manner shall be awarded, unless the experience is part of a recognized NCEES Mutual Recognition Agreement ("NCEES MRA"), as specified in Section 1380.280 of this Part.

b) A post-graduate degree used to satisfy the educational requirements under Section 1380.220 shall not be eligible for use as experience credit.

c) Experience Requirements

1. To be enrolled as an Engineer Intern, no experience is required.

2. To be licensed as a Professional Engineer, 4 years of acceptable experience is required.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1380 The Professional Engineering Practice Act of 1989

68 Ill. Adm. Code 1380.240 Application for Fundamentals of Engineering Examination (repealed)

History

• Source: Repealed at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.242 Application for Enrollment as an Engineer Intern by Acceptance of Examination

a) An applicant who is in the senior year of an approved engineering baccalaureate degree program as set forth in Section 1380.210, including as part of a combined or dual-degree or co-terminal program where the baccalaureate degree requirements are being met simultaneously with the master's degree requirements, shall sit for the Fundamentals of Engineering exam (Part I) and then submit the application provided by the Division, required fee as specified in Section 1380.275, certification of passage of Part I, and an official transcript showing conferral of the degree within 12 months after sitting for the exam.

b) An applicant who is a graduate of an approved engineering baccalaureate degree program as set forth in Section 1380.210, shall sit for the Fundamentals of Engineering exam (Part I) and then submit the application provided by the Division, required fee as specified in Section 1380.275, certification of passage of Part I, and an official transcript showing conferral of the degree.

c) An applicant who is a graduate of a non-approved baccalaureate degree as set forth in Section 1380.220, shall sit for the Fundamentals of Engineering exam (Part I) and then submit the application provided by the Division, required fee as specified in Section 1380.275, certification of passage of Part I, and an official NCEES Credential Evaluation as specified in Section 1380.220(a)(1).

1. Applicants desiring to use post-graduate degrees as experience credit as specified in Section 1380.230 must submit an official conferred transcript for review and acceptance.

2. Applicants claiming credit for participation in a cooperative program, as described in Section 1380.230(a)(4), must submit certification of participation with a brief description of the program, from the university and verification of supervision.

d) Applicants will be approved enrollment as an engineer intern upon receipt of the application and all supporting documentation in complete order.

e) Applicants will be deferred enrollment as an engineer intern if:

1. Persons with degrees from an approved engineering program who did not have the baccalaureate degree conferred within 12 months after passage of the Fundamentals of Engineering exam (Part I) shall be deferred enrollment as an Engineer Intern until their education meets the requirements of this Section.

2. Persons with degrees from a non-approved program whose NCEES Credentials Evaluation does not meet the NCEES Engineering Education Standard, based on the criteria specified in Section 1380.220, shall be deferred enrollment as an Illinois engineer intern until their education meets the requirements of this Section.

f) If an applicant fails to submit all required items for enrollment under the Act within three years after filing an application, the application shall expire and be denied. The applicant may, however, make a new application for enrollment accompanied by the required fee, and furnish proof of meeting the qualifications in effect at the time of new application. (See Section 8 of the Act.)

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1380 The Professional Engineering Practice Act of 1989

68 Ill. Adm. Code 1380.245 Application for the Principles and Practice of Engineering Exam (part Ii) (repealed)

History

• Source: Repealed at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.250 Application for Licensure as a Professional Engineer by Acceptance of Examination

a) A license applicant shall have satisfied the education requirement as specified in Section 1380.210 or Section 1380.220, acquired the experience required by Section 1380.230 and passed the Fundamentals of Engineering (Part I) and the Principles and Practice of Engineering (Part II) examinations in compliance with Section 1380.260 prior to applying to the Division.

b) A license applicant shall satisfy one of the following when applying:

1. Applicant Enrolled as an Illinois Engineer Intern.

An applicant who is enrolled with the Division as an Illinois engineer intern shall file an application on forms provided by the Division and shall include, in addition the requirements of Section 8 of the Act [225 ILCS 325/8], the required fee specified in Section 1380.275 and the following:

A) An official copy of the applicant's Illinois engineer intern certificate indicating prior Board approval of the baccalaureate degree and passage of Part I of the required examinations.

B) Official certification for successful passage of Part II of the examination requirement as specified in Section 1380.260.

C) Experience verification forms completed by the supervisor, indicating the required experience earned as specified in Section 1380.230.

i) Applicants desiring to use post-graduate degrees as experience credit as specified in Section 1380.230 must submit an official conferred transcript for review and acceptance.

ii) Applicants claiming credit for participation in a cooperative program, as described in Section 1380.230(a)(4), must submit certification of participation with a brief description of the program, from the university and verification of supervision.

D) In lieu of the documentation specified in subsection (b)(1)(A), (B), and (C), an applicant may submit a current NCEES Record.

2. Applicant Not Enrolled as an Illinois Engineer Intern.

An applicant not enrolled as an Illinois engineer intern shall file an application on forms provided by the Division and shall include, in addition to the requirements of Section 8 of the Act [225 ILCS 325/8], the required fee specified in Section 1380.275 and the following:

A) An official transcript showing conferral date for a degree from an approved engineering program as specified in Section 1380.210, or an official NCEES Credential Evaluation for a degree from a non-approved program verifying the degree meets the requirements specified in Section 1380.220(a).

B) Certification of successful passage of Part I and Part II of the examination requirements as specified in Section 1380.260.

C) Experience verification forms completed by the supervisor, indicating the required experience earned as specified in Section 1380.230.

i) Applicants desiring to use post-graduate degrees as experience credit as specified in Section 1380.230 must submit an official conferred transcript for review and acceptance.

ii) Applicants claiming credit for participation in a cooperative program, as described in Section 1380.230(a)(4), must submit certification of participation with a brief description of the program, from the university and verification of supervision.

D) In lieu of the documentation specified in subsection (b)(2)(A), (B), and (C), an applicant may submit a current NCEES Record.

c) Certification attesting the applicant has read and understands the Act and this Part.

d) Upon receipt of the application and all supporting documentation in complete order, the applicant's file will be reviewed by the Division for evaluation of the required experience as specified in Section 1380.230. Upon submitting an application with proof of satisfying the education requirements under Section 1380.210 or Section 1380.220, proof of passing both examinations, and acceptable experience, the applicant shall be granted a license to practice professional engineering in this State.

e) Any applicant whose experience is reviewed and not approved by the Board, based on the criteria specified in Section 1380.230, shall be deferred licensure as a professional engineer until the experience meets the requirements under Section 1380.230.

f) If an applicant fails to submit all required items for licensure under the Act within three years after filing an application, the application shall expire and be denied. The applicant may, submit a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application. (See Section 8 of the Act.)

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

68 Ill. Adm. Code 1380.260 Examination

a) Examinations for licensure are administered in a computer-based format. Applicants may attempt a particular NCEES exam one time per testing window and no more than three times in a 12-month approval period, which begins with the examinee's first attempt. Applicants must apply and register directly with the exam administrator to sit for the examinations and then apply to the Division upon successful passage.

b) The examination for licensure as a professional engineer shall be divided into two Parts. If an applicant wishes only to be enrolled as an engineer intern, and if the applicant otherwise qualifies under Section 1380.242, the applicant shall be required to take only Part I of the examination.

1. Part I – Fundamentals of Engineering ("FE") Examination shall consist of problems or other examining techniques designed to evaluate the applicant's knowledge of the basic and engineering sciences and related subjects normally considered as the fundamentals of an engineering education.

2. Part II – Principles and Practice of Engineering ("PE") Examination shall consist of problems or other examining techniques relating to designs in or to the practice of professional engineering as described in Section 4(o) of the Act [225 ILCS 325/4(o)].

A) The NCEES Structural I, Structural II, PE Structural (multi-day) and 16-hour Structural examinations shall not satisfy the examination requirement for Part II.

B) The NCEES civil/structural discipline has historically been accepted; however, because the exam was changed in April 2024 to solely consist of structural content and specifications, the exam is outside the scope of practice for a professional engineer and is no longer accepted.

c) The examination administered by the Division shall be provided by the NCEES. The specific examination content, length and method of administration shall be as determined by periodic evaluations of the test specifications by NCEES.

d) Part I of the examination will be waived for an applicant who is licensed as a structural engineer and who received such license by passing the fundamentals of engineering examination administered under the Structural Engineering Practice Act of 1989 [225 ILCS 340].

e) The scoring of the examinations and determination of scores shall be as approved by NCEES. Separate scores shall be given for Part I and Part II and shall be reported as pass or fail.

f) An applicant who sits for both Parts I and II of the examination and passes only Part I shall be eligible to be enrolled as an Engineer Intern.

g) Retake of Examination

1. Applicants shall be required to retake only the Parts on which a passing score was not achieved.

2. If an applicant neglects, fails without an approved excuse, or refuses to take the next available examination offered for licensure under this Act within three years after filing the application, the fee paid by the applicant shall be forfeited and the application denied. If an applicant fails to pass an examination for licensure under this Act within three years after filing the application, the application shall be denied. However, such applicant may thereafter make a new application for examination, accompanied by the required fee (Section 9(b) of the Act [225 ILCS 325/9(b)]). New applications shall include proof of meeting the qualifications for examination in effect at the time of the new application except as provided in subsection (h).

h) Successful scores of previously passed Parts of the examination shall be accepted for the purposes of licensure provided the applicant has met all other requirements for licensure as outlined in the Act. For such purposes, the most recent score on a Part shall be the score of record. In no circumstances shall the Division accept a previous passing score on a Part for an applicant whose score of record is a failing score.

i) Post-administration access to, or review of, examination materials by an examinee or an examinee's representative shall be in accordance with the NCEES exam policy.

j) If an applicant has failed an examination, the examination may not be waived for licensure.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1380 The Professional Engineering Practice Act of 1989

68 Ill. Adm. Code 1380.270 Restoration

a) A licensee seeking restoration of a license which has expired for 5 years or less shall have the license restored upon application on forms provided by the Division and payment of the required fee specified in Section 1380.275 and proof of 30 professional development hours in accordance with Section 1380.325 completed within 2 years prior to the date of submitting the restoration application.

b) A licensee seeking restoration of a license which has been placed on inactive status for 5 years or less shall have the license restored upon application to the Division and payment of the current renewal fee specified in Section 1380.275 and proof of successful completion of 30 professional development hours in accordance with Section 1380.325 completed within 2 years prior to the date of submitting the restoration application.

c) A licensee seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application on forms provided by the Division for review by the Division, together with proof of successful completion of 30 professional development hours in accordance with Section 1380.325 completed within 2 years prior to the date of submitting the restoration application and the fee required by Section 1380.275. The licensee shall also submit one of the following:

1. Sworn evidence of active practice in another jurisdiction for at least the last 2 years. Such evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of said active practice;

2. An affidavit attesting to military service as provided in Section 17 of the Act;

3. Proof of passage of Part II of the examination provided in Section 1380.260 within the 5 years preceding restoration; or

4. Other evidence of continued competence in professional engineering. Evidence shall be satisfied by one of the following:

A) Employment in a responsible capacity by a licensed professional engineer as determined by the Board;

B) Lawfully practicing professional engineering as an employee of a governmental agency; or

C) Teaching professional engineering courses in a college or university or educational programs.

d) Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 17 of the Act will be required to pay only the current renewal fee.

e) A certification attesting the applicant has read and understands the Act and this Part.

f) When the accuracy of any submitted documentation, of the relevance or sufficiency of the course work or experience is questioned by the Division because of discrepancies or conflicts in information, information needing further clarification, and/or missing information, the licensee seeking restoration of his or her license will be requested to:

1. provide such information as may be necessary and/or

2. appear for an interview before the Board when the information available to the Board is insufficient to evaluate the individual's current competency to practice under the Act. Upon recommendation of the Board, and approval by the Director of the Department of Financial and Professional Regulation-Division of Professional Regulation (Director), an applicant shall have his or her license restored or will be notified of the reason for the denial of such application for restoration.

g) If an applicant is denied restoration under subsection (c)(4), the applicant's license may be restored by taking and passing Part II of the examination as provided in Section 1380.260.

h) A professional design firm seeking restoration of a registration that has expired for any length of time shall have the license restored upon payment of the restoration fee as specified in Section 1380.275 plus any lapsed renewal fee required by Section 1380.275 and submitting proof of the following:

1. Certificate of Good Standing from the Illinois Secretary of State or a copy of the letter or certificate received from the county clerk where an assumed name has been filed.

2. Proof that the managing agent-in-charge is still a full-time employee or a resolution appointing a new managing agent.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.275 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as a professional engineer is $175.

2. The application fee for a certificate of enrollment as an engineer intern is $55.

3. The application fee for a certificate of registration as a professional design firm is $150.

4. In addition, applicants for an examination shall be required to pay to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the designated testing service, shall result in the forfeiture of the examination fee.

b) Renewal Fees

1. The fee for the biennial renewal of a license is $125.

2. The fee for renewal of a certificate of registration as a professional design firm is $150 for the renewal period (See Section 1380.310(c)).

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $425 for a professional engineer license and $500 for a professional design firm.

2. There is no charge for the issuance of a replacement license for a license that has been lost or destroyed, or for issuance of a license with a change of name or address. Licenses are available electronically through the Department's website.

3. The fee for a certification of a licensee's record for any purpose is $25.

4. There is no fee to change the name of a professional design firm within the same business entity type; however, there is a $25 fee to change the business entity type of an existing professional design firm..

5. The fee to change the services offered by the professional design firm is $25.

6. The fee to change the name of a managing agent for a professional design firm is $25.

d) Additional Fees

1. Any person who delivers a check or other payment to the Department that is returned to the Department unpaid by the financial institution upon which it is drawn shall pay to the Department, in addition to the amount already owed to the Department, a fee of $50.

2. If the check or other payment was for a renewal or issuance fee and that person practices without paying the renewal fee or issuance fee and the fee for a returned check, an additional fee of $100 shall be imposed.

3. The fees imposed by this Section are in addition to any other discipline provided under the Act for unlicensed practice or practice on a nonrenewed license. The Division will notify the person that fees shall be paid to the Department by certified check or money order within 30 calendar days after the notification.

4. If, after the expiration of 30 days from the date of the notification, the person has failed to submit the necessary remittance, the Division will automatically terminate the license or certificate or deny the application without hearing.

5. If, after termination or denial, the person seeks a license or certificate, he or she shall apply to the Division for restoration or issuance of the license or certificate and pay all fees due to the Department.

6. The Director may waive the fees due under this Section in individual cases when the Director finds that the fees would be unreasonable or unnecessarily burdensome.

e) All of the fees collected pursuant to this Section shall be deposited in the Design Professionals Administration and Investigation Fund. (See Section 20(c) of the Act [225 ILCS 325/20(c)].)

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

68 Ill. Adm. Code 1380.280 Endorsement

a) Any person who holds an unexpired certificate of registration or license to practice professional engineering, issued under the laws of another state or territory of the United States, the District of Columbia, or a foreign country, and who desires to become licensed by endorsement shall file an application, on forms provided by the Division, together with:

1. The required fee specified in Section 1380.275.

2. Proof of meeting requirements substantially equivalent to those in force in this State at the time of original or subsequent licensure by examination in the other state, territory, or foreign country, including official conferred college transcripts, and verification of experience.

3. A certification by the jurisdiction of original licensure and certification of current licensure from the state, territory, or foreign country of predominant active practice including the following:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) The basis of licensure and a description of all licensure examinations by which the applicant was licensed in that jurisdiction and the date of successful passage of the examinations;

C) Whether the records of the licensing authority contain any record of disciplinary action taken or pending against the applicant; and

D) Documentation submitted from a foreign country shall be translated into English, at applicant's own expense, for review by the Division.

4. If the qualifications of the applicant at the time of original licensure did not meet the requirements in effect at that time for licensure in this State, the applicant may submit additional certifications from other jurisdictions to indicate meeting the qualifications in effect in this State at the time of any later licensure.

5. In lieu of the documentation specified in subsections (a)(2), (3) and (9), an applicant may submit a current NCEES Record.

6. Non-approved program applicants shall, at their expense, submit an NCEES Credential Evaluation that verifies their degree meets the requirements specified in Section 1380.220(a). Applicants shall obtain the forms from NCEES Engineering and Surveying Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607.

7. Certification attesting the applicant has read and understands the Act and this Part.

8. The Division may, in individual cases, upon the recommendation of the Board, waive a portion of the examination requirements after consideration of the quality of an applicant's engineering education and experience, including whether the applicant has graduated from an approved engineering program, has achieved special honors or awards, has had articles published in professional journals, has participated in the writing of textbooks relating to professional engineering, and any other attribute which the Board accepts as evidence that such applicant has outstanding and proven ability in the practice of professional engineering.

9. Acceptable Experience: Applicants for endorsement having obtained at least four years of acceptable experience after receipt of the baccalaureate degree, in accordance with Section 1380.230, shall be considered in compliance with the experience requirements of Section 10 of the Act [225 ILCS 325/10].

10. Appendix A of this Part outlines the licensure requirements in force during various periods and should be consulted by the applicant to aid in the evaluation of the applicant's qualifications.

b) The Division, upon recommendation of the Board, may require an applicant applying from a foreign jurisdiction to take and pass the required examinations specified in Section 1380.260 of this Part, to verify the applicant has satisfactory knowledge and competence using U.S. building, energy conservation, fire, plumbing, mechanical, and accessibility codes and applicable design standards to safeguard the public health, safety, and welfare. (See Section 8 of the Act.)

c) The Division, upon recommendation of the Board, will accept an applicant applying under this Section through the NCEES United Kingdom Mutual Recognition Agreement ("MRA"), provided the applicant submits an NCEES Record that meets the requirements of the agreed upon NCEES MRA standards by NCEES and the UK Engineering Council, subject to review, to verify the examination and experience are non-structural in nature and complies with Section 4(o) of the Act [225 ILCS 325/4(o)].

d) The Division shall examine each endorsement application to determine whether the qualifications of the applicant at the time of original or subsequent licensure were substantially equivalent to the requirements then in force in this State.

e) When the accuracy of any submitted documentation listed in subsection (a), or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board, because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking a license will be requested to provide such information as may be necessary and appear for an oral interview before the Board.

f) The Division shall either issue a license by endorsement to the applicant or notify such applicant of the reasons for the denial of the application. An applicant not qualified for licensure by endorsement will automatically be reviewed under the provisions of Section 1380.250.

g) If an applicant fails to submit all required items for licensure under the Act within three years after filing an application, the application shall expire and be denied. The applicant may submit a new application for licensure accompanied by the required fee and furnish proof of meeting the qualifications for licensure in effect at the time of new application. (See Section 8 of the Act.)

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

68 Ill. Adm. Code 1380.285 Inactive Status

a) Any licensed professional engineer who notifies the Division on forms prescribed by the Division may elect to place their license on inactive status and shall be excused from the payment of renewal fees until the licensee notifies the Division of a desire to resume active status.

b) Any licensee seeking restoration from inactive status shall do so in accordance with Section 1380.270 of this Part.

c) Any licensed professional engineer or professional design firm whose license is on inactive status shall not practice engineering in the State of Illinois. Practicing or offering to practice on a license which is on inactive status shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 24 of the Act [225 ILCS 325/24].

d) Any professional design firm that notifies the Division on forms prescribed by the Division and submits evidence that the firm will no longer be offering services in Illinois, may elect to place the firm license on inactive status and shall be excused from the payment of renewal fees until the licensee notifies the Division of the desire to resume active status.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

68 Ill. Adm. Code 1380.290 Professional Design Firm

a) Persons who desire to practice professional engineering in this State in the form of a corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship (if the sole proprietorship is conducting or transacting business under an assumed name in accordance with the Assumed Business Name Act [805 ILCS 405]) shall, in accordance with Section 23 of the Act [225 ILCS 325/23], file an application with the Division, on forms provided by the Division, together with the following:

1. For Corporations or Professional Service Corporations

Professional design firms shall meet the registration requirements of Section 12 of the Professional Service Corporation Act [805 ILCS 10/12].

A) The name of the corporation and its registered address, the names of all members of the board of directors, and the name of the state and license number for each director who is a licensed design professional.

B) A signed and dated resolution of the board of directors of the corporation designating a regular full-time employee of the corporation who is an Illinois licensed professional engineer as the managing agent in charge of the professional engineering activities in Illinois. The Illinois license number of the professional engineer designated as the managing agent shall also be included in the resolution.

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the corporation, if applicable.

D) A certificate of good standing from the Illinois Secretary of State.

2. For Partnerships:

A) General

i) A copy of the signed and dated partnership agreement authorizing the partnership to provide professional engineering services. The agreement shall contain the name of the partnership, its business address and the names of all general partners. The name of the state in which each partner is licensed as a design professional and the license number shall be listed on the application.

ii) A signed and dated resolution of the general partners designating a regular full-time employee of the partnership who is an Illinois licensed professional engineer as the managing agent in charge of the professional engineering activities in this State. The license number of the managing agent shall be included in the resolution.

iii) A copy of the partnership documentation bearing the stamp of the county clerk where the partnership has been filed.

iv) A letter or certificate from the county clerk where an assumed name has been filed, if applicable.

B) Limited Partnership

i) A copy of the signed and dated partnership agreement indicating that it has been filed with the Illinois Secretary of State authorizing the partnership to provide professional engineering services. The partnership agreement shall contain the name of the partnership, its business address and the name of each partner. The name of the state in which each partner is licensed as a design professional and the license number shall be listed on the application.

ii) A signed and dated resolution adopted by the partners designating a full-time employee of the partnership who is an Illinois licensed professional engineer in this State as the managing agent in charge of the professional engineering services. The Illinois license number of the professional engineer designated as the managing agent shall also be included in the resolution.

iii) A certificate of good standing from the Illinois Secretary of State.

iv) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the limited partnership, if applicable.

3. For Professional Limited Liability Companies or Limited Liability Partnerships:

A) An application containing the name of the professional limited liability company or limited liability partnership, the business address and the members/partners of the company/partnership, the name of the state in which each is licensed and the license number of each design professional who is a member or partner.

B) A signed and dated resolution of the members or partners designating a regular full-time employee of the company who is an Illinois licensed professional engineer as the managing agent in charge of the professional engineering activities in this State. The license number of the managing agent shall also be included in the resolution.

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the professional limited liability company or limited liability partnership, if applicable.

D) A certificate of good standing from the Illinois Secretary of State.

4. For Sole Proprietorships with an Assumed Name:

A) An application containing the name of the sole proprietorship and its business address and the name and Illinois license number of the professional engineer who owns and operates the business.

B) A letter or certificate from the county clerk where an assumed name has been filed.

5. A list of all Illinois office locations at which the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship provides professional engineering services.

6. The fee required in Section 1380.275.

b) A professional design firm may designate more than one managing agent in charge of professional engineering activities. However, a licensee designated as the managing agent may not serve as a managing agent for more than one corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, or partnership doing business in Illinois.

c) Upon receipt of the documents listed in subsection (a) and review of the application, the Division shall issue a registration authorizing the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to engage in the practice of professional engineering or notify the applicant of the reason for the denial of the application.

d) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship shall be responsible for notifying the Division within 30 days after any changes in:

1. The membership of the board of directors, members/partners of the professional limited liability company, limited liability partnership, limited partnership, partnership, or the general partners;

2. The licensure status of the general partners, members/partners of the professional limited liability company, limited liability partnership, limited partnership, partnership, or any of the licensed design professional members of the board of directors; and

3. An assumed name.

e) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship shall be responsible for notifying the Division, in writing, by certified mail, within 10 business days after the termination or change in status of the managing agent. Thereafter, the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship, if it has so informed the Division, has 30 days to notify the Division of the name and license number of the professional engineer licensed in Illinois who is the newly designated managing agent.

f) Any failure to notify the Division as required in subsections (d) and (e) or any failure of the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to continue to comply with the requirements of Section 23 of the Act [225 ILCS 325/23] will subject the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to the loss of its registration to practice professional engineering in Illinois.

g) Sole Proprietorships. A sole proprietorship who is conducting or transacting business under the real name of the professional engineer who has an active Illinois license will not be required to file an application and comply with the requirements set forth in this Section. However, if the sole proprietorship operates under an assumed name, the sole proprietor shall file an application in accordance with subsection (a)(4). Any sole proprietorship not owned and operated by an Illinois licensed professional engineer shall be prohibited from offering professional engineering services to the public.

h) In addition to the seal requirements in Section 14 of the Act [225 ILCS 325/14], all documents or technical submissions prepared by the design firm shall contain the design firm registration number issued by the Division.

i) There is no fee to change the name of a professional design firm within the same business entity type; however, a change of business entity type requires a fee as defined in Section 1380.275.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1380 The Professional Engineering Practice Act of 1989

68 Ill. Adm. Code 1380.295 Seal and Signature Requirements

a) Every licensed professional engineer shall have a reproducible seal or facsimile, which may be computer generated, the impression of which shall contain the name, the license number of the professional engineer, and the words "Licensed Professional Engineer of Illinois". A professional engineer shall seal all documents prepared by or under the direct supervision and control of the professional engineer. Any document that bears the name of a professional design firm, rather than bearing the name of the individual licensed professional engineer responsible for the document, shall be deemed an invalid seal. The individual licensee's written signature and date of signing, along with the date of license expiration, shall be placed adjacent to the seal. The licensee may provide, at his or her sole discretion, an original signature in the licensee's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer.

b) All technical submissions issued by a professional engineering firm, corporation, professional limited liability company, limited liability company or partnership are required to bear the corporate or assumed business name and design firm registration number, in addition to the seal requirements.

c) A suggested facsimile of the design and lettering of the seal is found in Section 1380.ILLUSTRATION A.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.296 Acts Constituting the Practice of Professional Engineering Pursuant to Section 4 of the Act

a) The term "technical submissions" is defined by the Board as including, but not limited to, documents submitted for approval to any authority having jurisdiction, and means designs, drawings and specifications that establish the standards of quality for materials, workmanship and equipment and the construction systems, studies and other technical reports prepared in the course of a design professional's practice.

b) Design/Build

The design/build project delivery process is a method whereby an entity signs a single contract to provide a combination of professional engineering and construction services.

c) The design/build entity will not be required to register as a professional design firm pursuant to Section 23 of the Act only if the services in the design/build project delivery process are provided by the entity in accordance with the following:

1. A professional engineer licensed or a professional design firm registered in Illinois independently contracts with the entity and participates substantially in all material aspects of the offering and providing of services relating to any bid process, contract negotiations, design, consultation, development, preparation and coordination of technical submissions, and verification of adherence to technical submissions and completion.

2. At the time of offering services, a written disclosure shall be given to the client by the entity identifying the licensed professional engineer who will be engaged by and is contractually responsible to the entity offering design/build project services.

3. The entity agrees that the licensed professional engineer will have direct supervision of the professional engineering work and the engineering services will not be terminated on the project without immediate replacement by another licensed professional engineer mutually agreed to by the client and the entity.

d) A design/build entity shall not offer to provide or provide professional engineering services, unless the design/build entity is an Illinois licensed professional engineer or professional design firm. Offering to provide professional engineering services shall include, but shall not necessarily be limited to, any tender of professional engineering services either independently or in combination with construction services by any sign, card, advertisement or other device that might indicate to the public that the entity is entitled to provide professional engineering services.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.300 Standards of Professional Conduct

To safeguard the health, safety, and welfare of the public and to maintain integrity and high standards of skill and practice of professional engineering, the following standards of professional conduct shall be binding on every licensee and on all Professional Design Firms authorized to offer or perform professional engineering services in Illinois.

a) Licensees' Obligation to the Public

1. Licensees shall be cognizant that their first and foremost responsibility is to safeguard the public health, safety and welfare when performing services for clients and employers.

2. Licensees shall sign and seal only those plans, surveys, and other documents that conform to accepted professional engineering standards and that safeguard the public health, safety, and welfare.

3. Licensees shall notify their employer or client and any other authority as may be appropriate when their professional judgment is overruled when the public health, safety, or welfare is endangered.

4. Licensees shall, to the best of their knowledge, include all relevant and pertinent information in an objective and truthful manner within all professional documents, statements, and testimony.

5. Licensees shall express a professional opinion publicly only when it is founded upon an adequate knowledge of the facts and a competent evaluation of the subject matter.

6. Licensees shall issue no statements, criticisms, or arguments on professional engineering matters that are inspired or paid for by interested parties, unless they explicitly identify the interested parties on whose behalf they are speaking and reveal any interest they have in the matters.

7. Licensees shall not partner, practice, or offer to practice with any person or firm that they know is engaged in fraudulent or dishonest business or professional practices.

8. Licensees who have knowledge or reason to believe that any person or firm has violated any rules or laws applying to the practice of professional engineering shall report it to the Division, may report it to appropriate legal authorities, and shall cooperate with the Division and those authorities as requested.

9. Licensees shall not knowingly provide false or incomplete information regarding an applicant in obtaining licensure.

10. Licensees shall comply with the licensing laws and rules governing the professional engineering profession in each of the jurisdictions in which they practice.

b) Licensees' Obligation to Employer and Clients

1. Licensees shall undertake assignments only when qualified by education or experience in the specific technical field of professional engineering involved.

2. Licensees shall not affix their signatures or seals to any plans, specifications, or other documents dealing with subject matter in which they lack competence, nor to any such plans, specifications, or other documents not prepared under their direct supervisory control.

A) In circumstances where a licensee in responsible charge of the work is unavailable to complete the work (e.g., death, incapacity, termination of employment, relocation), a successor licensee may take responsible charge by performing all professional services, including design criteria, recalculations, code research and compliance, and any other necessary and appropriate changes, in order to complete the project.

B) The successor licensee shall have control of and responsibility for the work product and the signed and sealed originals of all documents.

3. Licensees may accept assignments and assume responsibility for coordination of an assignment outside of their field of competence if each technical segment is signed and sealed by the licensee responsible for preparation of that technical segment.

4. Licensees shall not reveal facts, data, or information obtained in a professional capacity without the prior consent of the client, employer, or public body on which they serve except as authorized or required by the Act or this Part.

5. Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties in connection with work for employers or clients.

6. Licensees shall disclose to their employers or clients all known or potential conflicts of interest or other circumstances that could influence or appear to influence their judgment or the quality of their professional service or engagement.

7. Licensees shall not accept compensation, financial or otherwise, from more than one party for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to in writing by all interested parties.

8. Licensees shall not solicit or accept a professional contract from a governmental body on which a principal or officer of their organization serves as a member. Conversely, licensees serving as members, advisors, or employees of a government body or department, who are the principals or employees of a private entity, shall not participate in decisions with respect to professional services offered or provided by that entity concern to the governmental body that they serve.

9. Licensees shall not use confidential information received in the course of their assignments as a means of making personal profit without the consent of the party from whom the information was obtained.

c) Licensees' Obligation to Other Licensees

1. Licensees shall not falsify or permit misrepresentation of their, or their firm's professional qualifications. They shall not misrepresent or exaggerate their degree of responsibility in prior assignments nor the complexity of said assignments. Presentations incidental to the solicitation of employment or business shall not misrepresent pertinent facts concerning employers, employees, subconsultants, joint ventures, or past accomplishments.

2. Licensees shall not offer, give, solicit, or receive, either directly or indirectly, any commission, or gift, or other valuable consideration in order to secure work, and shall not make any political contribution with the intent to influence the award of a contract by public authority.

3. Licensees shall not injure or attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of other licensees, nor indiscriminately criticize other licensees' work.

4. Licensees shall make a reasonable effort to inform another licensee whose work is believed to contain a material discrepancy, error, or omission that may impact the public health, safety, or welfare, unless such reporting is legally prohibited.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1380 The Professional Engineering Practice Act of 1989

68 Ill. Adm. Code 1380.305 Professional Engineer Complaint Committee

a) The Professional Engineer Complaint Committee of the State Board of Professional Engineers authorized by Sections 7 and 26 of the Act shall be composed of 2 members the State Board of Professional Engineers, a Supervisor over Design Investigations and a Chief of Prosecutions over Design Prosecutions. The Director of Enforcement shall designate the Supervisor and Chief assigned to the Complaint Committee.

b) The Complaint Committee shall meet at least once every 2 months to exercise its functions and duties set forth in subsection (c). The Complaint Committee may meet concurrently with the Complaint Committees of the Architecture Licensing Board, Land Surveyors Examining Board and the Structural Engineering Board to discuss interrelated professional matters. The Complaint Committee shall make every effort to consider expeditiously and take prompt action on each case file.

c) The Complaint Committee shall have the following duties and functions:

1. To review investigative case files after an initial inquiry into the involved parties and their licensure status have been obtained. "Case file" means the allegation made against an involved party that resulted in a preliminary inquiry and other information being obtained in order to determine whether an investigation should be initiated or prosecution pursued. A "Formal Complaint" means the notice of allegations and charges or basis for licensure denial which begins the formal proceedings.

2. To refer the case file to the Supervisor over the Design Investigators for further action. The Complaint Committee shall give the Supervisor an indication as to the prosecutorial merit and relative severity of the allegations to aid in the prioritization of investigative activity.

3. To recommend that a case file be closed.

4. To recommend that an Administrative Warning Letter be issued and the case file closed.

5. To refer the case file to Prosecutions for review and action.

6. To report the actions of the Complaint Committee at each Board meeting and to present enforcement statistics such as the type of alleged violation.

d) In determining what action to take or whether to proceed with investigation and prosecution of a case file, the Complaint Committee shall consider the following factors, but not be limited to: the effect on the public's health, safety and welfare; the sufficiency of the evidence presented; prosecutorial merit; and sufficient cooperation from complaining parties.

e) At any time after referral to Prosecutions, the Division may enter into negotiations to resolve issues informally by way of a Consent Order. Factors to be considered in deciding whether to enter into settlement negotiations shall include, but not be limited to: the effect on the public's health, safety and welfare caused by the respondent's alleged conduct; sufficient investigation of the case; prosecutorial merit; relative severity of the respondent's alleged conduct; and past practices of the Division.

f) No file shall be closed nor Formal Complaint dismissed except upon recommendation of the Complaint Committee and/or approval by the State Board of Professional Engineers. Those case files that previously have been before the Board and are the subject of a Consent Order or Formal Order of the Director may be closed without further recommendation or approval of the State Board of Professional Engineers or the Complaint Committee.

g) Disqualification of a State Board of Professional Engineers member.

1. A Board member shall be recused from consideration of a case file or Formal Complaint when the Board member determines that a conflict of interest or prejudice would prevent that Board member from being fair and impartial.

2. Participation in the initial stages of the handling of a case file, including participation on the Complaint Committee and in informal conferences, shall not bar a Board member from future participation or decision making relating to that case file.

h) An informal conference is the procedure established by the Division that may be used for compliance review, fact finding, discussion of the issues, resolving case files, licensing issues or conflicts prior to initiating any Formal Complaint or formal hearing. An informal conference may only be conducted upon agreement of both parties. Informal conferences shall be conducted by a Division attorney and shall include a member or members of the Board. Board members shall be scheduled for informal conferences on a rotating basis.

History

• Source: Amended at 34 Ill. Reg. 5623, effective March 30, 2010

68 Ill. Adm. Code 1380.310 Renewals

a) Every license issued to an individual under the Act shall expire on November 30 of each odd numbered year. Beginning with the November 30, 2005 renewal and every renewal thereafter, a licensed professional engineer shall comply with the professional development hours specified in Section 1380.325. The holder of a license may renew such license for a two-year period during the month preceding the expiration date thereof by paying the fee required by Section 1380.275.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal notice from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew one's license.

c) Every license issued to a professional design firm under the Act shall expire on April 30 of each odd-numbered year. The holder of such license may renew that license for a 2-year period during the month preceding the expiration date thereof by paying the required fee. The holder shall certify that the firm still meets the requirements of the Act and is in good standing with Illinois Secretary of State (when applicable) and has an active managing agent-in-charge.

d) Practicing or offering to practice on a license which has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 24 of the Act.

e) It is the responsibility of each licensee to notify the Division of any discipline or conviction of or entry of a plea of guilty or nolo contendere to any crime that is a felony under the laws of the United States or any state or territory thereof, or that is a misdemeanor, an essential element of which is dishonesty, or any crime that is directly related to the practice of the profession of professional engineering since the last renewal.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.320 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.325 Professional Development

The professional development required as a condition for license renewal under the Act is set forth in this Section. All professional engineers shall meet these requirements.

a) Professional Development Hours Requirements

1. Beginning with the November 30, 2005 renewal and every renewal thereafter, in order to renew a license as a professional engineer, a licensee shall be required to complete 30 professional development hours (PDHs) relevant to the practice of professional engineering or be exempt from the professional development requirements as provided in subsection (j). Failure to comply with these requirements may result in non-renewal of the professional engineer's license or other disciplinary action, or both.

2. Beginning with the November 30, 2023 renewal and every renewal thereafter, the total professional development hours shall include:

A) A minimum of 1 hour of programs, courses or activities in the area of Illinois statutes and this Part that regulate professional engineers and professional engineering.

B) A minimum of 1 hour of programs, courses, or activities in the area of professional conduct and/or ethics.

3. Beginning with the November 30, 2021 renewal and every renewal thereafter, the total professional development hours shall include one hour of sexual harassment prevention training which shall meet the requirements of 68 Ill. Adm. Code 1130.400. A licensee completing a course on sexual harassment prevention developed or offered by the Illinois Department of Human Rights pursuant to the Illinois Human Rights Act [775 ILCS 5], the licensee's employer or an acceptable provider listed within this Section, may count that course toward the one hour requirement under this Section. (See Section 2105-15.5 of the Civil Administrative Code of Illinois[20 ILCS 2105/2105-15.5].)

4. A prerenewal period is the 24 months preceding November 30 of each odd-numbered year.

5. One professional development hour shall equal a minimum of 50 minutes of instruction or participation. If a program is taken that awards continuing education units (CEU) rather than professional development hours, one CEU equals 10 professional development hours of class in an approved continuing education course. A maximum of 12 PDHs may be earned within a 24-hour period, where a period begins at midnight.

6. Professional engineers licensed in Illinois but residing and practicing in other states shall comply with the professional development requirements set forth in this Section.

7. Professional development hours used to satisfy the professional development requirements of another jurisdiction may be applied to fulfill the professional development requirements of the State of Illinois if the hours are substantially equivalent.

8. A maximum of 15 qualifying PDHs gained within six months from the current renewal deadline and not used for the current renewal period may be carried over to the subsequent renewal period but shall not include the requirements for State statutes and this Part, professional conduct and/or ethics, or sexual harassment prevention training, which must be satisfied during each prerenewal period. PDHs used in this manner must be documented on the appropriate Department-issued form.

b) Professional Development Activities shall include, but not be limited to:

1. Successful completion of a college or university course in the area of professional engineering, related sciences and engineering ethics. One semester hour completed shall equal 15 PDHs and one quarter hour shall equal 10 PDHs;

2. Successful completion of professional engineering courses or programs in which professional development hours are earned;

3. Active participation and successful completion of professional engineering programs, seminars, tutorials, workshops, short courses, online or in-house courses. Credit will be given for self-study courses only if an examination has been completed by the licensee and graded by the sponsor;

4. Attending program presentations at related technical or professional meetings;

5. Teaching or instructing. Teaching or instructing a professional engineer course, seminar, lecture, presentation or workshop shall constitute 3 PDHs for each hour spent in the actual presentation. Teaching credit shall be valid for the initial presentation only. Teaching credit shall not apply to faculty teaching regularly scheduled curriculum courses at a college, university or other educational institution;

6. Authoring papers or articles that appear in nationally circulated journals or trade magazines or presented to a university, professional society or organization. 10 PDHs per paper or presentation, but not both, are allowed for this activity;

7. Receiving a patent within the renewal period. 10 PDHs may be earned per patent;

8. Active participation on a professional engineer board, committee or holding an office in a professional or technical society.

A) 2 PDHs will be awarded per committee membership or office held.

B) A maximum of 8 PDHs may be accepted per prerenewal period.

c) All professional development programs, activities or courses shall:

1. Contribute to the advancement, extension or enhancement of the professional skills and/or scientific knowledge of the licensee in practice of professional engineering;

2. Foster the enhancement of general or specialized practice and values of professional engineering, related sciences and engineering ethics;

3. Be developed and presented by persons with education and/or experience in the subject matter of the program; and

4. Specify the course objectives and course content.

d) Auditing or Restoration

1. It shall be the responsibility of a licensee to maintain a record of PDHs for 6 years that includes one of the following:

A) Documentation consisting of the name and address of the sponsor or provider, the number of PDHs attended in each program, the date and place of the program and a certificate of attendance, and a brief statement of the subject matter, printed program schedules, registration receipts or other proof of participation; or

B) Transcripts or records of professional development hours maintained by an acceptable provider as set forth in subsection (e); or

2. A log of activities by itself shall not be accepted as meeting the requirements of this subsection.

e) Acceptable providers for structured educational activities shall include, but not be limited to:

1. National Council of Examiners for Engineering and Surveying (NCEES);

2. National Society of Professional Engineers (NSPE);

3. Engineering Society of Illinois (ISE);

4. American Council of Engineering Companies of Illinois (ACEC-IL);

5. American Society of Civil Engineers (ASCE);

6. Colleges, universities or other educational institutions;

7. Technical or professional societies or organizations including manufacturers relating to professional engineering.

f) The Division shall not pre-approve any individual courses or programs.

g) PDHs that are structural in nature shall not be accepted unless licensee can substantiate how the course enhances their professional engineer license, since a professional engineer in Illinois cannot legally offer or perform structural services.

h) Certification of Compliance with PDH Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the professional development requirements set forth in this Section.

2. The Division may require additional evidence demonstrating compliance with the PDH requirements as set forth in subsection (d). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with PDH requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

i) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with PDH requirements, the Division shall restore the license upon payment of the required fee as provided in Section 1380.275.

j) Waiver of PDH Requirements. A licensee will be waived from the professional development requirements if one of the criteria in subsection (j)(1) through (3) occur. If a waiver is claimed, it is required that the renewal fee and any documentation needed to support the waiver be submitted.

1. A licensee shall not be required to report continuing education hours during the first biennial renewal period in which the licensee obtained initial licensure in Illinois, but shall be subject to the continuing education requirements for all subsequent biennial renewal periods.

2. A licensee who is on full-time active duty in the military service of the United States, or is a licensee who is called to temporary active duty in the military service or Armed Forces of the United States for a period of time exceeding 120 consecutive days during the renewal period, when that activity or location restricts participation in a professional development program.

3. A licensee who demonstrates to the satisfaction of the Division that meeting these requirements would be an undue hardship by reason of disability, illness, or other clearly mitigating circumstances shall submit supporting documentation.

A) The documentation shall be in the form of a sworn statement by the licensee, statement from a licensed healthcare provider, or medical record showing the disability, illness, or circumstance preventing the licensee's participation in the continuing education program during a substantial part of the renewal period.

B) If the Division finds from the evidence that good cause has been shown for non-compliance, the Division may waive enforcement, extend the time within which the applicant shall comply, or establish a particular program or schedule of continuing education for the renewal period in which the undue hardship existed.

C) Consecutive waiver requests made for reasons of disability, illness, or other circumstances may be prima facie evidence for non-renewal of applicant's license based on an inability to actively engage in licensed practice.

k) Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 49 Ill. Reg. 10161, effective July 23, 2025

68 Ill. Adm. Code 1380.APPENDIX A Significant Dates for the Administration of the Act

a) July 24, 1941. “An Act to regulate the practice of Professional Engineering” filed July 24, 1941 and repealed July 20, 1945.

b) July 20, 1945. The Illinois Professional Engineering Act became effective on July 20, 1945. Prior to that date, there was no legal requirement in Illinois governing the practice of Professional Engineering or requiring registration of engineers.

c) July 20, 1946. That date terminated registration under the "Grandfather Clause," which exempted Illinois residents engaged in the practice of Professional Engineering from examination, unless affected by service in the armed forces of the United States including the Merchant Marine. Thereafter, full examination was required except as indicated under subsections (c) and (d).

d) November 20, 1946. Prior to that date, graduates of approved engineering curricula with 4 or more years of professional engineering experience were eligible for registration by examination of their record of education, experience, and substantiating evidence. Written examination was not required.

e) July 20, 1950. Prior to that date, graduates of approved engineering curricula with 4 or more years of professional engineering experience were required to take only Part II of the written examination for registration.

f) June 16, 1953: Engineer-in-Training certificate established. Requirements were a minimum of 4 of the required 8 years of study, training and experience and by passing the State constructed Part I exam (later known as the Fundamentals of Engineering); the certificate was valid for 10 years. Upon completion of the required additional 4 years of professional experience, the EIT would be eligible to sit for Part II and after passage be issued a certificate of registration as a Professional Engineer.

g) Applicants originally licensed in New York or Pennsylvania prior to January 1, 1965, shall have their twelve-hour examination accepted for endorsement based on prior agreement.

h) January 1, 1974. Minimum education is 4-year engineering degree. Prior to that date, an EIT applicant was eligible for examination upon proof of at least 4 years of study, training and experience. Prior to that date, for an applicant for the full examination, there was no requirement that Part I must be passed before Part II. An applicant who qualified only under Section 9(4) would take the full examination and must have passed both Part I and Part II of the examination. Failure to pass either Part I or Part II required retake of the full examination.

i) Education standard as of June 30, 1975: Curriculum leading to a degree in engineering to conform substantially to curricula and standards of instruction of the University of Illinois current as of June 30, 1975. The Department will take into such consideration as the “accredited curriculum” issued by the Engineers’ Council for Professional Development (ECPD).

j) January 1, 1978. Prior to that date, an applicant who qualified with 8 years of combined education and experience would be admitted to the full examination.

k) As of April 1984, Illinois began utilizing the NCEE (formerly ECPD) Fundamentals of Engineering and the Principles and Practice of Engineering examinations. All examinations prior to that date were State constructed.

l) January 1, 1990. After this date, sequencing of exams is not required. The Principles and Practice of Engineering and the Fundamentals of Engineering exams may be taken in any sequence, pursuant to Alvin B. Groves vs. the Department of Professional Regulation.

m) January 1, 1990 to January 1, 1994. An applicant seeking waiver of the fundamentals of engineering examination pursuant to Section 12(c) of the Act shall hold a doctoral degree from a graduate engineering program approved in accordance with Section 1380.210(f) and shall have demonstrated a broad knowledge of the fundamentals of engineering by successfully completing course work including 10 of the following subjects:

1. Calculus

2. Differential Equations

3. Chemistry

4. Physics

5. Statics

6. Dynamics

7. Materials Science or Structure of Matter

8. Mechanics of Materials

9. Electrical Circuits

10. Fluid Mechanics

11. Thermodynamics

12. Engineering Economics

n) January 1, 1996. Proof of completion of the Test of English as a Foreign Language (TOEFL) with a score of 550 and Test of Spoken English (TSE) with a score of 50 for all applicants applying who graduated from an engineering program outside the United States or its territories and whose first language is not English. The Department may require an applicant, at the applicant’s expense, to have an evaluation of the applicant’s education in a foreign country by a nationally recognized educational body approved by the Board in accordance with the rules prescribed by the Department. ABET ECEI was the only provider approved for the engineering degree – all non-engineering degrees were evaluated by AACRAO. Evaluations were required to be a course-by-course evaluation.

o) Beginning with the November 30, 2005 renewal and very renewal thereafter, in order to renew a license as a professional engineer, a licensee shall be required to complete 30 PDHs relevant to the practice of professional engineering. Failure to comply with these requirements may result in non-renewal of the professional engineers’ license or other disciplinary action, or both.

p) October 30, 2006. Engineering Credentials Evaluation International (ECEI) ceased evaluating credentials. The Board approved The Center for Professional Engineering Credentials (CPEES) as the only engineering evaluation service.

q) August 6, 2009. CPEES changed its name to NCEES Credentials Evaluations service.

r) August 24, 2009. The Act change allows the exams to be taken prior to completion of experience based on the education meeting Illinois requirements. Endorsement of those applicants who took the P&P in other jurisdictions prior to completion of the experience required (4 years/8 years) in Illinois is allowed, but the experience before licensing in Illinois is still required.

s) In March of 2010, the Test of English as a Foreign Language (TOEFL) and the Test of Spoken English (TSE) ceased to be offered as the TOEFL-iBT (Internet Based Test) was established and superseded this exam. While in effect, the TOEFL and TSE requirements were a minimum score of 550 or 213 for the computer-based test and the TSE was a minimum score of 50.

t) January 1, 2014. NCEES changed the Fundamentals of Engineering examination from an 8-hour paper exam to a 6-hour Computer Based Test (CBT) which was was available to be taken up to a maximum of three times in a year, available through Pearson Vue testing centers once a quarter.

u) January 1, 2018. NCEES began migrating each discipline of the Principles and Practice of Engineering examination from a paper exam to a CBT exam. This allowed applicants applying to take these specific discipline examinations an opportunity for the exam to be taken up to a maximum of three times in a year, available through Pearson Vue testing centers once per each quarter.

History

• Source: Amended at 47 Ill. Reg. 876, effective January 5, 2023

68 Ill. Adm. Code 1380.ILLUSTRATION A Seal and Signature Requirements

History

• Source: Added at 47 Ill. Reg. 876, effective January 5, 2023

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1400 Clinical Psychologist Licensing Act

68 Ill. Adm. Code 1400.10 Definitions

"Act" means Clinical Psychologist Licensing Act [225 ILCS 15].

"Address of record" means the address recorded by the Division in the applicant's or registrant's application file or the registration file maintained by the Division.

"Board" means the Clinical Psychologists Licensing and Disciplinary Board appointed by the Secretary.

"Collaborating physician" means a physician licensed to practice medicine in all of its branches in Illinois who generally prescribes medications for the treatment of mental health disease or illness to his or her patients in the normal course of his or her clinical medical practice.

"Department" means the Department of Financial and Professional Regulation. (Section 2 of the Act)

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation with the authority delegated by the Secretary.

"Face-to-face" means the communication is live, interactive, and visual. Video is considered face-to-face if the session is synchronous and involves verbal and visual interaction.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation. (Section 2 of the Act)

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.15 Applicant and Licensee Address of Record, Email Address of Record, and/or License Change of Name Information

Pursuant to Section 2105-7 of the Civil Administrative Code of Illinois [20 ILCS 2105], all applicants and licensees shall:

a) Provide a valid address and email address to the Division, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) Inform the Division of any change of address of record or email address of record within 14 days after such change either through the Division's website or by contacting the Division's licensure maintenance unit.

History

• Source: Added at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.20 Renewals

a) Every clinical psychologist and prescribing psychologist license issued under the Act shall expire on September 30 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew a license.

c) Individuals applying to renew a prescribing psychologist license must also renew their clinical psychologist license.

68 Ill. Adm. Code 1400.30 Restoration

a) A person seeking restoration of a clinical psychologist or prescribing psychologist license that has lapsed or been on inactive status for less than five years shall have it restored upon payment of the required fees specified in Section 1400.40. Individuals restoring will be required to submit proof of having met the continuing education requirements of Section 1400.60. Continuing education must be completed during the 24 months preceding application for restoration.

b) The following requirements for restoration of an inactive or expired license of less than 5 years as set forth in subsection (a) are suspended for any licensed clinical psychologist who has had no disciplinary action taken against their license in this State or in any other jurisdiction during the entire period of licensure: proof of fitness, certification of active practice in another jurisdiction, and the payment of a renewal fee. An individual may not restore their license in accordance with this subsection more than once. [225 ILCS 15/13]

c) A person seeking restoration of a clinical psychologist license that has lapsed or been on inactive status for more than five years shall file a completed application, on forms supplied by the Division, with the required fee set forth in Section 1400.40. The applicant shall also be required to:

1. Submit certification of current licensure from another jurisdiction and verification of active practice in that jurisdiction;

2. Submit proof of one year of study completed within the past five years in an approved educational program in accordance with Section 1400.100;

3. Submit verification of six months of full-time supervised experience, as described in Section 1400.110(a); or

4. Pass the examination set forth in Section 1400.130.

d) A person seeking restoration of a prescribing psychologist license that has lapsed or been on inactive status for more than five years shall file a completed application, on forms supplied by the Division, with the required fee set forth in Section 1400.40. The applicant shall also be required to:

1. Submit certification of current licensure from another jurisdiction and verification of active practice in that jurisdiction;

2. Submit proof of one academic year of study in the field of psychology or another related behavioral health field completed within the past five years in an approved educational program in accordance with Section 1400.200(a)(2); or

3. Pass the examination set forth in Section 1400.200(a)(3).

e) A person seeking restoration of a clinical psychologist or prescribing psychologist license following disciplinary action must complete all requirements of the disciplinary order and shall submit a petition for restoration to be adjudicated through the hearing process. As part of such petition the person shall submit evidence demonstrating rehabilitation to warrant the public trust as provided in Section 1400.55.

f) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division, because of discrepancies or conflicts in information, the need for further clarification, and/or missing information, the person seeking restoration of a license will be requested:

1. to provide such information as may be necessary; and/or

2. to:

A) explain the relevance or sufficiency during an oral interview; or

B) appear for additional oral interviews before the Board when the information available to the Board is insufficient to evaluate the individual's current competency to practice under the Act.

g) Upon the recommendation of the Board and approval of the Director, applicant's license shall be restored.

History

• Source: Amended at 49 Ill. Reg. 8360, effective June 5, 2025

68 Ill. Adm. Code 1400.40 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license by examination or acceptance of examination as a clinical psychologist is $50. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application for a license by examination or acceptance of examination as a prescribing psychologist is $150.

3. The application fee for a license as a clinical psychologist or a prescribing psychologist certified or licensed under the laws of another jurisdiction is $100.

4. The application fee for a license as an association or partnership to practice clinical psychology is $50.

5. The fee for application as a continuing education sponsor is $500. State colleges, State universities, community colleges, and State agencies are exempt from payment of this fee.

6. The fee for application as an approved clinical rotation program for prescribing psychologists is $1,000.

b) Renewal Fees

1. The fee for the renewal of a clinical psychologist license is $80 per year.

2. The fee for the renewal of a prescribing psychologist license is $150 per year.

3. The fee for renewal as a continuing education sponsor is $250 for the renewal period.

c) General Fees

1. The fee for the restoration of a clinical psychologist or prescribing psychologist license other than from inactive status is $50 plus payment of all lapsed renewal fees.

2. The fee for a certification of a licensee's record for any purpose is $20.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.50 Unethical, Unauthorized, or Unprofessional Conduct

The Division may suspend, revoke, or refuse to issue or renew a license or take other disciplinary action, based upon its finding of unethical, unauthorized or unprofessional conduct (Section 15(7) of the Act), which is interpreted to include, but is not limited to, the following acts or practices:

a) Practicing or offering to practice beyond one's competency (for example, providing services or using techniques for which one is not qualified by education, training and experience);

b) Revealing facts, data or information relating to a client or examinee, except as allowed under Section 5 of the Act or under the Mental Health and Developmental Disabilities Confidentiality Act [740 ILCS 110]. The release of information with the expressed consent of the client as provided for in Section 6 of the Act is interpreted to mean that the psychologist, prior to the release of the information, obtained written consent and made certain that the client understood the possible uses or distributions of the information. Case history material may be used for teaching or research purposes or in textbooks or other literature, provided that proper precautions are taken to conceal the identity of the clients or examinees involved;

c) Making gross or deliberate misrepresentations or misleading claims as to the licensee's professional qualifications or of the efficacy or value of the licensee's treatments or remedies, or those of another practitioner;

d) Failing to inform prospective research subjects or their authorized representative of potential serious after effects of the research or failing to remove the after effects as soon as the design of the research permits;

e) Refusing to divulge to the Division, upon request, techniques or procedures used in the licensee's professional activities;

f) Directly or indirectly giving to or receiving from any person, firm or corporation any fee, commission, rebate or other form of compensation for any professional services not actually rendered;

g) Impersonating another person holding a psychology license or allowing another person to use the licensee's license;

h) Committing any dishonest, corrupt or fraudulent act that is substantially related to the functions or duties of a psychologist providing services or supervising psychological services;

i) Committing any act of sexual misconduct, sexual abuse or sexual relations with one's client, patient, student supervisee or ex-client within 24 months after termination of treatment;

j) Submitting fraudulent claims for services to any health insurance company or health service plan or third-party payor;

k) Violating the American Psychological Association, "Ethical Principles of Psychologists and Code of Conduct" (2002, amended and effective June, 2010 and January 1, 2017), which is incorporated by reference with no later amendments or editions, and may be obtained online at: http://www.apa.org/ethics/code/index.html.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.55 Rehabilitation

Upon written petition to the Division for restoration of a license or for any other relief following discipline, the Division shall consider, but is not limited to, the following in determining if the applicant is to be deemed sufficiently rehabilitated to warrant the public trust.

a) The seriousness of the offense that resulted in the disciplinary action being considered;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the applicant has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the applicant;

e) Continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered;

f) The results of a professional competency examination designated by the Division and paid for by the applicant;

g) Written reports and oral testimony by peer review committees or other persons relating to the skill, knowledge, honesty, integrity and contriteness of the applicant;

h) Restitution to injured parties;

i) Future plans of the applicant;

j) Involvement of the applicant's family and friends in the applicant's rehabilitation process;

k) A written report of a physical or mental examination given by a practitioner selected by the Division and paid for by the applicant;

l) Any other information evidencing rehabilitation that would bear upon the applicant's request for relief or restoration of a license;

m) Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

n) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

o) Whether there has been compliance with any probationary terms imposed.

History

• Source: Added at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.60 Continuing Education

a) Continuing Education (CE) Hours Requirements

1. In order to renew a license, a clinical psychologist shall be required to complete 24 hours of continuing education. At least 3 of the 24 hours must include content related to the ethical practice of clinical psychology. Beginning September 30, 2026:

A) at least 3 of the 24 hours must include content related to diversity; and

B) CE must be obtained as set forth in 68 Ill. Adm. Code 1130 Subpart E.

2. In order to renew a prescribing psychologist license, a prescribing psychologist shall also be required to complete 20 hours of continuing education on the subject of pharmacology. This requirement shall be in addition to the 24 hours of CE required to renew a clinical psychologist license.

3. A prerenewal period is the 24 months preceding September 30 of each even-numbered year.

4. One CE hour shall equal one clock hour of attendance. After completion of the initial CE hour, credit may be given in one-half hour increments.

5. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

6. Clinical psychologists licensed in Illinois but residing and practicing in other states shall comply with the CE requirement set forth in this Section.

7. CE credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

b) Approved Continuing Education

1. CE credit shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at, or participation in, a program or course that is offered or sponsored by an approved continuing education sponsor who meets the requirements set forth in subsection (c), except for those activities described in this subsection (b).

2. CE credit may be earned through completion of remote and in-person courses or programs that are offered by an approved sponsor who meets the requirements set forth in subsection (c). Each remote CE course or program shall include an examination.

3. CE credit may be earned through postgraduate training programs (e.g., extern, residency or fellowship programs) or completion of graduate level psychology related courses that are a part of the curriculum of a college, university or graduate school. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded. Courses that are audited shall not satisfy the requirements of this Section.

4. CE credit may be earned for verified teaching in the field of psychology in an accredited college, university or graduate school and/or as an instructor of CE programs given by approved sponsors. Credit will be applied at the rate of 1.5 hours for every hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations of the same program). A maximum of 10 hours of CE credit may be obtained in this category per prerenewal period.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) American Psychological Association or its affiliates;

B) National Register of Health Service Psychologists;

C) Association of State and Provincial Psychology Boards;

D) American Medical Association or its affiliates;

E) Illinois Psychological Association or its affiliates;

F) Any regionally accredited school, college or university, or any State agency;

G) Any other person, firm or association that has been preapproved and authorized by the Division pursuant to subsection (c)(2) to coordinate and present CE courses and programs.

2. An entity seeking approval as a CE sponsor pursuant to subsection (c)(1)(G) shall submit an application, on forms supplied by the Division, along with the fee set forth in Section 1400.40. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The application shall include:

A) Certification:

i) That all programs offered by the sponsor for CE credit shall comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor shall be responsible for verifying full-time continuous attendance at or completion of each program and provide a certificate of attendance/completion as set forth in subsection (c)(8);

iii) That, upon request by the Division, the sponsor shall submit evidence (e.g., certificate of attendance/completion or course material) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance;

B) A copy of a sample program with faculty, course materials and syllabi.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of clinical psychology;

B) Foster the enhancement of general or specialized clinical psychology practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the licensed sponsor and the sponsor's license number. The presenter of the program may also be identified, but should be identified as a presenter. When a licensed sponsor subcontracts with a presenter, the licensed sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all of the criteria established by the Act and this Part, including the maintenance of records.

6. All programs given by approved sponsors shall be open to all licensed clinical psychologists and not be limited to members of a single organization or group.

7. To maintain approval as a sponsor pursuant to subsection (c)(2), each sponsor shall submit to the Division by September 30 of each even-numbered year a renewal application, the fee set forth in Section 1400.40.

8. Certification of attendance, certificate of completion. It shall be the responsibility of a sponsor to provide each participant in a course or program with a certificate of attendance or completion. The sponsor's certificate shall contain:

A) The name, address and license number of the sponsor;

B) The name and email address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor or person responsible for the CE program.

9. The sponsor shall maintain attendance records for not less than five years.

10. The sponsor shall be responsible for assuring that no renewal applicant receives CE credit for time not actually spent attending/completing the program.

11. Upon the failure of a sponsor to comply with any of the requirements of this Section, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until the Division receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in this Section.

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance for the previous eight years.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned or is seeking CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days after expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $50 per CE hour late fee not to exceed $300. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with CE requirements, the Division shall restore the license upon payment of the fee required by Section 1400.40.

g) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements may file with the Division a renewal application, along with the required fee set forth in Section 1400.40, a statement setting forth the facts concerning noncompliance, a request for waiver of the CE requirements based upon those facts. A request for waiver shall be made prior to the renewal date. If the Division finds, upon the written recommendation of the Board and from the affidavit or any other evidence submitted, that good cause has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during all or a substantial part of the prerenewal period;

B) A temporary incapacitating illness documented by a statement from a currently licensed healthcare provider. A second, consecutive request for a CE waiver pursuant to this subsection (g)(2)(B) shall be prima facie proof that the renewal applicant has a physical or mental illness, including, but not limited to, deterioration through the aging process or loss of cognitive or motor skills that results in the licensee's inability to practice professional counseling or clinical professional counseling with reasonable judgment, skill or safety, in violation of Section 15(a)(15) of the Act, and shall be grounds for denial of the renewal application or other disciplinary or non-disciplinary action;

C) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section, shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.70 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.100 Licensure Qualifications

An individual applying for licensure as a clinical psychologist pursuant to the Clinical Psychologist Licensing Act [225 ILCS 15] (the Act) shall meet the following educational/experience requirements of subsection (a), (b) or (c).

a) In accordance with Section 10(3)(a) of the Act, the individual shall be a graduate of a doctoral program in clinical, school or counseling psychology accredited by the American Psychological Association or approved by the National Register of Health Service Psychologists and shall complete 2 years of supervised clinical, school or counseling psychology experience in accordance with Section 1400.110(a) and (d), one of which shall be an internship and one of which shall be postdoctoral. (Section 10(3)(a) of the Act)

b) In accordance with Section 10(3)(b) of the Act, the individual shall be a graduate of a doctoral program that is equivalent to a clinical, school or counseling psychology program and shall complete 2 years of supervised clinical, school or counseling psychology experience in accordance with Section 1400.110(a) and (d), one of which shall be an internship and one of which shall be postdoctoral.

1. In determining equivalent programs, the following minimum standards shall be met:

A) The program is from a regionally accredited university, college or school;

B) The program constitutes the university's, college's or school's clinical, school or counseling psychology program as certified by the dean of the institution and includes a practicum as defined in Section 1400.110(b). (If there is an additional clinical, school or counseling program that exists under the clinical, school or counseling psychology name, the applicant shall apply under Section 10(3) of the Act and subsection (c) of this Section.);

C) The program, wherever administratively housed, must be clearly identified and labeled as a psychology program. The program must specify in institutional catalogues and brochures its intent to educate and train psychologists;

D) The program is an organizational entity within the institution;

E) The program has an integrated, organized sequence of study;

F) The program has an identifiable core psychology faculty on site and a psychologist responsible for the program;

G) The program has an identifiable body of students who are matriculated in that program for a degree;

H) The program encompasses a minimum of three academic years of full-time graduate study;

I) The program has a one-year residence. Residence requires interaction with psychology faculty and other matriculated psychology students. One year's residence or its equivalent is defined as follows:

i) 30 semester hours taken on a full-time or part-time basis at the institution, accumulated within 24 months; or

ii) A minimum of 350 hours of student-faculty contact involving face-to-face individual or group courses or seminars accumulated within 18 months. The educational meetings must include both faculty-student and student-student interaction, be conducted by the psychology faculty of the institution at least 90% of the time, be fully documented by the institution, and relate substantially to the program and course content. The institution must clearly document how the applicant's performance is assessed and evaluated.

2. The applicant's program shall include the following seven core content areas:

A) Scientific and professional ethics in psychology, which include the standards set forth in Section 1400.50(k);

B) Biological basis of behavior such as physiological psychology, comparative psychology, neuropsychology, sensation and perception, psychopharmacology;

C) Cognitive-affective basis of behavior such as learning, thinking, motivation, emotion;

D) Social basis of behavior such as social psychology, group processes, organizational and systems theory;

E) Individual differences that include instruction in theories of normal and abnormal personality functioning;

F) Assessment that includes instruction in clinical interviewing and the administration, scoring and interpretation of psychological test batteries for the diagnosis of mental abilities and personality functioning;

G) Treatment modalities that include instruction in the theory and application of a diverse range of psychological interventions for the treatment of mental, emotional, behavioral or nervous disorders. (Section 10(3)(b) of the Act)

c) In accordance with Section 10(3) of the Act, the individual shall be a graduate of a doctoral psychology program or a graduate of a doctoral program that is psychological in nature; complete a course in each of the seven core content areas listed in subsection (b)(2); complete a practicum in accordance with Section 1400.110(a) and (b); complete an internship or equivalent supervised clinical experience in accordance with Section 1400.110(a) and (c); and complete two years of supervised clinical psychology experience in accordance with Section 1400.110(a) and (d), one of which must be postdoctoral. (Section 10(3)(c) of the Act)

1. The applicant's doctoral program shall meet the following requirements:

A) The program is accredited by the Association of State and Provincial Psychology Boards or the National Register of Health Service Psychologists and is not a designated clinical or counseling psychology program; or

B) The program is psychological in nature as determined by the Division upon the recommendation of the Board. In determining what program is psychological in nature, the Board shall consider:

i) A program that is from a regionally accredited institution of higher education;

ii) A program, wherever administratively housed, that is clearly identified and labeled as offering psychology programs. The program must specify in institutional catalogues and brochures its intent to educate and train psychologists;

iii) A program that is an organizational entity within the institution;

iv) A program that has an integrated, organized sequence of study;

v) A program that has an identifiable core psychology faculty on site and a psychologist responsible for the program;

vi) A program that has an identifiable body of students who are matriculated in that program for a degree;

vii) A program that encompasses a minimum of three academic years of full-time graduate study;

viii) A program that has a one-year residence. Residence requires interaction with psychology faculty and other matriculated psychology students. One year's residence or its equivalent is defined as follows:

· 30 semester hours taken on a full-time or part-time basis at the institution accumulated within 24 months; or

· A minimum of 350 hours of student-faculty contact involving face-to-face individual or group courses or seminars accumulated within 18 months. The educational meetings must include both faculty-student and student-student interaction, be conducted by the psychology faculty of the institution at least 90% of the time, be fully documented by the institution, and relate substantially to the program and course content. The institution must clearly document how the applicant's performance is assessed and evaluated.

2. The applicant shall complete a course in each of the following seven core content areas:

A) Scientific and professional ethics in psychology set forth in Section 1400.50(k);

B) Biological basis of behavior such as physiological psychology, comparative psychology, neuropsychology, sensation and perception, and psychopharmacology;

C) Cognitive-affective basis of behavior such as learning, thinking, motivation, and emotion;

D) Social basis of behavior such as social psychology, group processes, organizational and systems theory;

E) Individual differences that include instruction in theories of normal and abnormal personality functioning;

F) Assessment that includes instruction in clinical interviewing and the administration, scoring and interpretation of psychological test batteries for the diagnosis of mental abilities and personality functioning;

G) Treatment modalities that include instruction in the theory and application of a diverse range of psychological interventions for the treatment of mental, emotional, behavioral or nervous disorders. (Section 10(3)(b) of the Act)

d) For the purposes of this Section, course shall be defined as an integrated, organized didactic sequence of study that encompasses a minimum of one school term. No independent study courses may be used to satisfy the seven core content areas set forth in Section 10(3)(b) of the Act and subsections (b)(2) and (c)(2) of this Section.

e) Remediation of Deficiencies

1. Individuals who are deficient in any of the seven core content areas may complete any one or all of these courses in a clinical, school or counseling psychological program accredited by the American Psychological Association, approved by the National Register of Health Service Psychologists or a program approved in accordance with subsection (b).

2. Individuals who are deficient in the practicum, internship or equivalent supervised clinical experience, or clinical experience, requirements may obtain this experience in accordance with the standards set forth in Section 1400.110.

3. The applicant will be required to submit proof to the Division that he/she has completed such a course and/or the experience. Documentation shall include, but not be limited to, curriculum/course syllabus, transcripts, practicum and program materials; internship handbook/brochures and course materials; and internship training plan.

4. The deficiencies may be remediated at any time. Applicants have 3 years from the date of application to complete the application process. If the process has not been completed in 3 years, the application shall be denied, the fee shall be forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication. (Section 10 of the Act)

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.110 Experience Defined

The following sets forth standards for practicums, internships or equivalent supervised experience and the two years of supervised experience required for licensure as a clinical psychologist pursuant to Section 10 of the Act and Section 1400.100 of this Part:

a) Practicums, internships or equivalent supervised experience and the two years of supervised experience:

1. Shall be experience obtained after enrollment in a doctoral psychology program.

2. Shall involve the practice of clinical psychology as defined in Section 2(5) of the Act. Illustrative tasks are: assessing, diagnosing and treating individuals with mental, emotional, behavioral or nervous disorders or conditions, or individuals with developmental disabilities.

3. Shall not be limited to repetitious and routine tasks that, although involving psychological activities, are at the pre-professional level. Tasks illustrative of pre-professional experience are: administering and scoring structured tests; conducting standardized interviews; collecting data; academic guidance counseling; and assisting in a laboratory or teaching situation.

4. Shall not be supervised experience in which the supervisor receives monetary payment or other considerations from the supervisee or in which the supervisor is hired by or otherwise employed by the supervisee.

b) Practicum. In addition to the requirements set forth in subsection (a), the applicant's practicum (externship or clerkship) shall:

1. Be a part of the coursework in the doctoral program or be an equivalent 400 hours of coursework or training completed with a grade of satisfactory or better in a new area of competence approved by the Board prior to initiating the training.

2. Involve the applicant in direct clinical psychology services to the client.

3. Provide for personal supervision by a licensed clinical psychologist, licensed psychologist who is engaged in the practice of clinical psychology or a person possessing the educational and experience qualifications necessary for licensure under the Act. However, failure of the licensing examination disqualifies one as a supervisor.

4. Be performed pursuant to the order, control and full professional responsibility of the supervisor, who shall meet with the applicant face-to-face for a minimum of 40 hours.

5. Be a minimum of 400 hours in duration. This 400 hours does not have to take place in a single setting.

6. Be wholly separate from the two years of supervised experience required for licensure.

7. Clearly delineate between practicum, internship and supervised work experience, using identifiable dates at the time of application.

c) Internship. To meet the requirements of internship in accordance with Section 1400.100 or equivalent supervised clinical experience in an organized health care setting pursuant to Section 10(3)(c) of the Act and Section 1400.100(c) of this Part, the internship or clinical experience may include both paid and unpaid experience obtained by the applicant and shall, in addition to the requirements set forth in subsection (a):

1. Be an organized pre-planned training program (in contrast to supervised experience or on the job training) designed to provide the applicant with a pre-planned, programmed sequence of training experiences that includes documented goals and objectives. The primary focus and purpose is assuring breadth and quality of training.

2. Include a minimum of one hour per week of regularly scheduled, face-to-face individual supervision with the specific intent of dealing with health services rendered directly by the applicant. There must also have been at least two additional hours per week in learning activities such as case conferences, including cases in which the intern was actively involved; seminars dealing with clinical issues; co-therapy with a staff person, including discussion; group supervision; and additional individual supervision.

3. Involve the applicant in direct clinical psychology services to the client (defined in Section 2 of the Act) as a part of the training experience.

4. Be under the individual and personal supervision of a licensed clinical psychologist or a licensed psychologist who is engaged in clinical psychology whose license is active and in good standing (i.e., no disciplinary action in accordance with Section 15 of the Act).

5. Be performed pursuant to the order, control and full professional responsibility of the supervisor.

6. Include a minimum of 1750 hours completed within 24 months. The 1750 hours may not be completed in less than 50 weeks regardless of the number of hours worked per week.

A) Full-time experience shall be at least 35 hours per week and shall be obtained in a single setting during a minimum of six months.

B) Part-time experience will only be counted if it is 18 hours or more per week during a minimum of nine months and is in a single setting.

7. Be post-practicum (post-clerkship or post-externship) level.

8. Be evaluated by the supervisor as satisfactory or better.

9. If experience takes place in a work setting, be distinct from the regular work duties of the applicant and the internship or equivalent clinical experience.

d) Clinical Experience. To meet the experience requirements of Section 10 of the Act, the experience may include both paid and unpaid experience obtained by the applicant and, in addition to the requirements set forth in subsection (a) shall:

1. Contain/include clinical psychology experience, at least one year of which must be post-doctoral. Practicum experience may not be counted toward fulfilling the two years of supervised experience.

A) A year of experience is defined as 1750 hours obtained in not less than 50 weeks and completed within a 36 month period.

B) Full-time work experience must be obtained in a single setting for a minimum of six months with at least 35 hours per week.

C) Part-time experience will only be counted if it is 18 hours or more a week during a minimum of nine months and is in a single setting.

D) Post-doctoral experience may begin upon completion of degree requirements for the doctoral degree, if verification of the date of completion of the degree requirement, when different from the date of graduation, is certified to the Division by the appropriate administrative official of the applicant's educational institution.

2. Be personally and individually supervised by a licensed clinical psychologist or a licensed psychologist who is engaged in the practice of clinical psychology whose license is active and in good standing (i.e., no disciplinary action in accordance with Section 15 of the Act). The experience must be performed pursuant to the order, control and full professional responsibility of the supervisor.

3. Be evaluated by the supervisor as satisfactory or better.

4. Be obtained prior to the date of the examination. Applicants completing the required experience after the examination date will be considered for the next examination. All supervised experience completed prior to the application date must be listed on the application in order to be considered.

5. Include a minimum of one hour per week of regularly scheduled, face-to-face individual supervision with the specific intent of dealing with health services rendered directly by the applicant.

6. Include a minimum of 50% of the required hours must be spent providing services for which the applicant establishes an ongoing, face-to-face relationship with the individuals being treated or is otherwise working with.

A) Examples of experience that fulfill this requirement include, but are not limited to:

i) Ongoing individual or group psychotherapy;

ii) Time limited psychotherapy;

iii) Assessments for ADHD, learning disabilities, developmental disabilities or behavioral disorders;

iv) Forensic evaluations;

v) General psychological assessments;

vi) Neuropsychological assessments; and

vii) Comprehensive intake assessments at a psychiatric facility.

B) Examples of experience that does not fulfill the requirement of this subsection (d)(6), but may be included in work experience hours if the hours make up less than 50% of the required experience, include:

i) Providing telephone-based intake assessments;

ii) Working in the front office of a mental health center;

iii) Going to schools providing drug abuse prevention lectures to large groups of students;

iv) Working for a crisis line answering phone calls, collecting questionnaire-based research data, entering it into a computer, and conducting statistical analyses; and

v) Teaching psychology to college or high school students.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.120 Application for Licensure by Examination

a) An applicant shall file an application with the Division prior to an examination date. The application shall include:

1. Certification of receipt of a doctoral degree as defined in Section 1400.100 and official transcripts from the applicant's doctoral program. Submission of official transcripts shall be for the purpose of verifying participation in the educational program;

2. Professional experience reference forms verifying the length, exact time, number of hours per week and description of functions of the applicant's employment and that the experience was obtained pursuant to Section 1400.110. All experience information shall be submitted at the time of application. References shall be completed by the person who supervised the applicant pursuant to Section 1400.110; and

3. The required fee set forth in Section 1400.40.

b) In addition to the documents listed in subsection (a), candidates applying under Section 1400.100(b) and (c) shall submit documentation, as required in Section 1400.100(b) and (c), of the practicum and internship training.

c) Applicants who are graduates from educational institutions outside the United States shall provide, in addition to those requirements listed in subsections (a) and (b), a certified translation of all documents submitted in any language other than English.

d) In addition, the applicant shall provide or cause to be sent directly to the Division certification of the date of completion of degree requirements, if different from the date of the awarding of the degree, by the certifying educational administration official, for computation of post-doctoral experience as provided for in Section 1400.110.

e) Each application shall be reviewed on an individual basis by the Board in accordance with this Section.

f) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking a license will be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for oral interviews before the Board.

g) Upon recommendation by the Board and approval by the Division, the applicant shall be notified of eligibility to sit for the examination or notified of the reasons for denial of the application.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.130 Examination

a) The required examination shall be the Examination for Professional Practice in Psychology (EPPP) developed by the Association of State and Provencial Psychology Boards (ASPPB).

b) The minimum passing grade on the examination shall be the passing score set by the testing entity.

c) The Division will accept proof of completion of the EPPP taken in another jurisdiction with the passing score set by the testing entity. That proof must be forwarded directly to the Division from the testing service.

d) The Division will accept, in lieu of passage of the examination specified in subsection (a), passage of the examination in clinical or counseling psychology of the American Board of Professional Psychology.

68 Ill. Adm. Code 1400.140 Licensure by Endorsement

a) Any person who is currently licensed in another state or territory of the United States or a foreign country desiring to obtain a license as a licensed clinical psychologist pursuant to Section 11 of the Act shall file an application with the Division, on forms provided by the Division, that shall include:

1. A certification from the jurisdiction of original licensure and any other jurisdiction in which the applicant is or has ever been licensed, stating:

A) The date of issuance of the applicant's license;

B) The basis of licensure and a description of the examination by which the applicant was licensed, if any; and

C) Whether the records of the licensing authority contain any record of disciplinary action taken or pending;

2. Certification of graduation from a psychology program, as defined in Section 1400.100, and official transcripts from the applicant's doctoral program. Submission of official transcripts shall be for the purpose of verifying participation in the educational program;

3. Professional experience reference forms verifying the length, exact time, number of hours per week and description of functions of the applicant's employment and that the experience was obtained pursuant to Section 1400.110. All experience information shall be submitted at the time of application. References shall be completed by the person who supervised the applicant under Section 1400.110; and

4. The required fee specified in Section 1400.40.

b) An individual applying under subsection (a) may satisfy the requirements of subsections (a)(2) and (a)(3) by submitting proof that the licensing standards of the individual's original jurisdiction were substantially equivalent to those of Illinois as of the date of his/her licensure in that jurisdiction. The Division, upon recommendations of the Board, has determined that the following shall be proof of substantial equivalence:

1. A valid Certificate of Professional Qualification in Psychology (CPQ) issued by the Association of State and Provincial Psychology Boards if a doctoral degree was conferred in the areas of clinical or counseling psychology; or

2. For an individual who is currently credentialed by the National Register of Health Service Psychologists, evidence of having an active licensing and practicing psychology independently at the doctoral level for a minimum of five years.

c) Any person currently licensed in the United States or Canada desiring to obtain a license as a licensed clinical psychologist under the provisions for senior psychologists who have been licensed for at least 20 years (see Section 11(b)(1) of the Act) shall file an application with the Division that shall include:

1. A certification from the jurisdiction of original licensure and any other jurisdiction in which the applicant is or has ever been licensed, stating:

A) The date of issuance of the applicant's license and the level of licensure;

B) The basis of licensure and a description of the examination by which the applicant was licensed, if any;

C) If multiple levels of practice are licensed, that the license is at the highest level of practice in that jurisdiction; and

D) Whether the records of the licensing authority contain any record of disciplinary action taken or pending;

2. Proof that the applicant has been actively and lawfully licensed to practice clinical psychology in another state or Canada for at least 20 consecutive years and that the individual's licenses have never been disciplined by another state or Canada. An applicant whose license has been disciplined by another jurisdiction shall not be eligible nor shall the applicant be issued a license pursuant to this subsection (c); however, the applicant's credentials may be reviewed pursuant to subsection (a) or by examination;

3. Verification of a doctoral degree in psychology from a college, university or school that was regionally accredited in the jurisdiction in which it is located by a body recognized by the Council for Higher Education Accreditation (or one of its predecessor organizations) at the time the degree was granted and an official transcript; and

4. The required fee specified in Section 1400.40.

d) Each application shall be reviewed on an individual basis by the Department in accordance with this Section. The Division or Board may request from the applicant a copy of the Act and rules from the state of original licensure that were in effect at the time of licensure.

e) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division or the Board, because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking a license will be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for oral interviews before the Board.

f) Upon recommendation of the Board and approval by the Division, the applicant shall be notified of eligibility to sit for the examination, issued a license by endorsement, or notified of the reasons for denial of the application.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.200 Licensure Qualifications

a) An individual applying for licensure as a prescribing psychologist pursuant to the Act shall meet the following educational/experience requirements pursuant to Section 4.2 of the Act:

1. Hold a current license to practice clinical psychology in Illinois.

2. Successfully complete the following minimum educational and training requirements either during the doctoral program required for licensure as a clinical psychologist, or at any other time in an undergraduate or master's level program accredited by a regional accrediting body recognized by the Council for Higher Education Accreditation:

A) Specific minimum undergraduate biomedical prerequisite coursework, consisting of at least three semester credit hours per semester or quarter hours-equivalent, including but not limited to the following subject areas:

i) Medical Terminology (class or proficiency);

ii) Chemistry or Biochemistry with lab (two semesters);

iii) Human Physiology (one semester);

iv) Human Anatomy (one semester);

v) Anatomy and Physiology (one semester);

vi) Microbiology with lab (one semester);

vii) General Biology for science majors or Cell and Molecular Biology (one semester).

B) A minimum of 60 semester credit hours or quarter hours-equivalent of didactic coursework that includes, but is not limited to, the following 10 subject areas. A minimum of three credit hours must be completed in each of the following 10 subject areas.

i) Pharmacology;

ii) Clinical Psychopharmacology;

iii) Clinical Anatomy and Integrated Science;

iv) Patient Evaluation;

v) Advanced Physical Assessment;

vi) Research Methods;

vii) Advanced Pathophysiology;

viii) Diagnostic Methods;

ix) Problem Based Learning; and

x) Clinical and Procedural Skills.

C) A full-time practicum of at least 14 months of supervised clinical training, including a research project, as set forth in Section 1400.220; and

3. Achieve a passing score on the Psychopharmacology Examination for Psychologists (PEP). A passing score is that required by the PEP, administered by the American Psychological Association's College of Professional Psychology, or its successor organizations.

b) For the purposes of this Section, the Board has determined that graduate level coursework satisfies the requirements of subsection (a)(2).

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.210 Application for Licensure by Examination

a) An applicant shall file an application on forms supplied by the Division. The application shall include:

1. Submission of official transcripts documenting completion of the minimum biomedical prerequisite coursework as set forth in Section 1400.200(a)(2)(A);

2. Submission of official transcripts documenting completion of the didactic coursework set forth in Section 1400.200(a)(2)(B);

3. Proof of the successful completion of the examination set forth in Section 1400.200(a)(3). Scores shall be submitted to the Division directly from the testing entity; and

4. The required fee set forth in Section 1400.40.

b) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the applicant seeking a license will be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for oral interviews before the Board.

c) Upon recommendation by the Board and approval by the Division, the applicant shall be notified of eligibility to sit for the examination or notified of the reasons for denial of the application.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.220 Clinical Rotations

a) Applicants shall complete a full-time practicum of 14 months supervised clinical training, including a research project. During the clinical rotation program, students shall complete rotations in the following areas:

1. Emergency Medicine;

2. Family Medicine;

3. Geriatrics;

4. Internal Medicine;

5. Obstetrics and Gynecology;

6. Pediatrics;

7. Psychiatry;

8. Surgery; and

9. One elective of the program participant's choice. (Section 4.2(a)(2)(C) of the Act)

b) The clinical rotation training shall be completed either within the parameters of an American Psychological Association (APA) or equivalent approved doctoral program or pre-doctoral program, or during a post-doctoral master's program in clinical psychopharmacology. The training program must be housed in an institution that is accredited by a regional accrediting body recognized by the Council for Higher Education Accreditation. The clinical rotation program shall meet the following requirements:

1. All program faculty and preceptors must hold an active physician and surgeon, advanced practice nurse, or prescribing psychologist license. Program faculty and preceptors must be sufficient in number and be qualified through academic and clinical experience to provide enrolled participants with sufficient attention, instruction and supervised practice experiences necessary to acquire the knowledge and competencies required to meet the objectives of the program.

2. A program must have access to adequate labs and clinical medical rotation sites for participants. A program must assure that clinical support services, including pharmacy, clinical laboratory and diagnostic imaging, are readily available to participants on clinical rotations. Clinical support staff must be available in numbers sufficient that participants are not expected to serve as replacements for staff.

3. In order to be considered a full-time practicum, the program must require a minimum of 20 clock-hours of rotations per week and require all 36 credits of rotations to be completed within a minimum of 14 months and maximum of 28 months after the participant begins rotations. To earn 36 hours of clinical rotation training credits, a participant must complete a minimum of 1,620 clock-hours of clinical rotation training.

4. The program must provide participants with experience in progressive responsibilities for patient management. Participants must be provided the opportunity to observe and demonstrate competence in skills necessary for the pharmacological assessment and treatment of mental disorders within a medical setting under supervision of a physician, advanced practice nurse or prescribing psychologist.

5. The program must assure that the volume and variety of clinical experiences provides for a sufficient number and distribution of appropriate experiences/cases for each participant to meet defined program expectations. Clinical rotations may be held in hospitals, medical centers, health care facilities located at federal and State prisons, hospital outpatient clinics, community mental health clinics, patient-centered medical homes or family-centered medical homes, women's medical health centers, and Federally Qualified Health Centers; (Section 4.2(a)(2)(C) of the Act). The program must coordinate clinical sites and preceptors for program required rotations.

6. Program participants must be clearly identified as such to distinguish them from physicians, medical residents, APNs, prescribing psychologists, and other health care professionals and residents.

7. The program must conduct periodic, objective and documented formative evaluations of participants to assess their acquisition of knowledge, problem-solving skills and clinical competencies.

8. The program must define and maintain consistent and effective processes for the initial and ongoing evaluation of all sites and preceptors used for participants' clinical practice experiences.

c) The clinical training must meet the standards for:

1. physician assistant education as defined by the Accreditation Review Commission on Education for the Physician Assistant;

2. advanced practice nurse education as defined by the Commission on Collegiate Nursing Education for the Advanced Nurse Practitioner or the Accreditation Commission for Education in Nursing for the Advanced Nurse Practitioner; or

3. medical education as defined by the Accreditation Council for Graduate Medical Education. (Section 4.2(a)(1)(C) of the Act)

d) The Division hereby incorporates by reference the ARC-PA Standards for Physician Assistant Education, 5th edition (with clarifications as of September 2023), the Accreditation Review Commission on Education for the Physician Assistant, 12000 Findley Road, Suite 275, Johns Creek GA 30097, September 2020, with clarifications 11/2019, 9/2020, 3/2021, 3/2022, 9/2022, 3/2023 & 9/2023, with no later amendments or editions.

History

• Source: Amended at 48 Ill. Reg. 12770, effective August 9, 2024

68 Ill. Adm. Code 1400.230 Clinical Rotation Program Approval

a) An institution seeking approval of a clinical rotation program under Section 1400.220 may apply for an approval of its program from the Department. An application for approval shall include:

1. Documentation demonstrating compliance with the standards set forth in Section 1400.220, including:

A) curriculum vitaes of program faculty;

B) a proposal for the clinical rotation program, including:

i) program mission statement and objectives;

ii) plan of organization;

iii) proposed clinical rotations, including requisite and elective rotations and outlines and goals for each proposed rotation; and

iv) evaluation plans for faculty and program participants; and

2. The fees required by Section 1400.40(a)(6).

b) If, upon review by the Department, an institution that has applied for approval pursuant to this Part fails to meet the requirements of this Part, the Department may issue a deficiency letter to the institution. The institution shall have 3 months to cure the deficiencies identified by the Department.

c) The Department may withdraw approval of a clinical rotation program for reasons that include, but are not limited to:

1. Any actions that would constitute a violation of the Act or this Part;

2. Fraud or dishonesty in applying for approval under this Part;

3. Failure to continue to meet the criteria for a clinical rotation program under the Act and this Part;

4. Failure to comply with a recommendation of the Board or Department following an investigation by the Department;

5. Revocation of APA or other institutional approval by a regional accrediting body recognized by the Council for Higher Education Accreditation.

d) Upon written notification of withdrawal of approval by the Department, a clinical program may be granted a hearing at the discretion of the Department.

e) An institution seeking to modify a program approved under this Section may seek reapproval by submitting a new application and fee.

f) An individual applicant for a prescribing psychologist license who has graduated from a program approved under this Section must still demonstrate compliance with all licensure requirements set forth in the Act and this Part as of the date of application. Prescribing psychologist applicants who have graduated from an approved program may still be required by the Department to provide a transcript or other documents.

68 Ill. Adm. Code 1400.240 Written Collaborative Agreements

A written collaborative agreement is required for all prescribing psychologists practicing under a prescribing psychologist license issued pursuant to the Act. (Section 4.3(a) of the Act)

a) A written delegation of prescriptive authority by a collaborating physician may only include medications for the treatment of mental health disease or illness the collaborating physician generally provides to his/her patients in the normal course of his/her clinical practice. (Section 4.3(b) of the Act) The delegation of prescriptive authority should include authorization to order laboratory testing, imagery and medical tests necessary prior to prescribing medication during the period of prescribed medication and at the end of a period of prescribed medication. The collaborating physician must hold a valid current Illinois controlled substance license and federal registration to delegate authority to prescribe delegated controlled substances.

b) The collaborating physician shall file with the Department a notice of delegation of authority to prescribe any non-narcotic Schedule III through V controlled substances, the licensed prescribing psychologist shall be eligible to register for a mid-level practitioner controlled substance license under Section 303.5 of the Illinois Controlled Substances Act [720 ILCS 570]. (Section 4.3(c) of the Act)

c) Any delegation of Schedule III through V controlled substances shall identify the specific controlled substance by brand name or generic name. (Section 4.3(d)(1) of the Act)

d) A written collaborative agreement shall:

1. Describe the working relationship between the prescribing psychologist and the collaborating physician and delegate prescriptive authority as provided in the Act. (Section 4.3(e) of the Act)

2. Promote the exercise of professional judgment by the prescribing psychologist in accordance with his/her training, education and experience. (Section 4.3(f) of the Act)

3. Provide methods and guidelines for communication between the collaborating physician and the prescribing psychologist, including in-person and telephonic communications. It is not necessary to provide for the personal presence of the collaborating physician at the place where services are rendered by the prescribing psychologist. (Section 4.3(g) of the Act)

4. Provide for adequate collaboration between the physician and prescribing psychologist, including provisions that the physician shall:

A) participate in the joint formulation and joint approval of orders or guidelines with the prescribing psychologist and periodically review the prescribing psychologist's orders or guidelines and the services provided patients under the orders in accordance with accepted standards of medical practice and prescribing psychologist practice;

B) collaborate and consult with the prescribing psychologist in person, either in the prescribing psychologist's physical presence or via real-time video conferencing, at least once a month for review of safety and quality clinical care or treatment;

C) be available through telecommunications for consultation on medical problems, complications, emergencies, or patient referrals, as needed; and

D) review medication orders of the prescribing psychologist no less than monthly, including review of laboratory tests and other tests as available. (Section 4.3(h) of the Act)

5. Contain provisions detailing notice for termination or change of status involving a written collaborative agreement, except when the notice is given for just cause. (Section 4.3(i) of the Act)

e) If there is no employment relationship between the collaborating physician and prescribing psychologist, a written collaborative agreement should not restrict third-party payment sources accepted by the prescribing psychologist. (Section 4.3(e) of the Act)

f) A copy of a fully executed collaborative agreement shall be available to the Department within a reasonable time upon request to either the prescribing psychologist or the collaborating physician. (Section 4.3(j) of the Act)

g) A prescribing psychologist shall inform each collaborating physician of all collaborative agreements he/she has signed and provide copies of all collaborating agreements to each collaborating physician. (Section 4.3(l) of the Act)

h) No collaborating physician shall enter into more than 3 collaborative agreements with prescribing psychologists at the same time. (Section 4.3(m) of the Act)

68 Ill. Adm. Code 1400.250 Prescribing Authority

a) A prescribing psychologist may only prescribe medication pursuant to the provisions of the Act and this Part if the prescribing psychologist:

1. Continues to hold a current license to practice psychology in Illinois.

2. Completes the required continuing education annually in accordance with this Part.

3. Maintains a written collaborative agreement in accordance with Section 4.3 of the Act and Section 1400.240 of this Part. (Section 4.2 of the Act)

b) The following may not be included in any written delegation of prescriptive authority by a collaborating physician:

1. Patients who are less than 17 years of age or patients who are over 65 years of age. If a patient is 65 years of age, the prescribing psychologist shall begin transferring care to a physician at least 3 months prior to the patient's 66th birthday to ensure continuity of care.

2. Patients during pregnancy who have disclosed they are pregnant, or who the prescribing psychologist discovers are pregnant.

3. Patients who have disclosed serious medical conditions, such as heart disease, cancer, stroke or acute seizures and patients with developmental and intellectual disabilities. If there is a question regarding whether a patient has disclosed any of the aforementioned medical conditions that should be considered serious and thus prevent the prescribing psychologist from prescribing medication, the prescribing psychologist should consult with the patient's treating physician or the collaborating physician who will determine whether the patient's condition should be considered a serious medical condition under this Section.

4. Prescriptive authority for benzodiazepine Schedule III controlled substances. (Section 4.3(b) of the Act)

5. Prescriptive authority for any controlled substance to be delivered by injection.

6. Prescriptive authority for any Schedule II substance.

7. Prescriptive authority for any narcotic drug as defined by Section 102 of the Illinois Controlled Substances Act. (Section 4.3(d) of the Act)

c) Any prescribing psychologist who writes a prescription for a controlled substance without having valid and appropriate authority may be fined by the Department not more than $50 per prescription and the Department may take any other disciplinary action provided for in the Act that is reasonable and appropriate under the circumstances. (Section 4.3(d) of the Act)

d) All prescriptions written and signed by a prescribing psychologist shall indicate the name of the collaborating physician. The collaborating physician's signature is not required. The prescribing psychologist shall sign his/her own name.

68 Ill. Adm. Code 1400.260 Endorsement for Prescribing Psychologists

a) Individuals who are licensed as medical or prescribing psychologists in another state may apply for an Illinois prescribing psychologist license by endorsement from that state, or acceptance of that state's examination if they meet the requirements set forth in the Act and this Part, including proof of successful completion of the educational, testing and experience standards. If an applicant meets the requirements set forth in the Act and this Part, including educational, testing and experience standards, and pays all required fees, the applicant may not be required to take the examination otherwise required under the Act for licensure as a prescribing psychologist. (Section 4.5(a) of the Act)

b) Individuals who graduated from the Department of Defense Psychopharmacology Demonstration Project may apply for an Illinois prescribing psychologist license by endorsement. Applicants from the Department of Defense Psychopharmacology Demonstration Project may not be required to take the examination otherwise required under the Act for licensure as a prescribing psychologist if they meet the requirements set forth in the Act and this Part, including educational, testing and experience standards, and pay all required fees. (Section 4.5(b) of the Act)

c) Individuals applying for licensure by endorsement must first obtain a clinical psychologist license in Illinois. (Section 4.5(c) of the Act)

68 Ill. Adm. Code 1400.EXHIBIT A Sample Written Collaborative Agreement

PRESCRIBING PSYCHOLOGIST

WRITTEN COLLABORATIVE AGREEMENT

A. PRESCRIBING PSYCHOLOGIST INFORMATION

NAME:

ILLINOIS CLINICAL PSYCHOLOGIST LICENSE NUMBER:

ILLINOIS PRESCRIBING PSYCHOLOGIST NUMBER:

PRACTICE SITES: (Attach List of Sites)

CONTACT NUMBER:

FACSIMILE NUMBER:

EMERGENCY CONTACT NUMBERS: (e.g., cell, pager, answering service)

5. ATTACHMENTS (If applicable):

Copies of Clinical and Prescribing Psychologist Licenses

Copy of Certificate of Insurance

Copies of other written collaborative agreements (if any)

B. COLLABORATING PHYSICIAN

NAME:

ILLINOIS LICENSE NUMBER:

PRACTICE AREA OR CONCENTRATION:

BOARD CERTIFICATION (if any):

CERTIFYING ORGANIZATION:

6. PRACTICE SITES: (Attach List of Sites)

CONTACT NUMBER:

FACSIMILE NUMBER:

EMERGENCY CONTACT NUMBERS: (e.g., cell, pager, answering service)

C. PRESCRIBING PSYCHOLOGIST COLLABORATING PHYSICIAN WORKING RELATIONSHIP

1. WRITTEN COLLABORATIVE AGREEMENT REQUIREMENT

A written collaborative agreement is required for all prescribing psychologists practicing under a prescribing psychologist license.

The collaborating physician shall file with the Illinois Department of Financial and Professional Regulation (the "Department") notice of delegation of prescriptive authority and any termination of delegation. In addition, a copy of a fully executed collaborative agreement shall be available to the Department within a reasonable time upon request to either the prescribing psychologist or the collaborating physician. The prescribing psychologist shall inform the collaborating physician of all active collaborating agreements he/she has signed and provide the collaborating physician copies of all those collaborating agreements. The collaborating physician shall not enter into more than 3 collaborating agreements with prescribing psychologists at the same time.

2. SCOPE OF PRACTICE

Under this agreement, the prescribing psychologist will work in an active practice to deliver mental health care services to patients. This includes, but is not limited to, assessment and diagnosis, ordering diagnostic and therapeutic tests and procedures, ordering imagery, interpreting and using the results of diagnostic and therapeutic tests and procedures ordered by the prescribing psychologist or another health care professional and prescriptive authority. The prescribing psychologist will consult with the collaborating physician as outlined in Section 3 below.

3. COLLABORATION AND CONSULTATION

Collaboration and consultation shall be adequate if the collaborating physician:

(A) participates in the joint formulation and joint approval of orders or guidelines with the prescribing psychologist and periodically reviews those orders and the services provided patients under those orders in accordance with accepted standards of medical practice and prescribing psychologist practice;

(B) meets in person or in real-time video conferencing with the prescribing psychologist at least once a month to provide collaboration and consultation for review of safety and quality clinical care or treatment;

(C) is available through telecommunications for consultation on medical problems, complications and emergencies or for patient referral; and

(D) reviews medication orders of the prescribing psychologist no less than monthly, including review of laboratory tests and other tests as available.

Nothing in this agreement shall be construed to limit the authority of a prescribing psychologist to perform all duties authorized under the Clinical Psychologist Licensing Act.

The written collaborative agreement shall be for medications for the treatment of mental health disease or illness the collaborating physician generally provides to his or her patients in the normal course of clinical practice, with the exception of the following:

(A) Patients who are less than 17 years of age or patients who are over 65 years of age. If a patient is 65 years of age, the prescribing psychologist shall begin transferring care to a physician at least 3 months prior to the patient's 66th birthday.

(B) Patients who have disclosed they are pregnant, or who the prescribing psychologist otherwise discovers are pregnant.

(C) Patients who have disclosed serious medical conditions, such as heart disease, cancer, stroke or acute seizures, and patients with developmental and intellectual disabilities. If there is a question as to whether a patient has disclosed a medical condition that should be considered serious, and thus prevent the prescribing psychologist from prescribing medication, then the prescribing psychologist should consult with the collaborating physician, who will determine whether the patient's condition should be considered a serious medical condition.

(D) Prescriptive authority for benzodiazepine Schedule III controlled substances.

(E) Prescriptive authority for any controlled substance to be delivered by injection.

(F) Prescriptive authority for any Schedule II substance.

(G) Prescriptive authority for any narcotic drug as defined by Section 102 of the Illinois Controlled Substances Act.

4. COMMUNICATION, CONSULTATION AND REFERRAL

The prescribing psychologist shall consult with the collaborating physician by telecommunication, real-time video conferencing or in person, as needed. In the absence of the designated collaborating physician, another physician shall be available for consultation, as designated by agreement between the collaborating physician and prescribing psychologist.

5. DELEGATION OF PRESCRIPTIVE AUTHORITY

As the collaborating physician, any prescriptive authority delegated to the prescribing psychologist is set forth in an attached document. As required by 225 ILCS 15/4.3(d)(1), any delegation of a Schedule III through V controlled substance shall identify the specific controlled substance by brand name or generic name.

Should the collaborating physician or prescribing psychologist wish to terminate this agreement, he/she should provide at least 30 days written notice to the other practitioner so that the prescribing psychologist has the opportunity to enter into a collaborating agreement with another qualified physician. If either practitioner has a change in his/her status that affects his/her ability to participate in this agreement, he/she must notify the other practitioner as soon as reasonably possible. This agreement may be terminated by either party immediately, without notice, for just cause. "Just cause" is defined as acts or omissions by the other practitioner that would be grounds for discipline of a license issued under the Medical Practice Act or the Clinical Psychology Licensing Act.

NOTE: THE PRESCRIBING PSYCHOLOGIST MAY ONLY PRESCRIBE CONTROLLED SUBSTANCES UPON RECEIPT OF AN ILLINOIS MID-LEVEL PRACTITIONER CONTROLLED SUBSTANCES LICENSE.

WE THE UNDERSIGNED AGREE TO THE TERMS AND CONDITIONS OF THIS WRITTEN COLLABORATIVE AGREEMENT.

Collaborating Physician's

Signature/Date

Prescribing Psychologist's

Signature/Date

Physician's Typed Name

Prescribing Psychologist's Typed Name

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1410 Home Inspector License Act

68 Ill. Adm. Code 1410.10 Definitions

Unless otherwise clarified by this Part, definitions set forth in the Act also apply for the purposes of this Part.

"Act" means the Home Inspector License Act [225 ILCS 441].

"Address of record" means the designated street address, which may not be a post office box, recorded by the Department in the applicant's or licensee's application file or license file maintained by the Department. [225 ILCS 441/1-10]

"CE" is an abbreviation for continuing education.

"Compensation" means the valuable consideration or the intention or expectation of receiving valuable consideration given by one person or entity to another person or entity in exchange for the performance of some activity or service. Compensation shall not include a franchise fee paid by a licensee to a franchisor pursuant to the terms of a franchise agreement provided the franchisor does not engage in "home inspection" activity as described in Section 1-10 of the Act. Compensation shall otherwise include the transfer of valuable consideration, including without limitation the following:

commissions;

referral fees;

bonuses;

prizes;

merchandise;

finder fees;

performance of services;

coupons or gift certificates;

discounts;

rebates;

a chance to win a raffle, drawing, lottery, or similar game of chance not prohibited by any other law or statute;

retainer fee; or

salary.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Real Estate, with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Real Estate.

"Education Provider" means an entity or person licensed by the Department offering courses in pre-license or continuing education.

"Email address of record" means the designated email address recorded by the Department in the applicant's application file or the licensee's license file, as maintained by the Department. [225 ILCS 441/1-10]

"Field Inspection Event" means a pre-license course that is an inspection and evaluation of the exterior and interior components of an actual residential real property conducted by a candidate for a home inspection license under the direct supervision of an Illinois licensed home inspector with at least 5 years' experience, conducted on-site and in person. A licensed home inspector can supervise a maximum of 5 licensure candidates in each Field Inspection Event.

"Home inspector" means a person or entity who, for another and for compensation either direct or indirect, performs home inspections. [225 ILCS 441/1-10]

"Home inspection report" or "inspection report" means a written evaluation prepared and issued by a home inspector upon completion of a home inspection, which meets the standards of practice as established by the Department. [225 ILCS 441/1-10]

"Home Study" or "Correspondence Course" means an education course that is administered independently by the student in a self-study format, outside of a classroom, physical, or virtual meeting space, and is not required to include communication with an instructor. There is no requirement for the ongoing verification of the student's participation and comprehension, except for the administration of the proctored final examination required in connection with a non-interactive course. Home study or correspondence courses may include, but are not limited to, courses comprised of print or non-interactive media.

"Interactive Webinar" means delivery of a course by an instructor through a virtual or online medium allowing for live 2-way communication between the instructor and student in which either can initiate or respond to questions, including live instruction and real-time discussion via satellite, video or webcam that allows for student participation and comprehension.

"Learning Management System" means a software application used for the administration, documentation, tracking, reporting, and delivery of educational courses or training programs.

"Managing Home Inspector" means a designated managing home inspector, licensed by the Department, for a home inspector entity and who is responsible for the actions of all licensed and unlicensed employees, agents, and representatives of that home inspector entity while it is providing a home inspection or home inspection service. [225 ILCS 441/5-12]

"Online Distance Education" means education courses that are interactive, but not in real time, in which students independently learn and review material online, and, for verification of the student's participation and comprehension, interact with an instructor or Learning Management System.

"Person" means individuals, entities, corporations, limited liability companies, registered limited liability partnerships, and partnerships, foreign or domestic, except that when the context otherwise requires, the term may refer to a single individual or other described entity. [225 ILCS 441/1-10]

"Proctor" means any person, including an instructor, who has a written agreement with a licensed education provider to administer, in person or electronically, examinations fairly and impartially with a licensed education provider.

"Residential real property" means real property that is used or intended to be used as a residence by one or more individuals. [225 ILCS 441/1-10]

"Secretary" means the Secretary of the Department of Financial and Professional Regulation or the Secretary's designee.

"Standards of Practice" means recognized standards to be used in a home inspection, as determined by the Department, and established by this Part. [225 ILCS 441/1-10] Standards of practice are the guidelines for the appropriate conduct of home inspections described in Subpart C.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.20 Applicability of This Part (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.100 Application for a Home Inspector License

a) An applicant for a home inspector license shall submit in a manner prescribed by the Division, the following:

1. An application that is signed and fully completed by the applicant;

2. Verification that the applicant is at least 18 years of age;

3. Successful completion of high school or education equivalency required under Section 5-10(a)(3) of the Act;

4. Proof of successful completion of the pre-license education requirements, as provided by the Act and this Part;

5. Proof of successful completion of an examination for licensure authorized by the Department pursuant to Section 5-10(a)(4) of the Act;

6. The required fee set forth in Section 1410.400;

7. Proof of general liability insurance coverage as required by Section 5-50 of the Act and Section 1410.235; and

8. If applicable, any disclosures required under Section 5-10(c) of the Act.

b) Applicants have 3 years from the date of application to complete the application process. If the process has not been completed within 3 years, the application shall be denied and the fee forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication.

c) Upon receipt of the required documents and review of the application, the Division shall issue a license authorizing practice as a home inspector or shall notify the applicant of any deficiency.

d) An applicant shall have one year from the date of receipt of a passing licensure examination score to submit an application to the Division and to meet the requirements for licensure.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.110 Application for a Home Inspector Entity License

a) An entity seeking to practice as a home inspector or provide home inspections in the State of Illinois in the form of a corporation, limited liability company or legally formed partnership shall submit to the Division:

1. An application, in a manner provided by the Division, that is signed and fully completed by the applicant;

2. If an assumed name is to be used, a certified copy of the assumed name certificate, pursuant to the Assumed Business Name Act [805 ILCS 405];

3. A Federal Employer Identification Number (FEIN);

4. The required fee set forth in Section 1410.400, payable to the Department;

5. The names of all owners, partners, officers, members, managers, or directors of the entity, and their home inspector license numbers where applicable;

6. Evidence that the home inspector entity has a designated managing home inspector licensed by the Department;

7. Articles of Incorporation, Articles of Organization or other evidence of legal formation or authority, and proof of good standing with the Illinois Secretary of State. If a foreign entity, a copy of the certificate of authority to transact business in Illinois; and

8. Proof of general liability insurance coverage as required by Section 5-50 of the Act and Section 1410.235.

b) This Section does not apply to an entity solely owned by one licensed home inspector operating a sole proprietorship, a single member limited liability company, or a single shareholder corporation, and if that home inspector is the only licensed home inspector performing inspections on the entity's behalf.

c) Applicants have 3 years from the date of application to complete the application process. If the process has not been completed within 3 years, the application shall be denied and the fee forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication.

d) Upon receipt of the required documents and review of the application, the Department shall issue a license authorizing the entity to practice or shall notify the applicant of the reason for any deficiency.

e) Licensees engaging in licensed activities in the form of a corporation, limited liability company, or legally formed partnership must:

1. Remain in active status and in good standing in accordance with the requirements of the jurisdiction where it is registered and must be authorized to conduct or transact business;

2. Notify the Division, in a format provided by the Division, within 48 hours after any change to its status/registration resulting in the inability to conduct or transact business in the jurisdiction in which it was authorized to conduct or transact business; and

3. The license of any business entity that is not in good standing with the Illinois Secretary of State, or is not authorized to conduct business in Illinois, shall immediately become inactive, and that entity shall be prohibited from engaging in any licensed activities.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.120 Application for a Home Inspector License by Endorsement

a) An applicant who is licensed under the laws of another state or territory of the United States and who wishes to be licensed in Illinois as a home inspector shall submit to the Division, in a manner prescribed by the Division:

1. A signed and completed application;

2. The fee required by Section 1410.400;

3. A certification of good standing from the states or jurisdictions where the applicant is licensed stating or including:

A) The time during which the applicant has been licensed;

B) Whether the file of the applicant contains any record of disciplinary action;

C) Examinations taken and passed; and

D) Any pre-license education requirements; and

4. Any other supporting documentation required by this Part and submitted within 3 years after the date of the application. If the process has not been completed within 3 years, the application shall be denied, the fee forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication.

b) The Division shall examine each endorsement application to determine whether:

1. the requirements and examination in the state or jurisdiction at the date of licensure were substantially equivalent to the requirements and examination required by the Act and this Part; or

2. the applicant possessed individual qualifications at the time of previous licensure that are substantially similar to the requirements under the Act and this Part.

c) Upon receipt of the required documents and review of the application for meeting all requirements for endorsement, the Department shall issue a license authorizing practice as a home inspector or shall notify the applicant of the reason for any deficiency.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.130 Expiration of Home Inspector Licenses (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.140 Expiration and Renewal of Home Inspector Licenses

a) Every home inspector license or home inspector entity license issued under the Act shall expire November 30 of even-numbered years.

b) Each applicant for renewal of a home inspector license issued pursuant to Sections 1410.100 and 1410.120 shall submit to the Division:

1. A renewal application, provided by the Division, that is signed and fully completed by the applicant;

2. The required fee set forth in Section 1410.400, payable to the Department; and

3. Proof of successful completion of the continuing education requirements of Section 1410.160.

c) Each applicant for renewal of a home inspector entity license issued pursuant to Section 1410.110 shall submit to the Division:

1. A renewal application, in a manner provided by the Division, that is signed and fully completed by the applicant; and

2. The fee as provided by this Part, payable to the Department; and

3. Proof that the licensee is in good standing and complies with all requirements of the Secretary of State of Illinois to transact business.

d) Any licensee who fails to renew by the expiration date of the license may renew the license for a period of 2 years following the expiration date of the license by submitting to the Division:

1. A renewal application, in a manner provided by the Division, that is signed and fully completed by the applicant;

2. The required renewal fee and late fee set forth in Section 1410.400; and

3. Proof of successful completion of the continuing education requirements of Section 1410.160.

e) Any person who fails to submit a renewal application within 2 years after the expiration date shall not be eligible to renew and must meet the requirements as a new applicant.

f) If the current term of the home inspector license ends within 90 days after the initial license is issued, the licensee is not required to complete CE for that license term, but shall complete all CE requirements before the next home inspector license renewal deadline.

g) Failure to receive a renewal form or notification of renewal from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew the license. Practice on a non-renewed license shall be considered unlicensed practice and shall be subject to the disciplinary provisions of the Act.

h) Lapsed Fee Exemption

1. A home inspector whose license under the Act has expired is eligible to renew without paying any lapsed renewal fees provided that the license expired while the licensee was:

A) On active duty with the United States Armed Forces, such as the United States Army, United States Navy, United States Marine Corps, United States Air Force, United States Coast Guard, or State Militia called into the service or training for the United States;

B) Engaged in training, education, or employment under the supervision of the United States prior to induction into military service; or

C) An employee of the Department.

2. A licensee renewing in accordance with this subsection (h) may renew the license within a period of 2 years after honorable termination of the service, education, training, or employment and is not required to take any CE or examination to renew. The applicant shall furnish to the Division an affidavit or other supporting documentation demonstrating the service.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.150 Pre-License Education Requirements

Any person who makes an application for a home inspector license shall be required, as a pre-requisite to the written, licensure examination, to successfully complete 60 credit hours of pre-license instruction, 5 field inspection events, and a final field examination in courses of study pursuant to Subpart F.

a) Pre-license Education Courses

1. Pre-license education must include:

A) a 60-hour pre-license course; and

B) a pre-license field course that includes 5 field inspection events and a final field examination.

2. Both courses in subsection (a)(1) shall be approved by the Division and only accepted from licensed education providers.

b) Pre-license education shall only be valid for 2 years following satisfactory completion of all of the pre-license education in order to sit for the written examination authorized by the Department.

c) No applicant shall be allowed to take the written examination unless the applicant provides satisfactory evidence of completion of all the pre-license education requirements.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.160 Continuing Education Requirements

a) A licensed home inspector who applies for renewal of their home inspector license shall successfully complete a total of 12 hours of approved continuing education (CE) during each 2 year renewal cycle. Continuing education must consist of a minimum of 8 hours of mandatory courses, as defined by Subpart F.

b) Continuing education credit is earned for verified attendance and completion of a course approved by the Division. All continuing education courses shall be a minimum of 1 credit hour.

c) If the licensee submits an application for renewal and fails to submit satisfactory evidence of compliance with the CE requirements of this Part by the renewal deadline, the Division shall refuse to renew the license. The Division shall conduct audits of its records to verify compliance with this Section.

d) If licensees have earned CE credit in another state or jurisdiction for which they will be claiming credit toward full compliance in Illinois, each applicant shall submit an application, along with a $50 per course processing fee, after completion of the CE course and prior to expiration of the license. The Division may review and recommend approval or disapproval of the CE course provided the course is substantially equivalent to those approved in Illinois.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.170 Issuance of Certificate of Licensure (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.180 Exemptions (repealed)

History

• Source: Repealed at 34 Ill. Reg. 8063, effective June 3, 2010

68 Ill. Adm. Code 1410.200 Standards of Practice

a) This Subpart defines the practice of home inspection in the State of Illinois by:

1. Defining certain terms relating to home inspections; and

2. Providing home inspection and home inspection report guidelines and requirements.

b) The following are terms commonly used in the writing of home inspection reports.

1. Alarm Systems: Warning devices, installed or free-standing, including but not limited to carbon monoxide detectors, flue gas and other spillage detectors, security equipment, ejector pumps and smoke alarms.

2. Automatic Safety Controls: Devices designed and installed to protect systems and components from unsafe conditions.

3. Client: A person or entity who engages or seeks to engage the services of a home inspector for an inspection assignment or home inspection report of a residential real property.

4. Component: A part of a system.

5. Decorative: Ornamental; not required for the operation of the essential systems and components of a home.

6. Describe: To report a system or component by its type or other observed, significant characteristics to distinguish it from other systems or components.

7. Dismantle: To take apart or remove any component, device or piece of equipment that would not be taken apart or removed by a homeowner in the course of normal and routine homeowner maintenance.

8. Further Evaluation: Examination and analysis by a qualified professional, tradesperson or service technician beyond that provided by the home inspection.

9. Home Inspection: As defined in Section 1-10 of the Act.

10. Household Appliances: Include, but are not limited to, range, stove, oven, refrigerator, window air conditioner, washer, dryer, trash compactor and garbage disposal, and other appliances that may be part of a real estate transaction, whether installed or free-standing.

11. Inspect: To visually examine readily accessible systems and components of a building in accordance with this Subpart, using normal operating controls and opening readily accessible panels.

12. Installed: Attached in such a manner that removal requires tools.

13. Normal Operating Controls: Devices such as, but not limited to, thermostats, switches or faucets intended to be operated by the homeowner.

14. Readily Accessible: Available for visual inspection without requiring moving of personal property, dismantling, destructive measures, or any action that will likely involve risk to persons or property.

15. Readily Operable Access Panel: A panel provided for homeowner inspection and maintenance that is within normal reach, can be removed by one person, and is not sealed in place.

16. Recreational Facilities: Spas, saunas, steam baths, swimming pools, and exercise, entertainment, athletic, playground, or other similar equipment and associated accessories.

17. Report: To communicate in writing in a home inspection report as defined by the Act and this Part.

18. Representative Number: One component per room for multiple similar interior components, such as windows, doors, and electric outlets, and one component on each side of the building for multiple similar exterior components.

19. Roof Drainage Systems: Components used to carry water off a roof and away from a building.

20. Significantly Deficient: Unsafe or not functioning.

21. Shut Down: A state in which a system or component cannot be operated by normal controls.

22. Solid Fuel Burning Appliances: A hearth and fire chamber or similar place in which a fire may be built, and that is built in conjunction with a chimney; or a listed assembly of a fire chamber, its chimney, and related factory-made parts designed for unit assembly without requiring field construction.

23. Structural Component: A component that supports non-variable forces or weights (dead loads), and variable forces or weights (live loads).

24. System: A combination of interacting or interdependent components, assembled to carry out one or more functions.

25. Technically Exhaustive Inspection: An investigation that involves dismantling or the extensive use of advanced techniques, measurements, instruments, testing, calculations, or other means.

26. Under-floor Crawl Space: The area within the confines of the foundation, and between the ground and the underside of the floor.

27. Unsafe: A condition in a system or component that poses a significant risk of personal injury or property damage during normal, day-to-day use. The risk may be due to damage, deterioration, improper installation, or a change in accepted residential construction standards.

28. Wiring Methods: Includes identification of electrical conductors or wires such as, but not limited to, non-metallic sheathed cable (Romex), armored cable (BX), or knob and tube.

c) The purpose of this Subpart is to establish a minimum and uniform standard for licensed home inspectors to provide the client with information regarding the condition of the systems and components of the home as inspected at the time of the home inspection. The home inspectors shall observe readily visible and accessible installed systems and components listed as part of a home inspection, unless the system or component is limited and/or excluded under the executed written contract (i.e., pre-inspection agreement) with the client.

d) Home inspectors or home inspector entities shall enter into an executed written contract with the client or duly authorized representative prior to the home inspection that includes at a minimum:

1. The purpose of the inspection;

2. The date of the inspection;

3. The name, address, and license numbers of the home inspectors and home inspector entity;

4. The fee for services to be performed;

5. A statement that the inspection will be performed, at a minimum, in accordance with the Standards of Practice in this Part;

6. A list of the systems and components to be inspected;

7. The signature of the client or the client's duly authorized representative, and the signature of the home inspector, or the duly authorized representative of a home inspector entity; and

8. Limitations or exclusions of the home inspection services, and the systems or components being inspected. These may include, but are not limited to, the following:

A) That the home inspector is not required to determine the condition of any component or system that is not readily accessible, the service life expectancy of any component or system, or the cause for the need of replacement of any system or component.

B) That the home inspector is not required to operate any system that is shut down or that does not turn on with the use of normal operating controls.

C) That the home inspector is not required to enter or access any area that may be unsafe or not readily accessible, perform any engineering or environmental services, report on future conditions, or offer warranties, guarantees, or insurance policies of any kind for the property or property systems being inspected.

e) Home inspectors or home inspector entities shall submit a written home inspection report to the client or duly authorized representative within 2 business days after the completed inspection that satisfies, at a minimum, the following requirements:

1. The home inspection report may be in electronic format and shall include a written or electronic signature of the home inspector or the duly authorized representative of a home inspector entity who conducted the home inspection;

2. The home inspection report shall include the names and license numbers of all home inspectors who participated in the home inspection;

3. The on-site inspection beginning time and the weather conditions at the time of the inspection;

4. A description of the condition of the systems and components that were inspected, which may include photos of the systems and components; and

5. Description of those systems and components inspected that, in the opinion of the inspector, are significantly deficient including:

A) A reason why the system or component is significantly deficient;

B) Whether the reported deficiency should be corrected or monitored;

C) Disclosure of any systems or components designated for inspection that were present at the time of the home inspection but were not inspected, and a reason as to why they were not inspected, such as any obstructions or conditions that prevented the inspection.

6. The written home inspection report does not have to include the names of anyone performing ministerial duties related to the home inspection that does not alter the content of the report.

f) These Standards of Practice are not intended to limit home inspectors from:

1. Including other inspection services, systems, or components in addition to those defined in these Standards of Practice;

2. Specifying repairs that the licensed home inspector is qualified and willing to perform; and

3. Excluding systems and components from the inspection if the exclusion is specified in the executed written contract with the client.

g) When, pursuant to the executed written contract with a client, the structural system and foundation is inspected, the home inspector shall:

1. Inspect the structural components, including the foundation and framing;

2. Describe the foundation and its construction type, as well as report the methods used to inspect the under-floor crawl space or basement area, attic, floor, wall, ceiling, framing, and roof;

3. Report visible signs of water and moisture penetration into the building or signs of condensation on building components; and

4. Report any infestation that significantly impacts the structure or integrity of the home.

h) When, pursuant to the executed written contract with a client, the exterior is inspected, the home inspector shall:

1. Inspect the exterior wall covering; exposed foundation; flashing and trim; all exterior doors and windows; siding; attached decks, balconies, stoops, steps, porches; landings, and their associated railings; the eaves, soffits, and fascia or other exposed trim if readily accessible from the ground level; the vegetation, grading, surface drainage, and retaining walls on the property; and if any of these are likely to adversely affect the building, walkways, patios, and driveways leading to dwelling entrances; and

2. Describe the exterior wall covering.

i) When, pursuant to the executed written contract with a client, the roof system is inspected, the home inspector shall:

1. Inspect the roof covering, roof drainage systems, flashings, skylights, chimneys, and roof penetrations; and

2. Describe the roof covering and report the methods used to inspect the roof.

j) When, pursuant to the executed written contract with a client, the plumbing system is observed, the home inspector shall:

1. Inspect and describe in detail:

A) the interior water supply and distribution systems (including fixtures, faucets, piping, drains, waste, and vent systems);

B) water heating equipment;

C) fuel storage and distribution systems; and

D) drainage sumps, sump pump and related piping; and

2. Report the location of main water and main shut-off valves, the water service entry, water distribution piping materials, the type of water heating equipment, the capacity of that equipment, and leaks.

k) When, pursuant to the executed written contract with a client, the electrical system is inspected, the home inspector shall:

1. Inspect the service drop; service entrance conductors, cables, and raceways; service equipment and main disconnects; service grounding; interior components of service panels and subpanels; conductors; overcurrent protection devices; a representative number of installed lighting fixtures, switches, and receptacles; and ground fault circuit interrupters;

2. Describe the amperage and voltage rating of the service, the location of main disconnects and subpanels and the wiring methods;

3. Report on the presence of solid conductor aluminum branch circuit wiring; and

4. Report on any non-compliance with the Carbon Monoxide Alarm Detector Act [430 ILCS 135] and the Smoke Detector Act [425 ILCS 60].

l) When, pursuant to the executed written contract with a client, the heating system is inspected, the home inspector shall:

1. Inspect the permanently installed heating equipment, including fans, pumps, ducts, and piping; their operating controls, supports, registers, radiators, and convectors; and visible vent systems, flues, and chimneys; and

2. Describe the energy source, the heating equipment, and the heating method by their distinguishing characteristics.

m) When, pursuant to the executed written contract with a client, the cooling system is inspected, the home inspector shall:

1. Inspect the permanently installed central and through-wall cooling equipment, and any operating controls; and

2. Describe the energy source and the cooling method by their distinguishing characteristics.

n) When, pursuant to the executed written contract with a client, the interior is inspected, the home inspector shall:

1. Inspect the walls, ceilings, and floors; steps, stairways, balconies and their railings; countertops, installed cabinets, household appliances included with the property, doors, and windows; garage doors, and garage door operators; and

2. Report visible signs of water and moisture penetration into the building or signs of condensation on building components.

o) When, pursuant to the executed written contract with a client, the insulation and ventilation are inspected, the home inspector shall:

1. Inspect the insulation and vapor retarders in unfinished spaces, the ventilation of attics and foundation areas, and the mechanical ventilation systems in attics, kitchens, bathrooms, and laundry; and

2. Describe the insulation and vapor retarders in unfinished spaces and the absence of insulation in unfinished spaces at conditioned surfaces.

p) When, pursuant to the executed written contract with a client, the fireplaces and solid fuel burning appliances are inspected, the home inspector shall:

1. Inspect the system components, vent systems, flues, and chimneys; and

2. Describe the fireplaces, solid fuel burning appliances, and chimneys, and report any significant damage or deterioration that is visible.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.210 Notification of Name Change (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.220 Assumed Name (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.230 Required Information of Applicant or Licensee

a) Address of Record and Email Address of Record

1. Pursuant to Section 2105-7 of the Civil Administrative Code of Illinois [20 ILCS 2105], all applicants and licensees shall provide to the Division a valid address, which shall not be a post office box, and a valid email address which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

2. Inform the Division, in a format and manner prescribed by the Division within 14 days, after any change in the address of record or email address of record.

b) The Division may provide service of documents by email to an applicant’s or licensee’s email address of record in accordance with the Act, the Department of Professional Regulation Law [20 ILCS 2105], or Section 10-75 of the Illinois Administrative Procedure Act [5 ILCS 100]. Service by email shall be deemed complete on the day of transmission regardless of whether the documents are delivered to the applicant’s or license’s spam or junk email folder.

c) Other names used by the licensee.

1. Within 14 days after a name change, a licensee shall notify the Division, in a format and manner prescribed by the Division, of any name change.

2. The licensee shall notify the Division if the licensee regularly practices under an alias, diminutive, or nickname of the licensee's name.

3. If an assumed name is to be used, a certified copy of the assumed name certificate, pursuant to the Assumed Business Name Act [805 ILCS 405] shall be provided.

4. If an individual licensee's name is changed as a result of a court order or change in marital status, the licensee shall:

A) Notify the Division of the name change;

B) Provide the Division with a copy of the court order or certificate relating to the name change; and

C) Indicate the name to be used for licensure.

D) The licensee shall ensure that all CE certificates are issued under the name used for licensure.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.235 Insurance Requirements

a) A licensed home inspector, licensed home inspector entity, or applicant shall maintain general liability insurance in the amount of at least $100,000 to cover any losses or claims against a home inspector, the managing home inspector, or the home inspector entity.

b) The general liability insurance, if applicable, must at all times cover:

1. the managing home inspector;

2. the home inspector entity;

3. all licensed home inspectors; and

4. all owners, partners, members, managers, officers, directors, and employees of the home inspector entity.

c) The home inspector or home inspector entity shall maintain a current certificate of general liability insurance coverage that includes the name of the applicant or licensee as it appears or will appear on their license, and the dates of coverage.

d) All licensees shall maintain general liability insurance for at least one year after the latest home inspection report or supplemental report the home inspector delivered.

e) The licensee shall maintain all records of general liability insurance coverage in electronic or physical format and make such records available at the Department's request.

f) Failure of an applicant or licensee to carry and maintain this insurance required by the Act and this Part, to timely submit proof of coverage upon the Department's request, or to timely report to the Department any claims made against the policy of insurance may be grounds for refusal to issue or renew a license, or the suspension or revocation of a license.

History

• Source: Added at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.240 Retention of Records

a) A person or entity licensed under the Act shall be required to maintain a record of home inspections conducted, including the original or true and exact copy of the executed written contract that engaged the licensee's services, the home inspection report, any supplemental reports, as well as any supporting data or documentation used to develop the home inspection report.

b) These records shall be kept for a period of 5 years after each home inspection is performed or 2 years after the final disposition of any judicial proceeding related to the home inspector's services, which includes any appeal, whichever is longer.

c) The record of home inspections shall be kept in a sequential format and shall include the date of the home inspection, the date of the final home inspection report and any supplemental reports, the name of the client and/or their authorized representative, and the address of the home inspected.

d) These records shall be kept in a physical or electronic format and shall be produced within 30 days after a request by the Department.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.250 General Home Inspection Requirements

a) A home inspector entity licensed pursuant to the Act and this Part shall only utilize licensed home inspectors to conduct home inspections and to sign home inspection reports.

b) The licensed home inspector who signs a home inspection report on behalf of themselves or a home inspector entity shall include: their name, license number, expiration date of their license, written or electronic signature, and the names and license numbers of all the home inspectors that contributed to the home inspection report or to any supplemental or subsequent written evaluation of that report.

c) The licensed home inspector who signs a home inspection report on behalf of a home inspector entity shall either be the managing home inspector or the entity or the entity's licensed designee.

d) The home inspector entity and the managing home inspector are responsible for the actions of all their licensed and unlicensed employees, agents, independent contractors, and representatives while providing home inspections or home inspection services.

e) Each managing home inspector shall inform the Division, in a manner prescribed by the Division, the name and license number of all home inspectors employed by or associated with the home inspector entity. Each managing home inspector shall notify the Division of the name and license number of a licensed home inspector whose employment or association with the entity has terminated. Notification shall be made within 14 days after termination.

f) A home inspector entity shall report to the Division, in a manner prescribed by the Division, any changes to the designated managing home inspector for that entity.

g) Except as otherwise required by law, client information or inspection results shall not be sent to a third party, such as an attorney or other party associated with a real estate transaction, unless there is written consent from the client, and any such written consent shall be kept as part of the home inspector's records.

h) If the licensee intends to use any identifying client information or home inspection results as part of its advertising or for any other commercial purpose, the licensee must obtain written consent and approval from the client prior to its use.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.260 Disclosure of a Conflict of Interest (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.300 Unprofessional Conduct

Conduct that constitutes dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud, or harm the public includes, but is not limited to:

a) The licensee conducts services or provides a professional opinion not based on the licensee's own competency, experience, or requisite skill.

b) The licensee grossly misrepresents reported conditions or significance of reported conditions.

c) The licensee discloses any information concerning the results of a home inspection without the approval of the client, except when conditions that threaten health, safety or welfare exist that require emergency action. If any of these conditions exist, the home inspector is required to report those findings to the homeowner or a duly authorized agent of the owner.

d) The licensee accepts compensation from another party to the real estate transaction, other than the client, for the same service without the written consent of all parties to the transaction.

e) The licensee offers or accepts compensation, directly or indirectly, from other parties dealing with a client while providing a home inspection as consideration or inducement for the referral of business.

f) The licensee performs additional services but fails to provide written notice of the services and/or to secure written consent by the client of a potential or existing conflict that may exist with the home inspection.

g) The licensee fails to promptly disclose in writing to a client any direct or indirect interest in the subject property and fails to secure written consent of the client.

h) The licensee allows an interest in any business to affect the quality of the results of a home inspection.

i) The licensee fails to disclose in writing to the client prior to the home inspection any limitations or exclusions of systems or components being inspected.

j) The licensee aids or assists another in the violation of the Act or this Part.

k) The licensee violates the term of an order issued by the Department.

l) The licensee aids, assists, or facilitates another to use or appropriate credentials or a license for the purpose of preparing a home inspection report knowing that person to be unlicensed.

m) The licensee advises a client as to whether the client should or should not engage in a real estate transaction or provides an opinion of value regarding the residential real property that is the subject of the home inspection.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.310 Felony Convictions; Discipline of Other Professional License; Notification (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.320 Cooperation Required with the Division

a) Pursuant to Section 15-10(a)(16) of the Act, all licensees are required to fully cooperate with any audit, investigation, interrogatory, examination, or request for information regarding any aspect of the licensee's home inspection practice or application for licensure. Full cooperation includes, but is not necessarily limited to:

1. Providing to the Division a complete copy of a signed home inspection report as it was transmitted to the client, including the executed written contract, any supplemental reports, supporting data, file memoranda, work files, and supporting and/or verification documentation required to be maintained by the Act;

2. Providing to the Division continuing education certificates, records of home inspections, or records of insurance coverage as required to be maintained by the Act or this Part; or

3. Providing to the Division a complete response to any written request, interrogatory, or request for clarification submitted to a licensee or applicant.

b) Pursuant to an agreement, order, disciplinary or non-disciplinary action, the Department may require an applicant or licensee to complete remedial education, additional continuing education, or pre-license education coursework, to provide any reports, records, or other documents pertaining to home inspection practice that the Department may deem necessary to maintain the Standards of Practice, the competency of a licensee, or for the protection of the public.

c) The Department will issue an administrative warning letter that is not considered discipline. Nothing in this subsection (c) requires an administrative warning letter when immediate disciplinary action is required by the Department.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.330 Administrative Warning Letter (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.340 Additional Education; Reporting Requirements (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.350 Suspension or Denial for Failure to Pay Taxes, Child Support or Any Illinois-Guaranteed Student Loan (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.375 Citations for Non-Compliance with Continuing Education Requirements

The Division shall conduct audits to verify compliance with the CE requirements of the Act and this Part. If, during an audit or compliance review, the Division determines that a licensee is deficient in complying with CE requirements, the Division may issue a citation to the licensee, with a copy to the managing home inspector, if any, of the deficiency. Service of the citation shall be made in person, electronically, or by mail to the licensee at the licensee's address or email address of record. The licensee shall have 60 days after the date of service of the citation to submit evidence of compliance with CE requirements to the Division and to pay the fine imposed.

a) The citation shall inform the licensee that the licensee may provide the Division with proof that the licensee has completed the required CE prior to the renewal deadline or deadlines associated with the audit. If satisfactory proof is provided within 60 days after the citation is served, the citation shall become null and void.

b) The citation shall set forth the fine imposed and inform the licensee that the licensee may request a hearing contesting the deficiency within 30 days after the citation is served.

c) The citation shall become a final non-disciplinary order if the cited licensee does not request a hearing within 30 days after the citation is served or if the cited licensee does not provide the Division with proof of completing the required CE, prior to the renewal deadline or deadlines associated with the audit. The fine shall be payable within 30 days after the date of the final order.

d) A non-disciplinary fine in the amount of $500 shall be assessed for a first citation for noncompliance with CE requirements. A non-disciplinary fine in the amount of $1,000 shall be assessed for a second citation for noncompliance with CE requirements. Pursuant to Section 15-10 of the Act, a third and each subsequent citation for noncompliance with CE requirements shall result in publicly disclosed discipline and a fine in an amount not to exceed $2,000.

e) Payment of the non-disciplinary fine does not absolve the person from the responsibility to complete the CE requirements and correct the violation. Failure to satisfy the CE requirement or failure to pay the non-disciplinary fine may result in disciplinary action for the violations set forth in the citation.

f) If the licensee fails to submit, within the 60-day period after the citation is served, satisfactory evidence of compliance with CE requirements and/or to pay the fine imposed, the licensee shall not engage in activities for which a license is required under the Act until all required CE has been completed and/or payment is made for the fine imposed by the citation and for any fees required to reinstate or restore the license.

History

• Source: Added at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.380 Hearings

All Department administrative hearings shall be conducted in accordance with the Rules of Practice in Administrative Hearings as provided for in 68 Ill. Adm. Code 1110.

History

• Source: Added at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.400 Fees

a) Initial application fee for a home inspector license pursuant to the Act and this Part.

1. The application fee for an initial license as a home inspector shall be $250.

2. The application fee for an initial license as a home inspector entity shall be $250.

b) Renewal application fee for a home inspector license pursuant to the Act and this Part.

1. The application fee to renew a license as a home inspector shall be $400 per renewal.

2. The application to renew a home inspector entity license shall be $400 per renewal.

3. The application fee to renew a home inspector or home inspector entity license that has expired shall be the sum of all lapsed renewal fees, plus a $50 late fee.

c) Initial application fee for a license as an education provider, a pre-license course, and a continuing education course.

1. The application fee for a license as an education provider shall be $1,000, plus course application fees.

2. The application fee for a 60-hour pre-license course shall be $150.

3. The application fee for a pre-license field course shall be $150.

4. The application fee for a continuing education course shall be $100.

d) Application fee to renew a license as an education provider, a pre-license course, or a continuing education course.

1. The application fee to renew a license as an education provider shall be $1,000 per renewal.

2. The application fee to renew an education provider license that has expired shall be the sum of all lapsed renewal fees, plus a $50 late fee.

3. The application fee to renew a 60-hour pre-license course shall be $125 per renewal.

4. The application fee to renew an expired 60-hour pre-license course shall be the sum of all lapsed renewal fees, plus a $50 late fee.

5. The application fee to renew a pre-license field course shall be $125 per renewal.

6. The application fee to renew an expired pre-license field course shall be the sum of all lapsed renewal fees, plus a $50 late fee.

7. The application fee to renew a continuing education course shall be $75 per renewal.

8. The application fee to renew an expired continuing education course shall be the sum of all lapsed renewal fees, plus a $50 late fee.

e) For the purposes of determining if a license has expired, the Division shall consider the license expired if the renewal application is received by the Division on a date later than the expiration date.

f) General

1. All fees paid pursuant to the Act and this Part are non-refundable.

2. The fee for a certification of a licensee's record for any purpose is $25.

3. The fee for an applicant to take the written examination for a home inspector license shall be the cost of determining an applicant's eligibility and providing the examination. The fee shall be paid directly to the designated testing service. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged, may result in the forfeiture of the examination fee in accordance with the designated testing service's policies.

4. The fee for an application for continuing education credit from another jurisdiction, or other than as a student in home inspection educational processes and programs shall be $50.

5. The fee for a copy of the transcript of any proceeding under the Act shall be the cost to produce the copy of the transcript.

6. The fee for certifying any record, for example, a copy of a disciplinary order or application, shall be $1 per page.

7. The Department may charge an administrative fee as part of an agreement or order pursuant to Section 15-10 of the Act.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.410 Duties of the Liaison(repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.420 Granting of Variances

The Director may grant variances from this Part in cases in which the Director finds that:

a) The provisions from which the variance is granted is not statutorily mandated;

b) The granting of the variance would not be contrary to the public welfare; and

c) Application of the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.500 Education Provider Application; Requirements

a) In accordance with Section 20-5 of the Act, any person or entity seeking approval to provide pre-license and/or continuing education courses shall submit:

1. An application, in a manner provided by the Division, that is signed by the applicant and fully completed, along with the applicant's tax identification number and any other supporting documentation as required under Section 20-5 of the Act;

2. The fee required by Section 1410.400; and

3. If applicable, a copy of the Articles of Incorporation, certificate of authority to transact business in Illinois, or other evidence of legal formation or authority filed with the Secretary of State to operate in Illinois.

b) Upon receipt of the required documents in subsection (a) and review of the application, the Division shall issue a license authorizing practice as an education provider or shall notify the applicant of any deficiency.

c) The Department may discipline an education provider and may suspend or revoke the course approval of any course offered by an education provider for failure to comply with the requirements of the Act or this Part.

d) The program of pre-license and/or continuing education delivered by a licensed education provider shall:

1. Be approved by the provider's governing and/or supervising body;

2. Utilize sufficient, qualified, and competent instructors, as determined by the Division, that are licensed home inspectors, or licensed or certified in other professional areas related to home inspection and required by the Standards of Practice;

3. All instructors, including field event supervisors, who are licensed home inspectors in Illinois, shall hold active licenses or licenses in inactive status for no more than 2 years.

4. Offer courses that are approved by the Division and conform to the Standards of Practice established in this Subpart; and

5. Have a designated qualified administrator, who is responsible for the administration of the school, courses, and actions of the instructors.

e) Facilities

1. An education provider must provide adequate personnel for the maintenance of all records, office equipment, and provide office space if necessary for customer service.

2. The premises, equipment, and facilities of the education provider , if offered for in-person courses or public access, shall comply with applicable community, state or federal fire codes, building codes, and health and safety standards.

3. The education provider is subject to inspection prior to approval or at any time thereafter by authorized representatives of the Division. Inspections shall be conducted during regular business hours, with at least 24 hours advance notice, to ensure proper methods of instruction are being used and to confirm the content of approved courses being taught.

4. No education provider shall maintain an office or conduct in person education courses in a private residence, except that field inspection events or the final field examination may be conducted in a private residence or similar residential structure with direct supervision by the instructor.

5. An education provider shall only conduct in person courses in locations that are conducive to learning, and a separate and distinct space solely occupied by the education provider.

f) Administration

1. No licensed education provider shall advertise that it is endorsed, recommended, or accredited by the Division. The education provider may indicate that it is licensed by and the course of study has been approved by the Division.

2. Each education provider shall provide a prospective student, prior to enrollment, with information that specifies the course of study to be offered, the delivery method, the tuition, the provider's policy regarding refunds, any additional fees, supplies, materials or books provided, procedures for management of grievances for students and faculty, and other matters that are material to the relationship between the provider and the student.

3. Each education provider shall maintain for each student a record that includes the course of study undertaken, dates of attendance, and a transcript of courses. All records and any other documentation related to shall be maintained by the education provider for 5 years and shall be made available to the student or to the Division, upon request, during regular business hours. An education provider may charge a student the cost of reproducing copies of a transcript.

4. Each education provider shall, upon request by the Division, provide evidence of sufficient financial resources available to equip and maintain its program or school.

5. Each education provider shall notify the Division of all proposed changes in its ownership at least 30 days prior to the change in ownership.

6. Each education provider shall issue a transcript or certificate of completion, in a format provided by the Division, within 10 days after a student's successful completion of any course. Each transcript or certificate of completion shall be authenticated and capable of being verified by the education provider. The transcript or certificate of completion shall include, but not be limited to, the following information: the student's name, license number (if applicable), the name and license number of the education provider, the name and license number of the course, the date and method of delivery, and the approved credit hours completed.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.510 Pre-License Education Course Requirements of Education Providers

a) For the purposes of this Section, the pre-license education shall be defined as a program of instruction that meets the curriculum requirements of this Part.

b) Each course shall conform to the applicable course curriculum prescribed by Section 1410.520.

c) The Division shall only grant approval for two types of courses that are part of an overall pre-license education program for a home inspector license. An education provider must provide at least one of the following:

1. A 60-hour pre-license course of instruction; or

2. A pre-license field course which includes five field inspection events and a final field examination.

d) Each education provider who seeks approval of a course shall submit:

1. An application, in a manner provided by the Division, that is signed and fully completed by the applicant;

2. The appropriate fee required by Section 1410.400;

3. A course description, including the textbooks and material references, learning objectives, a comprehensive timed outline, and if applicable, the final examination, answer key for the examination, and final exam proctor policy;

4. The method of delivery for the courses, such as in-person or classroom, interactive webinar, online distance education, or home-study/correspondence learning; and

5. The name, license number, and expiration date of the education provider's license.

6. For field inspection events, the name and license number of the home inspector supervising; and

7. For the final field examination, the requirements as outlined in Section 1410.520.

e) A licensed education provider shall verify student attendance for all courses presented in a classroom, by interactive webinar, or by online distance education.

f) Education providers are not required to, but may offer a final examination for the 60-hour pre-license course that is presented in a live classroom, as an interactive webinar, or in an online distance education format.

1. If in-person, live or interactive webinar 60-hour pre-license course is not offered with a final examination, an education provider shall verify student participation by answering or responding to questions initiated by the instructor at least once per credit hour of instruction.

2. If an online distance education 60-hour pre-license course is not offered with a final examination, an education provider shall demonstrate proficiency with the subject matter of the course through verifiable responses to questions included in the course content initiated at least once per credit hour of instruction.

3. If a final examination is offered for the 60-hour pre-license course, no student shall be deemed to have successfully completed the course unless the student has scored a minimum of 70% on the final examination.

g) Each 60-hour pre-license course offered as a home study or correspondence course shall include a proctored final examination.

1. The proctored final examination shall include a minimum of 2 questions for each credit hour. For example, a 60-hour course would require a 120-question examination. No student shall be deemed to have successfully completed the course unless the student has scored a minimum of 70% on the final examination.

2. For the final examination, the proctor shall authenticate the identity of the student taking the examination; monitor the student and the examination-taking process to ensure that the examination is completed without the aid of additional persons or resources, unless approved by the Division; and protect the confidentiality of test materials and any personal information of the students.

3. Proctors must be impartial third parties and may not be an applicant's or licensee's relative. Proctors must also abide by all State and federal regulation as it relates to privacy when proctoring exams and processing student information.

h) Courses may also be offered as a hybrid of two different delivery methods upon approval by the Division. Home study or correspondence courses will not be considered as part of a hybrid delivery method.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.520 Pre-License Education and Curriculum

a) To sit for the home inspector written examination, an individual must complete the pre-license education of 60 credit hours of instruction, 5 field inspection events, and a final field examination.

b) The content for pre-license education shall represent a progression of instruction and must include the following topics at a minimum:

1. Exteriors: Exterior study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) Exposed foundations.

B) Siding, exterior doors and windows, exterior wall covering material, flashing and trim, eaves, soffits, and fascia, including aluminum, brick, vinyl, steel asphalt, hardboard, stucco, wood, and exterior insulation finish system.

C) Gutter and drainage control systems.

D) Porches, attached decks, balconies, stoops, steps, landings, and railings, including the structural composition.

E) Vegetation, grading, and surface drainage, including retaining walls, walkways, driveways, and patios leading to a dwelling entrance.

2. Interiors: Interior study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) Wall, ceiling, and floor defects.

B) Step, stair, balconies, and railing defects.

C) Countertop, cabinet, and island defects, as they pertain to a kitchen or other type room.

D) Interior and exterior door defects.

E) Window defects and operation.

F) Garage door defects, garage door opener defects, and garage structure defects, including fire safety and habitability.

G) Water related or seepage related sources.

3. Roofing: Roofing study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) Types and styles of roofs.

B) Roofing materials used, including asphalt, cedar shake, cedar shingle, tar, residential rolled roofing, clay or concrete tiles, slate, metal and asbestos.

C) Skylights, flashings, roof coverings, and roof drainage systems.

D) Chimneys and other penetrations, including proper height and composition.

4. Plumbing: Plumbing study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) The interior water supply and main distribution system, including all fixtures, faucets, valves, and materials.

B) All piping, drain, waste, and vent systems, including all fixtures and materials.

C) Water heating systems and their capacity.

D) Fuel storage and distribution systems and materials.

E) All drainage control devices, including sump pumps, ejector pumps, or other related piping.

F) Water source, water service entry, and sewer distribution.

5. Electrical: Electrical study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) Main service equipment, main disconnects, including the size, location, amperage, voltage, overcurrent protection such as a breaker or a fuse, service drop, service entrance conductors, cables, and raceways.

B) The branch distribution, including fuse boxes, breaker boxes, service panels, and subpanels.

C) All overcurrent protection devices and wire type identification.

D) Installed lighting fixtures, switches, and receptacles.

E) Safety controls or devices, including ground fault circuit interrupters.

F) Carbon monoxide alarms and smoke detectors in compliance with State law.

6. Heating, ventilation and air conditioning (HVAC) study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) Installed heating and cooling equipment, operating controls, and ventilation including fans, ducts, radiators, gas forced air, fuel oil forced air, heat pumps, electric forced air, and hydronic heating equipment, as well as the distribution related to the various types.

B) Energy sources and distribution systems.

C) Flue pipes, chimneys, and spent gas removal systems.

D) All related safety controls or devices.

E) Installed cooling systems, including central and window mounted systems.

F) Insulation and vapor retarders in unfinished spaces, the ventilation of attics and foundation areas, and mechanical ventilation systems.

7. Structural: Structural study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) All structural components and their construction type, including the foundation, floor, wall, ceiling, under floor crawl space, basement, attic, and wall framing.

B) All foundation support systems, including poured concrete, concrete block, brick, stone and wood, and all related perimeter footing systems.

C) Water related or seepage related sources.

D) Flood control devices.

E) Roof structure and systems related to composition.

F) Under-roof and under-floor ventilation.

G) Insulation and vapor protection systems.

H) Infestation that significantly impacts the structure or integrity of the home.

8. Appliances and fireplaces: Appliance and fireplace study must include, at a minimum, the methods and techniques for identifying, describing, and inspecting the following:

A) All fireplaces, solid fuel burning appliances, chimneys, and vents.

B) All major household appliances included with the property, including but not limited to range, stove, oven, refrigerator, window air conditioner, washer, dryer, trash compactor and garbage disposal, and other appliances that may be part of a real estate transaction.

9. Applicable Laws: Illinois specific law study must include, at a minimum:

A) Specific knowledge and understanding of the Illinois Home Inspector License Act and this Part.

B) General knowledge and understanding of the Illinois Human Rights Act [775 ILCS 5].

C) General knowledge and understanding of contract law.

10. Standards of Practice: Standards of Practice study must include, at a minimum:

A) Required disclosures to a client;

B) Required report content;

C) Competent report writing; and

D) Specific knowledge of business practices and Standards of Practice.

11. Five Field inspection events in residential real property.

A) Field inspection events must be conducted under the direct supervision of an Illinois licensed home inspector with at least five years' experience, on-site and in person. A licensed home inspector can supervise a maximum of five licensure candidates in each field inspection event.

B) Field inspection events are conducted for the purpose of learning inspection methodology, techniques, communication, and observation skills, and describing observed conditions.

C) The student may accompany the home inspector on a home inspection that may qualify as a field inspection event, but shall not perform or participate in any home inspection that is paid for by a client of the supervising home inspector, instructor, or of any home inspector.

D) The required five field inspection events shall not all be the same type of residential real property, if feasible, but offer a variety of homes to inspect.

12. A final field examination to be performed by the students after all 5 field inspection events are completed. The content, logistics, and administration of the examination will be developed and determined by the education provider. At a minimum, the examination shall include the following specifications:

A) A draft or mock written home inspection report to be completed by the students;

B) The report based on either one of the 5 field inspection event properties, or an additional property that is of a similar residential type to a field inspection event previously performed;

C) The report shall include a description and inspection performed of each system identified in Sections 1410.200 and 1410.520.

D) The report shall cover the identification of components and potential defects of each system.

E) No student shall be deemed to have passed the final field examination unless the student has scored a minimum of 70% on the examination.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.530 Example of Acceptable Pre-License Education Program (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.540 Continuing Education Course Requirements of Education Providers

a) A continuing education course shall be at least 1 hour in length and shall meet the course curriculum prescribed in Section 1410.550.

b) Each education provider who seeks approval of a continuing education course shall submit:

1. An application, in a manner provided by the Division, that is signed and fully completed by the applicant;

2. The appropriate fee required by Section 1410.400;

3. A course description, including the textbooks and material references, learning objectives, a comprehensive timed outline, the final examination, answer key for the examination, and if applicable, the final exam proctor policy;

4. The method of delivery for the courses, such as in-person or classroom, interactive webinar, online distance education, or home-study/correspondence learning;

5. The name, license number, and expiration date of the education provider's license; and

6. An examination with answer key that includes a minimum of 8 questions per one credit hour of course instruction.

c) Education providers are required to provide a final examination for all continuing education courses. A licensed education provider shall verify student attendance for all courses presented in a classroom, by interactive webinar, or by online distance education.

d) Each continuing education course offered as a home study or correspondence course shall include a proctored final examination.

1. The proctored final examination shall include a minimum of 8 questions for each credit hour. For example a 2-hour course would require a 16-question examination.

2. For the final examination, the proctor shall authenticate the identity of the student taking the examination; monitor the student and the examination-taking process to ensure that the examination is completed without the aid of additional persons or resources, unless approved by the Division; and protect the confidentiality of test materials and any personal information of the students.

3. Proctors must be impartial third parties and may not be an applicant's or licensee's relative. Proctors must also abide by all state and federal regulation as it relates to privacy when proctoring exams and processing student information.

e) No student shall be deemed to have successfully completed the course unless the student has scored a minimum of 70% on the course examination.

f) Courses may be offered as a hybrid of two different delivery methods upon approval by the Division. Home study or correspondence courses will not be considered as part of a hybrid delivery method.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.550 Curriculum and Credit for Continuing Education

a) A licensed home inspector who applies for renewal of their home inspector license shall successfully complete a total of 12 hours of approved continuing education during each 2-year renewal cycle. Continuing education must consist of a minimum of 8 hours of mandatory courses.

b) Continuing education courses for a home inspector shall include course work designed to increase the home inspector's skill, knowledge, and competency in home inspections and shall cover topics such as the following:

1. Mandatory courses include but are not limited to:

A) Identifying and inspecting the following components and systems:

i) Exteriors;

ii) Interiors;

iii) Roofing;

iv) Plumbing;

v) Electrical;

vi) HVAC;

vii) Structural;

viii) Fireplaces, solid fuel burning appliances, and household appliances;

B) Applicable laws and Standards of Practice; and

C) Sexual Harassment Prevention Training which can be counted toward the continuing education hours for each renewal period pursuant to the Department of Professional Regulation Law [20 ILCS 2105].

2. Elective courses include, but are not limited to:

A) Business concepts and marketing techniques;

B) Report writing/customer relations overview;

C) Radon assessment/overview;

D) Commercial inspection procedures;

E) Mold assessment/overview;

F) Asbestos assessment/overview;

G) Smart homes

H) Building codes;

I) Home Inspector ethics;

J) Safety and maintenance;

K) New construction;

L) Climate/Environmental Issues;

M) Efficiency inspections.

c) Any continuing education course that offers certification in a subject matter that is outside the Department's regulatory authority shall include a disclaimer advising students that the content is not included in the Standards of Practice and the certification is not endorsed by the Department.

d) Continuing education credit may also be granted by the Division for participation, other than as a student, in home inspection educational processes and programs. Examples of activities for which credit may be granted are teaching, program development, or authorship of textbooks. A home inspector who wishes to obtain continuing education credit for these activities shall submit to the Division:

1. An application, in a manner provided by the Division, that is signed and fully completed by the applicant; and

2. The fee required by Section 1410.400.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.560 Distance Education (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.570 Expiration and Renewal for Education Providers and Pre-License and Continuing Education Courses

a) All education provider licenses, pre-license and continuing education courses shall expire on December 31 of odd-numbered years.

b) Education providers who seek to renew their license, and pre-license and continuing education courses shall submit to the Division:

1. An application, on forms and in a manner prescribed by the Division, that is signed and fully completed;

2. Any course materials requested by the Division during the renewal application process; and

3. The fees required by Section 1410.400.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.580 Continuing Education Reporting

a) Each licensed education provider, pursuant to Section 20-5 of the Act, licensed to offer approved continuing education courses shall submit to the Division, in a manner prescribed by the Division, on or before the 15th of each month, a report of those licensees successfully completing the continuing education courses offered by the education provider during the preceding calendar month.

b) The monthly reports shall include, but not be limited to, the following information for each home inspection licensee:

1. The licensed home inspector's name, address, and license number;

2. The education provider's name and license number; and

3. The continuing education course name and license number.

c) If an education provider fails to file monthly reports when required, the education provider may be subject to discipline pursuant to the procedures set forth in the Act and this Part until all delinquent reports, processing fees, and administrative fees have been received by the Division.

History

• Source: Amended at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.590 Transcript or Certificate of Completion (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.600 Hearings (repealed)

History

• Source: Repealed at 48 Ill. Reg. 2424, effective February 2, 2024

68 Ill. Adm. Code 1410.610 Pre-License Education Transitional Provisions

a) Beginning March 1, 2024, the Division will begin accepting applications for pre-license and continuing education courses that comply with the new requirements and curriculum established in this Part.

b) Beginning January 1, 2025, all pre-license and continuing education courses offered and made available to the public must conform to the new requirements and curriculum established in this Part. A pre-license or continuing education course that does not comply with the new requirements and curriculum will not be accepted or is ineligible for renewal.

c) Beginning January 1, 2025, students seeking licensure or licensees seeking renewal under this Act shall only be enrolled in pre-license or continuing education that is in compliance with the new requirements and curriculum of this Part.

History

• Source: Added at 48 Ill. Reg. 2424, effective February 2, 2024

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1420 Illinois Public Accounting Act

68 Ill. Adm. Code 1420.5 Definitions

"Act" means the Illinois Public Accounting Act [225 ILCS 450].

"AICPA" means the American Institute of Certified Public Accountants.

"Board" means the Board of Examiners established under Section 2 of the Act.

"Client" means the person or entity that retains a CPA or CPA firm for the performance of accountancy activities.

"Committee" means the Public Accountant Registration and Licensure Committee appointed by the Secretary.

"CPA" means a certified public accountant who holds a license or registration issued by the Department or an individual authorized to use the CPA title under Section 5.2 of the Act.

"CPA Firm" means a sole proprietorship, corporation, registered limited liability partnership, limited liability company, partnership, professional service corporation, or any other form of organization issued a license in accordance with the Act.

"CPE" means continuing professional education.

"CPE Sponsor" means a continuing professional education sponsor as set forth in Section 1420.72.

"Department" means the Illinois Department of Financial and Professional Regulation.

"Director" means the Director of the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"NASBA" means the National Association of State Boards of Accountancy.

"PRRC" means a Peer Review Report Committee.

"Society" means the Illinois CPA Society Peer Review Alliance.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.10 Experience

a) The Division shall license individuals who have received CPA certificates issued by the Board (see 23 Ill. Adm. Code 1400), not been subject to discipline under Section 20.01 of the Act and Section 1420.200 of this Part, and had at least one year of full-time experience, or its equivalent, providing any type of service or advice involving the use of accounting, attest, management advisory, financial advisory, tax or consulting skills that may be gained through employment in government, industry, academia, or public practice. Applicants may only receive experience after completing 120 hours of undergraduate education and having obtained a baccalaureate degree with an accounting concentration or equivalent.

b) The term "year" shall be 12 months with an average of at least 20 work days per month during which the applicant was engaged in full-time employment equal to 1500 hours or more annually.

c) If an individual works part-time for more than one year, but less than four years, and gains 2000 hours of experience, the individual has met the equivalent of "one year of full-time experience" required by subsection (a).

d) Verification of the experience required by this Section shall be completed and signed by an applicant's designated supervisor or the authorized agent of the employer.

History

• Source: Amended at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.20 Application for Licensure as a Certified Public Accountant

a) An applicant for licensure as a CPA shall submit the following to the Division:

1. A completed and signed application on forms provided by the Division;

2. Certification of the issuance of a valid and unrevoked Illinois CPA certificate, issued by the Board or current registration as a CPA with the Division;

3. Proof of the experience required by Section 1420.10;

4. The required fee set forth in Section 1420.40; and

5. If the applicant's CPA certificate from the Board was issued more than 4 years prior to the application for a license as a licensed CPA under this Section, the applicant shall submit proof acceptable to the Division of having completed not less than 90 hours of verifiable CPE, including 4 hours covering the subject of professional ethics(see Section 1420.70) within the 3 years immediately preceding the application.

b) As set forth in Section 5.1 of the Act, foreign accountants shall comply with this Section.

History

• Source: Amended at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.25 Application for Licensure as a Registered Certified Public Accountant

(Repealed)

History

• Source: Repealed at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.30 Application for Licensure as a Certified Public Accounting Firm

a) For purposes of this Section:

1. "Applicant Firm" or "Firm" shall include:

A) A sole proprietorship, corporation, registered limited liability partnership, limited liability company, partnership, professional service corporation, or any other form of organization determined by the Division or other regulatory authority to be authorized or entitled to conduct business in this State and meeting requirements of the Act relating to the performance of accountancy activities in this State;

B) A public accounting unit consisting of an individual licensee operating under an assumed name, including but not limited to a business name, that contains such words as "and Company", "and Associates" or similar words indicating that others take part in the conduct of the business.

2. "Member" includes a partner in a partnership, officer or shareholder in a corporation, member of a limited liability company and any other person (natural or otherwise) who or that is the owner of an interest in an applicant firm and who has responsibility for accountancy activities in this State as set forth in Section 14.4 of the Act.

b) An applicant firm seeking licensure shall submit:

1. A completed and signed application on forms provided by the Division;

2. The required fee set forth in Section 1420.40; and

3. An affidavit stating:

A) The name, address and license number of each member personally engaged in Illinois in the performance of accountancy activities;

B) The name, address and license number of each person who shall be responsible for the proper licensure of an office of the firm in Illinois; and

C) The majority of the ownership of the firm, in terms of financial interests and voting rights of all partners, officers, shareholders or members belongs to persons licensed or registered in some state, and that the partners, officers, shareholders or members whose principal place of business is in this State and who perform accountancy activities in this State hold a valid license issued by this State.

c) Every CPA firm licensed under the Act shall notify the Division of any change in members at the time of renewal.

d) An individual exercising the practice privilege afforded under Section 5.2 of the Act who performs services for which a CPA firm license is required under Section 5.2(d) of the Act shall not be required to obtain an individual CPA license.

e) Effective December 31, 2016, any professional service corporation applying for licensure to practice accountancy activities in Illinois shall be issued a CPA firm license, so long as all requirements set forth in the Act and this Section are met.

f) Effective December 31, 2018, all actively licensed professional service corporations practicing accountancy activities in Illinois shall be issued a CPA firm license under the Act, so long as all requirements of the Act and this Section are met.

History

• Source: Amended at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.35 Temporary Practice (repealed)

History

• Source: Repealed at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.40 Fees

a) The fee for application as a licensed CPA is $120;

b) The fee for renewal of a license as a licensed CPA is $40 per year;

c) The fee for renewal of a license as a registered CPA is $30 per year;

d) The fee for application as a licensed CPA firm is $120;

e) The fee for renewal of a license as a CPA firm is $40 per year;

f) The fee for restoration of a license from inactive status is the current renewal fee;

g) The fee for restoration of a license as a licensed CPA, registered CPA, CPA firm, or CPE sponsor, other than from inactive status, is $50 plus all lapsed renewal fees, not to exceed $260;

h) The fee for certification of a licensee's record is $20;

i) The fee for application to be a CPE sponsor is $150. Publicly supported colleges, universities and governmental agencies located in Illinois are exempt from payment of fees for CPE sponsor application and renewal;

j) The renewal fee for CPE sponsors shall be $150 per year.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.50 Endorsement

a) Any person currently licensed in another jurisdiction who desires to obtain a license as a licensed CPA by endorsement shall submit:

1. A completed and signed application on forms provided by the Division;

2. Certification from the jurisdiction of original licensure of the issuance of an unrevoked license showing the applicant possesses qualifications substantially equivalent to this State's current licensing requirements and whether the records of the licensing authority contain any record of disciplinary action taken or pending. If the qualifications by which an individual was licensed were not substantially equivalent, after passing the examination upon which the license to practice was based, an applicant shall have not less than 4 years of experience in the performance of accountancy activities within the 10 years immediately preceding the date of application;

3. Certification from the jurisdiction of current licensure stating:

A) The date of issuance of the applicant's license;

B) Whether the records of the licensing authority contain any record of disciplinary action taken or pending; and

4. The required fee set forth in Section 1420.40.

b) In determining the substantial equivalency of any state's requirements to Illinois' requirements, the Division may rely on the determinations of NASBA.

c) Letter of Authorization

1. In accordance with Section 14.2(d) of the Act, a letter of authorization may be issued to the applicant upon receipt of the following:

A) A completed and signed application on forms provided by the Division;

B) The required fee set forth in Section 1420.40; and

C) Certification from a jurisdiction of current licensure stating the date of issuance of the applicant's license and whether the records of the licensing authority contain any record of disciplinary action taken or pending.

2. The letter of authorization shall allow the applicant to perform accountancy activities as set forth in Section 8.05 of the Act for no longer than 6 months, or until denial of the application by the Department if sooner. Any individual performing accountancy activities under this subsection (c) shall be subject to discipline as if fully licensed under the Act.

History

• Source: Amended at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.60 Restoration

a) A person seeking restoration of a license as a registered CPA that has been expired or been placed on inactive status for 5 years or more shall submit:

1. A completed and signed application for restoration on forms provided by the Division; and

2. The required fee set forth in Section 1420.40.

b) A person seeking restoration of a license as a licensed CPA that has been expired or been placed on inactive status for 5 years or more shall submit:

1. A completed and signed application on forms provided by the Division;

2. The required fee set forth in Section 1420.40;

3. Proof of completion of required CPE set forth in Section 1420.70 in the 3 years immediately preceding the application for restoration; and

4. One of the following:

A) Verification of employment completed by an employer, co-worker or client;

B) Verification of employment and certification of licensure from the licensing authority, stating the dates of licensure and whether the records of the licensing authority contain any record of disciplinary action taken or pending;

C) Verification of employment attesting to the applicant's performance of accountancy activities in a jurisdiction where licensure is not required;

D) An affidavit attesting to military service as provided in Section 17.1 of the Act; or

E) Other proof acceptable to the Division of the applicant's fitness to have the license restored.

c) A person seeking restoration of a license that has been expired or been placed on inactive status for less than 5 years shall have the license restored upon payment of the required fee set forth in Section 1420.40. A licensed CPA must also submit proof of completion of required CPE set forth in Section 1420.70. The CPE hours must have been obtained within the 3 years immediately preceding the application for restoration. However, any licensee whose license expired while in military service set forth in Section 17.1 of the Act shall be excused from the payment of any lapsed renewal fees if the application for restoration is made within 2 years after honorable discharge from military service.

d) Any person seeking restoration of a license within 2 years after honorable discharge from military service as set forth in Section 17.1 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the CPE requirements set forth in Section 1420.70.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies, conflicts in information, or a need for clarification, the licensee seeking restoration of a license will be requested to provide information as may be necessary.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.70 Continuing Professional Education

a) Continuing Professional Education Hour Requirements

1. In order to renew a license as a licensed CPA, a licensed CPA shall complete 120 hours of CPE every 3-year renewal period. Of the 120 hours, at least 4 hours shall be courses covering the subject of professional ethics. A licensed CPA is exempt from CPE requirements for the first renewal following the original issuance of the license. Licensees shall maintain CPE records for not less than 6 years.

2. A registered CPA is exempt from CPE requirements.

3. Each approved CPE course, program or activity shall be measured by program length, with one 50-minute period equal to one CPE credit. One-half CPE credits (equal to 25 minutes) are permitted after the first credit has been earned in a given learning activity. Courses that are part of the curriculum of a university, college or other educational institution shall be awarded CPE course credit at the rate of 15 credit hours for each semester hour, or 10 credit hours for each quarter hour of school credit awarded.

4. CPE credit will be allowed for programs or courses taken toward the satisfaction of CPE requirements in other states.

5. CPE hours earned in excess of the 120-hour requirement during any 3-year renewal period shall not be eligible for use as credit in a subsequent renewal cycle.

b) Approved CPE

1. CPE is professional development activities that are formal and informal learning opportunities contributing directly to a licensee's knowledge, ability or competence to perform professional responsibilities. CPE may be verifiable or nonverifiable, as set forth in subsections (b)(3) and (4).

2. CPE should address a licensee's current and future work environment, current knowledge and skills level, and desired or needed additional competencies to meet future opportunities and/or professional responsibilities. Courses, programs or activities shall include as their subject matter one or more of the following fields of study:

A) Accounting

B) Accounting (Governmental)

C) Auditing

D) Auditing (Governmental)

E) Behavioral Ethics

F) Business Law

G) Business Management & Organization (including practice development)

H) Communications and Marketing

I) Computer Software and Applications

J) Economics

K) Finance

L) Information Technology

M) Management Services

N) Personal Development (e.g., principle-centered leadership, career planning, time management)

O) Personnel/HR

P) Production

Q) Regulatory Ethics

R) Specialized Knowledge

S) Statistics

T) Taxes

3. Verifiable CPE is learning activities that include, but are not limited to, attending, developing, teaching or presenting CPE that can be independently confirmed by a CPE sponsor.

A) Verifiable CPE shall:

i) Be developed and presented by persons with education and/or experience in the subject matter of the CPE to ensure compliance with the standards stated in this Section and Section 1420.72;

ii) Include some mechanism by which the participants evaluate the quality of the program;

iii) Specify the course objectives, level of knowledge necessary for, and prerequisites to, enrollment, if any, course content, any necessary advance preparation, teaching methods to be used, and the number of CPE hours that will be earned;

iv) Provide each participant with a certificate or other proof of attendance that must include the name, address and authorized signature of the approved sponsor, the name and address of the participant, the title of the course, the number of hours actually attended in each topic, and the date the CPE was given. CPE sponsors shall also provide each participant with an outline of the subject matter. If the CPE sponsor is a CPA firm licensed under the Act, and the CPE is given in a CPA firm, the sponsor will not be required to provide certificates of attendance to the employees of the CPA firm attending the CPE, but must maintain an attendance log containing an authorized signature of the CPA firm offering the CPE; and

v) Include the following self-study CPE:

• Interactive self-study CPE using interactive learning methodologies that simulate the classroom learning process by employing computer software, other technology or administrative systems that provide significant, ongoing, interactive feedback to the learner regarding the learning process. Interactive self-study CPE shall qualify for full credit. Internet-based live programs (concurrent simulcasts of group live programs or webcasts) are treated as "live" programs and not interactive self-study CPE.

• Noninteractive self-study CPE that does not employ interactive features. Examples include videos, books and audiotapes for which the participant must complete and submit an examination for grading without knowledge of which questions are answered incorrectly or why. Credit hours for noninteractive self-study CPE shall be allowed on the basis of one-half of the average completion time determined by the sponsor. Noninteractive self-study CPE shall qualify if it meets all other requirements of this Section and Section 1420.72, it indicates average completion time on the course material, and it provides some mechanism or process by which to provide evidence of satisfactory completion by the licensee beyond certification by the licensee. In no case shall credit for noninteractive self-study CPE be given for more than 60 hours during any renewal period. Additionally, not more than 80 hours during any renewal period may consist of a combination of interactive and noninteractive self-study CPE.

B) A licensee who serves as an instructor, speaker or discussion leader of an approved provider will be allowed CPE credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. CPE credit shall not be allowed for repeat presentations of the same CPE. In no case shall more than 60 hours of credit be given for presentation or preparation time during any renewal period.

C) CPE credit will be allowed for authorship of published articles and books, provided the subject matter of the article or book complies with this Section and Section 1420.72. CPE credit shall be allowed for actual time spent in writing or researching, but in no case shall more than 30 hours of credit be given during any renewal period.

D) Acceptable evidence of completion of verifiable CPE includes:

i) For live group CPE or real time internet-based CPE (such as webinars), other than in-firm CPE, a certificate or other verification supplied by the CPE sponsor.

ii) For self-study CPE, a certificate supplied by the CPE sponsor after satisfactory completion of an examination.

iii) For instruction credit, a certificate or other verification supplied by the CPE sponsor.

iv) For a university or college course that is successfully completed for credit, a record or transcript of the grade the participant received.

v) For a university or college noncredit course, a certificate of attendance issued by a representative of the university or college.

vi) For published articles, books or development/review of CPE, a copy of the publication (or in the case of a CPE program, course development documentation) that names the writer or author or contributor, a statement from the writer supporting the number of CPE hours claimed, and the name and contact information of the independent reviewers or publisher.

4. Nonverifiable CPE is independent or informal learning activities that may not be independently confirmed by a CPE sponsor.

A) Nonverifiable CPE includes the following:

i) Attendance at CPE coordinated and presented by a person, CPA firm, association, corporation or group, other than a recognized CPE sponsor;

ii) Participation and work on technical committees of an international, national or state professional association or member organization;

iii) Professional reading of published materials that does not provide a certificate of completion or an assessment process; or

iv) Consultation with outside experts or research in a subject area new to the licensee (e.g., how to report discontinued operations) or when regulations or standards have changed (e.g., accounting for leases). Credit may not be claimed for repeat consultations or research in the same subject area when regulations or standards have not changed significantly.

B) Acceptable evidence for completion of nonverifiable CPE shall include all of the following:

i) For CPE coordinated and presented by a person, CPA firm, association, corporation or group, other than a recognized CPE sponsor, acceptable evidence shall include a certificate or other verification if supplied by the program sponsor. Acceptable evidence must include copies of the course agenda, program materials or other documents attributable to the learning activity.

ii) For CPE listed in subsections (b)(4)(A)(ii) through (iv), acceptable evidence must include all of the following:

• The nature of the CPE (e.g., research topic or specific new competency acquired) and the source;

• The dates on which the CPE was undertaken;

• The number of hours attributed to the CPE;

• Details of the relevance of the CPE to the participant's current or future professional development; and

• Copies of consultation memorandums, minutes or other documents attributed to the CPE.

C) Not more than 10 hours shall be claimed for each of the nonverifiable activities listed in subsections (b)(4)(A)(ii) through (iv) during any renewal period. Not more than 60 hours during any renewal period may consist of a combination of all nonverifiable activities defined in subsection (b)(4).

5. Not more than 24 hours during any renewal period may consist of personal development CPE.

c) Licensees with an address of record outside of Illinois who are actively licensed as a CPA by the state in their address of record shall be considered compliant with the CPE requirements of this Section if the licensee has complied with the CPE renewal requirements of the state in their address of record.

d) The Division may periodically audit CPE course information submitted by licensees. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of CPE compliance pursuant to subsection (a)(1).

e) Waiver of CPE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CPE requirements shall submit to the Division a renewal application, the required fee set forth in Section 1420.40, a statement setting forth the facts concerning noncompliance, and a request for waiver of the CPE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division finds from such statement or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of CPE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis and is defined as an inability to devote sufficient hours to fulfilling the CPE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician; or

C) Other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, as set forth in this Section and Section 1420.72, shall be deemed to be in good standing until the final decision on the waiver request is made by the Division.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.72 Continuing Professional Education Sponsors

a) CPE may be earned for verified attendance at or participation in any course or program given or approved by one of the following:

1. AICPA;

2. Illinois CPA Society;

3. A university or college approved by its governing board in the State of Illinois, or equivalent public authority governing board if in another jurisdiction, to award accounting degrees;

4. CPE sponsored or approved by other states or other state CPA societies;

5. A person, CPA firm, association, corporation or any other group that applies pursuant to subsection (b) and has been licensed and authorized by the Division to coordinate and present CPE; or

6. NASBA and persons, CPA firms, associations, corporations or other groups that are members of NASBA's National Registry of CPE Sponsors or Quality Assurance Service Program.

b) An entity seeking a CPE sponsor license, including those set forth in subsections (a)(1) through (5), shall submit:

1. A completed and signed application on forms provided by the Division;

2. The required fee set forth in Section 1420.40, with the exception of CPE sponsors set forth in subsection (a)(3);

3. Certification that:

A) All CPE offered by the sponsor for CPE credit will comply with this Section and Section 1420.70;

B) The CPE sponsor will verify attendance at all CPE and will maintain attendance records for not less than 6 years; and

C) Upon request by the Division, the sponsor will submit evidence necessary to establish compliance with the requirements of Section 1420.70 and this Section.

c) Upon failure of any CPE sponsor to comply with the requirements of Section 1420.70 and this Section, the Division shall issue a written notification to the CPE sponsor that it must remedy its noncompliance prior to providing further CPE.

d) CPE sponsors' CPE may be disapproved if the CPE sponsor fails to provide information to the Division.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.75 Peer Review

a) Establishment of Peer Review Program

1. Pursuant to Section 16(e) of the Act, the Division establishes a Peer Review Program to monitor a CPA firm's and sole practitioner's compliance with applicable accounting, auditing and other attestation standards adopted by generally recognized standard-setting bodies. The program may include education, remediation, disciplinary sanctions or other corrective action in which performance does not comply with professional or regulatory standards.

2. The Division shall not require any CPA firm or sole practitioner to become a member of any Peer Review Administrator.

b) Standards for Peer Reviews

The Division adopts the AICPA Standards for Performing and Reporting on Peer Reviews (2017, no later amendments or editions apply) and related Interpretations (2018, no later amendments or editions apply), 1211 Avenue of the Americas, New York NY 10036-8775, for reviews commencing on or after January 1, 2009, and, for public company audit firms, the firm inspection standards required under the Sarbanes-Oxley Act of 2002 (SOX) (18 USC 7201 et seq.) as its minimum standards for review.

c) Peer Review Administrators

1. The Division, upon recommendation of the Committee, approves the following as Qualified Peer Review Administrators:

A) The AICPA;

B) The AICPA National Peer Review Committee;

C) The Society;

D) Other state CPA societies;

E) Other organizations that are fully involved in the administration of the AICPA Peer Review Program; and

F) The Public Company Accounting Oversight Board (PCAOB).

2. A Peer Review Administrator not listed in subsection (c)(1) shall submit an application to the Division, on forms provided by the Division, to receive authorization to act as a Peer Review Administrator.

3. To qualify as a Peer Review Administrator, an entity must annually submit a peer review plan of administration to the Division for review and approval. The plan of administration must:

A) Establish a PRRC, and subcommittees as needed, and provide professional staff as needed for the operation of the peer review program;

B) Establish a program to communicate to CPA firms and sole practitioners participating in the peer review program the latest developments in peer review standards and the most common findings in the peer reviews conducted by the Peer Review Administrator;

C) Establish procedures for resolving any disagreement that may arise out of the performance of a peer review;

D) Establish procedures to resolve matters that may lead to the dismissal of a CPA firm or sole practitioner from the peer review program;

E) Establish procedures to evaluate and document the performance of each reviewer, which may lead to the disqualification of a reviewer who does not meet the AICPA standards;

F) Require the maintenance of records of peer reviews conducted under the program in accordance with the record retention rules of the AICPA; and

G) Provide reports on the results of the peer review program to the Division upon request.

4. A Peer Review Administrator shall submit its plan of administration on forms provided by the Division. Peer Review Administrators set forth in subsection (c)(1) are exempt from the plan of administration submission requirements.

5. A Peer Review Administrator is subject to oversight by the Division for the purpose of carrying out the provisions of the Act.

d) Enrollment and Participation

1. For renewals on or after July 1, 2012, satisfactory completion of a peer review is required as a condition for renewal of a license for each CPA firm or sole practitioner who performs accountancy activities outlined in Section 8.05(a)(1) of the Act. For purposes of this Section, satisfactory completion shall be defined as follows:

A) Peer reviews of CPA firms and sole practitioners that are accepted by the PRRC without remedial or corrective actions shall be considered completed when accepted.

B) Peer reviews of CPA firms and sole practitioners that are accepted by the PRRC subject to any identified remedial or corrective actions shall be considered accepted on the date the CPA firm or sole practitioner signs an acceptance letter from the PRRC agreeing to complete the remedial or corrective actions and shall be considered completed when the CPA firm or sole practitioner completes the remedial or corrective actions to the satisfaction of the PRRC. The Division may grant renewal of a CPA firm's or sole practitioner's license upon the acceptance of its peer review, rather than upon the completion of its peer review.

C) Pursuant to Section 16(g) of the Act, the Division may hold a hearing for any CPA firm or sole practitioner that fails to satisfactorily complete a peer review or comply with any remedial or corrective actions determined necessary by the PRRC.

2. Each CPA firm or sole practitioner required to participate under Section 16(e) of the Act shall be enrolled in the program of an approved Peer Review Administrator and shall comply with the review due date assigned by an approved Peer Review Administrator. It is the responsibility of the CPA firm or sole practitioner required to complete a peer review to schedule and satisfactorily complete a peer review prior to the expiration date set for renewal. Failure to schedule a peer review with an approved Peer Review Administrator in sufficient time to enable the Peer Review Administrator to accept the review, as determined by the Peer Review Administrator, by the renewal date shall not constitute an excuse for failure to satisfactorily complete the peer review required for renewal.

3. The Division, in its discretion, may accept extensions granted by the Peer Review Administrator to complete a review. Extensions exceeding 3 months beyond the original due date established by the Peer Review Administrator must be approved by the Division and only for reasonable cause. Reasonable cause shall be determined on an individual basis by the Division and be defined as an inability to fulfill the peer review requirements during the applicable prerenewal period due to:

A) Full-time service by a sole practitioner in the Armed Forces of the United States of America during a substantial part of the prerenewal period;

B) A temporary incapacitating illness of a sole practitioner documented by a statement from a currently licensed physician;

C) Undue hardship (including, but not limited to, prolonged hospitalization, family illness, CPA firm dissolution or reorganization); or

D) Other similar extenuating circumstances.

4. A CPA firm or sole practitioner may choose from among the list of Qualified Peer Review Administrators in subsection (c) to administer its peer review; but must comply with all requirements of the Peer Review Administrator in which it is enrolled.

5. A CPA firm or sole practitioner choosing to change to another Peer Review Administrator may do so provided that the CPA firm or sole practitioner authorizes the previous Peer Review Administrator to communicate to the succeeding Peer Review Administrator any outstanding corrective actions related to the CPA firm's or sole practitioner's most recent review. Any outstanding actions must be corrected and the peer review satisfactorily completed in accordance with subsections (d)(1)(A) and (B) prior to transfer between Peer Review Administrators.

6. An out-of-state CPA firm practicing in this State pursuant to a practice privilege provided for in Section 5.2(d) of the Act must comply with the peer review program of the state in which the CPA firm is licensed.

7. An out-of-state CPA firm practicing in this State pursuant to a practice privilege provided for in Section 5.2(d) of the Act from a state without a peer review program must comply with the peer review requirements set forth in Section 16(e) of the Act.

8. An out-of-state CPA firm practicing in this State pursuant to a practice privilege provided for in Section 5.2(d) of the Act must submit proof of satisfactory completion of a peer review (or equivalent) at the request of the Division.

9. In the event a CPA firm's or sole practitioner's practice is sold, dissolved or merged with the practice of one or more CPA firms or sole practitioners, determination of successor or predecessor CPA firms, peer review year-end and peer review due date, if any, will be determined by the Peer Review Administrator.

e) Effect of Successive Substandard Reviews

1. CPA firms and sole practitioners enrolled in a Peer Review Program are required under the AICPA Standards for Performing and Reporting on Peer Reviews to cooperate with the Peer Reviewer, Peer Review Administrator, PRRC, and AICPA Peer Review Board or its equivalent in all matters related to the review that could impact the CPA firm's or sole practitioner's enrollment in the program.

2. If a CPA firm or sole practitioner receives a system or engagement review with a peer review rating of pass with deficiencies or fail, the Peer Review Administrator shall send notification to the CPA firm or sole practitioner, or its successor, via certified mail, or other delivery method providing proof of receipt, that failure to receive a report rating of pass on its next system or engagement review may be deemed failure to cooperate under subsections (e)(3) and (4).

3. If a CPA firm or sole practitioner, or its successor, receives two consecutive system or engagement reviews with a peer review rating of pass with deficiencies or fail, the Peer Review Committee shall assess whether the CPA firm or sole practitioner, or its successor, has failed to cooperate in all matters related to the review.

4. If a CPA firm or sole practitioner, or its successor, is deemed to have failed to cooperate, the Peer Review Committee may refer the CPA firm or sole practitioner, or its successor, to the AICPA Peer Review Board, or its equivalent, to consider whether a hearing should be held regarding the CPA firm's or sole practitioner's, or its successor's, termination from the Peer Review Program.

5. If a CPA firm or sole practitioner, or its successor, is deemed to have cooperated in all matters related to the review, the CPA firm or sole practitioner, or its successor, shall complete any required remedial or corrective actions to the satisfaction of the PRRC and undergo another peer review within 3½ years after the due date of the prior review.

6. If a CPA firm or sole practitioner, or its successor, receives a third consecutive peer review rating of pass with deficiencies or fail, the Peer Review Committee shall refer the CPA firm or sole practitioner, or its successor, to the AICPA Peer Review Board, or its equivalent, to consider whether a hearing will be held regarding the CPA firm's or sole practitioner's, or its successor's termination from the Peer Review Program.

7. The Division, in its discretion, may require any CPA firm or sole practitioner that has received a report with a peer review rating of pass with deficiencies or fail to be subject to remedial action as determined by the Division.

f) PRRC Qualifications and Responsibilities

1. PRRC members are subject to the qualifications and have the responsibilities outlined in the AICPA Standards for Performing and Reporting on Peer Reviews and related guidance.

2. Each PRRC member must comply with the confidentiality requirements of Section 16(f)(2) of the Act. The Peer Review Administrator may annually require its PRRC members to sign a statement acknowledging their appointments and the responsibilities and obligations of their appointments.

g) Division Access to Results of CPA Firm's or Sole Practitioner's Peer Reviews

1. A CPA firm or sole practitioner shall submit the following peer review documents promptly upon Division request:

A) Peer review report;

B) Letter of response, if applicable;

C) Acceptance letter;

D) Letter signed by the reviewed CPA firm accepting the peer review documents with the understanding that the CPA firm agrees to take certain actions, if applicable; and

E) Letter notifying the reviewed CPA firm that certain required actions have been completed, if applicable.

2. To comply with the Division's request in subsection (g)(1), the Peer Review Administrator for CPA firms or sole practitioners shall post the documents listed in subsection (g)(1) within 45 days after the Division's request to the AICPA Facilitated State Board Access website, to which the Division shall have access.

3. Documents received under this Section are subject to the confidentiality provisions stated in the Act.

h) The Division may consider the recommendation of the Public Accountant Registration and Licensure Committee regarding peer review in the State of Illinois.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.80 Renewals

a) Individuals

Every license issued to an individual under the Act shall expire on September 30 every 3 years. The holder of a license may renew the license during the 2 months preceding the expiration date by submitting the fee required by Section 1420.40 and meeting the CPE requirements set forth in Section 1420.70.

b) CPA Firms

Every license for a CPA firm shall expire on November 30 every 3 years. CPA firms may renew their license during the 2 months preceding the expiration date by submitting the fee required by Section 1420.40, notification of any change in members residing in Illinois, and verification that the CPA firm continues to meet the qualifications set forth in Section 14 of the Act.

c) CPE Sponsors

Every license for a CPE sponsor shall expire on December 31 every year. CPE sponsors may renew their license during the 2 months preceding the expiration date by submitting the fee required by Section 1420.40 and verification that the CPE sponsor continues to meet the qualifications set forth in Section 1420.72.

d) It is the responsibility of each licensee to notify the Division of any change of address or email address of record. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew.

e) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 9 of the Act, except as set forth in Section 17.2 of the Act.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.85 Inactive Status

a) A licensed or registered CPA who notifies the Division, on forms provided by the Department, may place the license or registration on inactive status and shall be excused from paying renewal fees until he or she notifies the Department in writing of the intention to resume active practice under the restoration provisions in Section 1420.60.

b) Any person violating Section 17.2(d), (e) or (f) of the Act shall be considered to be practicing without a license or registration and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.90 Annual Report of the Committee (repealed)

History

• Source: Repealed at 40 Ill. Reg. 3692, effective March 11, 2016

68 Ill. Adm. Code 1420.100 Conduct of Hearings (repealed)

History

• Source: Repealed at 19 Ill. Reg. 16258, effective November 28, 1995

68 Ill. Adm. Code 1420.110 Granting Variances

The Director may grant variances from this Part in individual cases when he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be materially injured by the granting of the variance; and

c) The rule from which the variance is granted would, if applied in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 44 Ill. Reg. 184, effective January 3, 2020

68 Ill. Adm. Code 1420.200 Unprofessional Conduct

a) Pursuant to Section 20.01(a)(12) of the Act, unprofessional conduct in the practice of accountancy activities shall include, but not be limited to:

1. Knowingly misrepresenting facts and, when engaged in accountancy activities, including the rendering of tax and management advisory services;

2. Undertaking any engagement that a licensee cannot reasonably expect to complete with professional competence;

3. Permitting his, her or its name to be used in conjunction with any forecast of future transactions in a manner that may lead to the belief that the licensee vouches for the achievability of the forecast;

4. Committing an act that violates public policy or is discreditable to the public accounting profession;

5. Failure to disclose a referral fee to a client for recommending or referring any service of a CPA to any entity or who pays a referral fee to obtain a client;

6. Engaging in any business or occupation that impairs the objectivity of a licensee's judgment in connection with the rendering of professional services;

7. Practicing accountancy activities in a form of organization not permitted by Illinois law or regulation;

8. Practicing under a CPA firm name that is misleading. For the purposes of Section 1400.200, an owner surviving the death or withdrawal of all other owners may continue to practice under a name that includes the name of past owners for up to two years after becoming a sole practitioner;

9. Discriminating against clients on the basis of race, gender, religion, age, national origin, political affiliation, social or economic status, choice of lifestyle, or sexual orientation; and

10. Directly or indirectly giving to or receiving from any person any fee, commission, rebate or other form of compensation for any professional services not actually rendered.

b) The Division hereby incorporates by reference the AICPA Code of Professional Conduct (2015, no later editions or amendments included), 1211 Avenue of the Americas, New York NY 10036-8775, as its minimum standards for professional conduct.

History

• Source: Added at 40 Ill. Reg. 3692, effective March 11, 2016

Part 1440 Auction License Act

68 Ill. Adm. Code 1440.10 Definitions

"Act" means the Auction License Act [225 ILCS 407].

"Advertisement" means any written, oral, or electronic communication that contains a promotion, inducement, or offer to conduct an auction or offer to provide an auction service, including but not limited to brochures, pamphlets, radio and television scripts, telephone and direct mail solicitation, electronic media, and other means of promotion.

"Advisory Board" or "Board" shall mean the Auctioneer Advisory Board.

"Auction" means the sale or lease or property, real or personal, by means of exchanges between an auctioneer and prospective purchasers or lessees, that consists of a series of invitations for offers made by the auctioneer and offers by prospective purchasers or lessees for the purpose of obtaining an acceptable offer for the sale or lease of the property, including the sale or lease of property via mail or telecommunications.

"Auction Contract" means a written or oral agreement between an auctioneer or an auction firm and a seller, sellers, lessor or lessors.

"Auction Firm" means any corporation, partnership, or limited liability company that acts as an auctioneer and provides an auction service.

"Auction School" means any educational institution, public or private, that offers a curriculum of auctioneer education and training approved by the Division.

"Auction Service" means the service of arranging, managing, advertising or conducting auctions.

"Auctioneer" means a person or entity who, for another, for a fee, compensation, commission or any other valuable consideration at auction or with the intention or expectation of receiving value consideration by the means of or process of an auction or sale at auction or providing an auction service, offers, negotiates, or attempts to negotiate an auction contract, sale, purchase, or exchange of goods, chattels, merchandise, personal property, real property, or any commodity that may be lawfully kept or offered for sale by or at auction.

"Buyer Premium" means any fee or compensation paid by the successful purchaser of property sold or leased at or by auction, to the auctioneer, auction firm, seller, lessor or other party to the transaction, other than the purchase price.

"Cashier" means a person who accepts, records and documents payments and information from bidders or prospective bidders, and performs other clerical services for and under the direct supervision of a licensed auctioneer or auction firm, while conducting an auction or providing an auction service.

"Clerk" means a person who records and documents information and performs other clerical services for and under the direct supervision of an auctioneer or an auction or providing an auction service.

"Compensation" means the valuable consideration given by one person or entity to another person or entity in exchange for the performance of some activity or service. Compensation shall include the transfer of valuable consideration, including but not limited to:

commissions;

fees;

referral fees;

bonuses;

prizes;

merchandise;

finder fees;

performance of services;

coupons or gift certificates;

discounts;

rebates;

a chance to win a raffle, drawing, lottery, or similar game of chance not prohibited by any other law or statue;

retainer fee; or salary.

"Consignment Sale" means the sale or lease of property at an auction, in which a person or entity takes temporary control, title or possession of the property to be sold or leased for the purpose of that person or entity to sell or lease the property, receive and distribute the proceeds of the sale or lease of the property. The person or entity who conducts a consignment sale auction shall not be exempt from licensure under the Act, except for those persons or entities who are other exempt from licensure, as provided by the Act and this Part.

"Continuing Education" or "CE" means education that is creditable toward the education requirements that must be satisfied to renew licensure or certification as set forth in Section 1440.310.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Real Estate with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Real Estate.

"Goods" means chattels, movable goods, merchandise, or personal property or commodities of any form or type that may be lawfully kept or offered for sale.

"Licensee" means any person licensed under the Act.

"Livestock Auctioneer" means an auctioneer licensed under the Act and employed by a business registered as a market agency under the federal Packers and Stockyards Act (7 USC 181 et seq.) or under the Livestock Auction Market Law [225 ILCS 640] who, by public outcry, sells livestock at the registered business.

"Mailing Address of Record" and "Email Address of Record" means the designated mailing address and email address recorded by the Department in the applicant's or licensee's application file or license file maintained by the Department. Pursuant to Section 1440.190, it is the duty of the applicant or licensee to inform the Department of any change of address or email address, and those changes must be made by submitting the new information directly to the Department.

"Managing Auctioneer" means any person licensed as an auctioneer who manages and supervises an auction firm and licensees sponsored by an auction firm or auctioneer.

"Person" shall mean an individual, association, partnership, corporation, limited liability company, or the officers, directors, or employees of the same.

"Pre-renewal Period" means the 24 months prior to the expiration date of a license issued under the Act.

"Renewal Deadline" means December 31 of each even-numbered year.

"Ring Assistant" means a person who acknowledges a bid from a member of the audience during the sale or lease of property at an auction and conveys the bid to the auctioneer, but only the auctioneer may accept the bid for the sale or lease of property at auction.

"School" means a continuing education school approved and licensed in accordance with the Act and this Part.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Sponsor Card" shall mean the temporary permit issued by the sponsoring auctioneer certifying that the licensee named is employed by or associated with the sponsoring auctioneer and the sponsoring auctioneer shall be responsible for the actions of the sponsored licensee.

"Sponsoring Auctioneer" means the auctioneer or auction firm who has issued a sponsor card to a licensed auctioneer.

"Terms and Conditions" means an announcement made orally or in written form at an auction sale, including but not limited to the condition of the property being sold or leased, the type of payment expected from the purchaser, when payment is expected from the purchaser, when possession, control and ownership of the property being sold or leased passes to the purchaser, and any other information that is pertinent to the auction.

History

• Source: Amended at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.100 Necessity of License; Exemptions

Any person, corporation, limited liability company, partnership, or other entity shall not be required to be licensed under the Act under the following circumstances:

a) A not-for-profit organization conducting an auction solely for charitable purposes in which the individual receives no compensation;

b) A person or other entity who is the rightful owner of property, real or personal, sold or leased at auction, except for persons or entities who as a normal course of business sell or lease property at auction;

c) A person or entity, while conducting an auction for the sale or lease of real property, who holds a valid broker or salesperson license under the Real Estate License Act of 2000 [225 ILCS 454];

d) A business registered as a livestock market agency under the federal Packers and Stockyards Act (7 USC 181 et seq.) or under the Livestock Auction Market Law that employs licensed livestock auctioneers;

e) A vehicle dealer licensed by the Secretary of State of Illinois; any employee of that licensee who is a resident of the State of Illinois, while the employee is acting in the regular scope of his or her employment for the licensee; or sales by or through the licensee;

f) A person under the age of 18 who, while under the direct supervision of a licensed auctioneer, sells items under $250 in value.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.110 Examination

a) Every person who makes application for a license as an auctioneer shall take and pass a written examination authorized by the Division.

b) Each applicant for an auctioneer license shall file an application for examination with the Division or its designated testing service. The application for examination shall include:

1. Certification that the applicant is 18 years of age; and

2. Certification of graduation from high school or equivalent (e.g., GED).

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.120 Application for Auctioneer License and Auction Firm

a) Each applicant for an auctioneer license shall submit, on forms provided by the Division:

1. The applicant's name, address and telephone number;

2. The applicant's Social Security Number and date of birth;

the Division shall make available the applicant's Social Security Number only to the Illinois Department of Revenue to determine a tax delinquency, the Illinois Department of Healthcare and Family Services to determine a delinquency in court ordered child support payments, and the Illinois Student Assistance Commission (ISAC) to determine a delinquency for a student loan authorized by ISAC, or by subpoena;

3. Certification that the applicant is 18 years of age;

4. Certification of graduation from high school or equivalent (e.g., GED);

5. The fee as provided by Section 1440.170 of this Part;

6. A properly completed sponsor card issued in accordance with Section 10-35 of the Act and Section 1440.140 of this Part;

7. Proof of successful completion of the examination authorized by the Division, unless otherwise exempt from examination as provided by Section 10-45 (Nonresident Auctioneer Reciprocity) of the Act and Section 1440.160 of this Part; and

8. Any other information as required by the Division, including but not limited to personal history, criminal record, Illinois tax delinquency, Illinois student loan delinquency, court ordered child support delinquency, or other information used by the Division to determine an applicant's fitness for licensure.

b) A person who desires to conduct auctions, provide an auction service or practice auctioneering in the form of a partnership, corporation or limited liability company shall make application for an auction firm license on forms provided by the Division to the Division and shall include the following:

1. The applicant's name, address and telephone number;

2. The applicant's Federal Employer Identification Number or tax identification number; the Division shall make available an applicant's FEIN or tax identification number only to the Illinois Department of Revenue to determine a tax delinquency, or by subpoena;

3. A list of all officers, directors, and owners with percentage of ownership of the auction firm;

4. Articles of Incorporation or Organization, or other evidence of legal formation or authority to conduct business as approved by the Division;

5. Proof of a properly licensed managing auctioneer;

6. The fee as provided by Section 1440.170 of this Part;

7. All unlicensed officers shall submit affidavits of non-participation with the application; and

8. Any other information required by the Division, including but not limited to personal history, criminal record, Illinois tax delinquency, Illinois student loan delinquency, court ordered child support delinquency, or other information used by the Division to determine an applicant's fitness for licensure.

c) All information provided by an applicant to the Division is subject to audit by the Division within 5 years from the date in which the application was received by the Division.

d) All applicants for licensure have 3 years after the date of application to complete the application process. If the process has not been completed within 3 years after the date of application, the application shall be denied, the fee shall be forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.130 Application for Licensure, Practice Prior to the Act (repealed)

History

• Source: Repealed at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.140 45 Day Permit Sponsor Card

a) A properly issued 45 Day Permit Sponsor Card shall serve as a temporary permit allowing the sponsored individual to engage in the practice of auctioneering for a period of 45 days after its issuance date only under the direct supervision of the sponsoring auctioneer or auction firm.

b) A sponsoring auctioneer or auction firm shall only execute a 45 Day Permit Sponsor Card to a sponsored individual upon presentation of:

1. A valid auctioneer examination passing score report from the Division or its designated testing vendor that states that the sponsoring auctioneer or auction firm may issue a 45 Day Permit Sponsor Card; or

2. An original terminated license, pursuant to Section 10-35 of the Act, endorsed by the sponsoring auctioneer or auction firm by whom the sponsored individual was previously sponsored or associated.

c) Upon issuance of a properly completed 45 Day Permit Sponsor Card:

1. The sponsoring auctioneer or auction firm shall send to the Division within 24 hours the original 45 Day Permit Sponsor Card, the original terminated license (if applicable), the original examination score report and initial application (if applicable), and the proper fee. If the sponsored individual is unable to obtain an original terminated license from his or her previous sponsoring auctioneer or auction firm, the sponsored individual shall prepare a sworn written statement as to why the terminated license is not submitted. The sponsoring auctioneer or auction firm shall submit the written statement in lieu of an original terminated license to the Division;

2. The sponsoring auctioneer or auction firm shall retain a copy of the 45 Day Permit Sponsor Card for its records; and

3. The sponsored individual shall retain a copy of the 45 Day Permit Sponsor Card and shall use it in lieu of a license until a license is issued by the Division, but not for a period in excess of 45 days after its issuance.

d) If a new license has not been issued by the Division within 45 days after the issuance of a 45 Day Permit Sponsor Card, the sponsored individual shall not practice auctioneering.

e) The Division may grant an extension of a 45 Day Permit Sponsor Card, but the extension must be requested in writing by the sponsoring auctioneer or auction firm.

f) If the Division denies any application in which a 45 Day Permit Sponsor Card was issued, the 45 Day Permit Sponsor Card shall be null and void upon written notice from the Division.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.145 Renewals

a) Every license and registration issued under the Act shall expire on December 31, 2010, and thereafter a license shall expire every 2 years on December 31 of each even-numbered year. The holder of a license or registration may renew the license by paying the fee required by Section 1440.170 and meeting the continuing education requirements set forth in Section 1440.310.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee and to renew one's license.

c) Practicing or operating on a license or registration that has expired or been placed on inactive status shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 20-15 of the Act.

History

• Source: Added at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.150 Restoration of Lapsed or Expired License

a) A licensee whose license has lapsed or expired shall have 2 years from the date the license expired to restore his or her license without examination. The licensee whose license has expired shall make application on forms provided by the Division, which shall include the following:

1. The applicant's name, address and telephone number;

2. The applicant's Social Security Number and date of birth;

3. The applicant's license number;

4. The fees as provided by Section 1440.170 of this Part;

5. A properly completed 45 day permit sponsor card issued in accordance with Section 10-35 of the Act and Section 1440.140 of this Part;

6. Proof of successful completion of 12 hours of approved continuing education; and

7. Any other information as required by the Division, including but not limited to personal history, criminal record, Illinois tax delinquency, Illinois student loan delinquency, court ordered child support delinquency, or other information used by the Division to determine an applicant's fitness for licensure.

b) A licensee whose license has lapsed or expired for a period in excess of 2 years shall certify to successful completion of 12 hours of approved education within 6 months prior to making application, and meet the requirements of an initial applicant pursuant to Article 10 of the Act and this Part promulgated for the administration of the Act. The licensee shall make a restoration application on forms provided by the Division.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.160 Nonresident Auctioneer Reciprocity

a) A person holding a current license in good standing to conduct auctions, provide an auction service or engage in auctioneering in a jurisdiction in which the Division has a reciprocal agreement shall make application to the Division on forms provided by the Division that shall include the following:

1. The applicant's name, address and telephone number;

2. The applicant's Social Security Number and date of birth;

3. Certification that the applicant is 18 years of age;

4. Certification of graduation from high school or equivalent (e.g., GED);

5. The fee as provided by Section 10-50 of the Act and Section 1440.170 of this Part;

6. A properly completed sponsor card issued in accordance with Section 10-35 of the Act and Section 1440.140 of this Part;

7. A certification in writing that the nonresident applicant shall abide by all the provisions of the Act and this Part with respect to his or her auction activities within the State of Illinois and submit to the jurisdiction of the Division as provided in the Act and this Part; and

8. Any other information as required by the Division, including but not limited to personal history, criminal record, Illinois tax delinquency, Illinois student loan delinquency, court ordered child support delinquency, or other information used by the Division to determine an applicant's fitness for licensure.

b) A person holding a current nonresident license may become a resident licensee without examination should he or she become domiciled in the State of Illinois.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.170 Fees

a) The license application fee for an auctioneer for:

1. an initial license application shall be $200;

2. a renewal application shall be $225 per year;

3. a renewal application, with fee, that was postmarked after the expiration date of the license, shall be the renewal fee plus a $50 penalty;

4. a restoration application shall be all lapsed renewal application fees, not to exceed $675, plus a $50 penalty and $25 for a 45 Day Permit Sponsor Card;

5. a 45 Day Permit Sponsor Card application shall be $25.

b) The license application fee for an auction firm for:

1. an initial license application shall be $100;

2. a renewal application shall be calculated at the rate of $125 per year;

3. a renewal application, with fee, that was postmarked after the expiration date of the license shall be the renewal fee plus a $50 penalty;

4. a restoration application shall be all lapsed renewal fees, not to exceed $375, plus a $50 penalty;

5. a managing auctioneer change application shall be $25.

c) The license application fee for an auction school for:

1. an initial license application shall be $2,000;

2. a renewal application shall be $1,000 per year;

3. a renewal application, with fee, that was postmarked after the expiration date of the license shall be the renewal fee plus a $250 penalty.

d) The license application fee for an auction continuing education course shall be $50 per course. A duplicate course license shall be $25.

e) The fee for a certification of a licensee's record for any purpose shall be $25.

f) The fee for copies, license certification and other services shall be the cost of preparing and providing the same, as established by policy of the Division.

g) The fee for requesting a waiver of continuing education requirements pursuant to Section 10-30 of the Act and Section 1440.310(d)(2) of this Part shall be $25.

History

• Source: Amended at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.180 Earnings from the Investment of Moneys in the General Professions Dedicated Fund

Pursuant to Section 30-13 of the Act, all earnings received from the investment of moneys deposited into the General Professions Dedicated Fund shall be deposited into the General Professions Dedicated Fund and shall be used for the same purposes as other moneys deposited into the General Professions Dedicated Fund.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.190 Mailing Address of Record and Email Address of Record

Pursuant to Section 2105-7 of the Civil Administrative Code of Illinois [20 ILCS 2105], all applicants and licensees shall:

a) provide a valid mailing address and email address to the Department, which shall

serve as the mailing address of record and/or email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) inform the Division, through electonic means, of any change to the mailing address of record and/or email address of record within 14 days after the change. A licensee who fails to notify the Division of any address change shall be responsible for any failure to comply with any notice sent to the licensee by the Division to the extent it may affect his or her license status or penalties assessed by the Division.

History

• Source: Amended at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.200 Pocket Card (repealed)

History

• Source: Repealed at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.210 Assumed Name

If a licensee operates under any name other than that appearing on his or her license, he or she shall submit to the Division a certified copy of his or her registration under the Assumed Business Name Act [805 ILCS 405] at the time of application or within 30 days after registration.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.220 Supervisory Duties

a) A sponsoring auctioneer, auction firm and managing auctioneer shall have the duty and be responsible to supervise, manage, and control any licensed auctioneer sponsored or managed by the sponsoring auctioneer, auction firm or managing auctioneer while conducting an auction, acting as an auctioneer or providing an auction service. In addition, a sponsoring auctioneer, auction firm and managing auctioneer shall have the duty and be responsible to supervise, manage, and control any unlicensed agent or employee while conducting an auction, acting as an auctioneer or providing an auction service. Any violation of the Act by a licensed or unlicensed employee or agent of a sponsoring auctioneer, auction firm or managing auctioneer shall be deemed to be a violation by the sponsoring auctioneer, auction firm or managing auctioneer.

b) Only the managing and/or sponsoring auctioneer shall execute and issue a 45 Day Permit Sponsor Card and terminate a sponsored licensee's license.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.230 Advertising; Buyer Premium; Disclosure

a) For all advertising for a specific auction (including any print advertising, classified ads, display ads, sale bills, brochures, internet advertising, calendar ads and line ads paid for by a licensee or seller, and websites), a licensee shall clearly disclose the name of the sponsoring auctioneer or the sponsoring auctioneer's properly registered assumed business name. The name of a sponsored auctioneer may be included in the advertisement.

b) The disclosure requirements in subsection (a) do not apply to radio and television advertisements, institutional advertising, signs or calendars run by any publication for which payment is not made by a licensee or seller.

c) A licensee shall conspicuously post or deliver to all registered participants the complete terms and conditions of the auction. The licensee shall clearly announce before the auction the material terms and conditions necessary to understand the procedures for the auction, including but not limited to payment terms and removal and any changes to the posted or delivered terms and conditions. The terms and conditions shall include the material information necessary to understand the procedures for the auction, expressly including payment terms, and, if applicable, buyer registration and buyer premium charges.

d) If a licensee conducts an auction or provides an auction service in which a buyer premium is charged or collected, the licensee shall clearly disclose on any advertisement that there is a buyer premium charge and the terms of the buyer premium.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.240 Unlicensed Assistants

a) An unlicensed assistant shall include, but not be limited to, clerks, cashiers, clerical assistants, ring assistants and laborers.

b) An unlicensed assistant may, while under the direct supervision of, the sponsoring and/or managing auctioneer:

1. prepare, track and document information during the course of an auction, such as a description of the property being sold or leased, the buyer of the property, and the price bid and accepted on the property;

2. collect, accept, record and deposit moneys received from the sale or lease of property at an auction;

3. prepare, track, compute and document on forms (e.g., settlement sheets) information from the sale or lease of property at an auction and disburse funds to sellers;

4. secure and assemble documents and information for an auction contract and complete contract forms at the direction of the sponsoring and/or managing auctioneer;

5. draft and distribute advertising copy, fliers and promotional materials for an auction at the direction of the sponsoring and/or managing auctioneer;

6. perform bookkeeping activities;

7. monitor licenses and personnel files of licensed and unlicensed employees and agents;

8. acknowledge a bid from a member of the audience during the sale or lease of property at an auction and convey the bid to the auctioneer, but only the auctioneer may accept such bid for the sale or lease of property at an auction; and

9. move, handle and set up property to be sold or leased at auction at the direction of, and under the supervision of, the sponsoring and/or managing auctioneer.

c) An unlicensed assistant may not perform any activity other than those described in subsection (b) for which a license is required under the Act.

d) A non-resident employee of a vehicle dealer that is exempt from licensure under the Act and this Part, may perform the activities described in subsections (a) and (b) without requiring a license.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.250 Felony Convictions; Discipline of Other Professional License; Notification

a) A licensee who has a license issued pursuant to the Act or this Part shall notify the Division in writing within 30 days from the date of conviction for any crime described by Section 20-15(3) of the Act. In addition to the notice, the licensee shall provide to the Division the court record and documents involved with the conviction or other information as required by the Division to determine fitness for licensure.

b) A licensee who has had another license disciplined pursuant to Section 20-15(5) of the Act shall notify the Division in writing within 30 days after any adverse final order. In addition to the notice, the licensee shall provide to the Division the record and/or documents involved with the disciplinary action or other information as required by the Division to determine fitness for licensure.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.260 Advertising; Auction Without Reserve; Absolute Auction

a) No advertisement or announcement for an "absolute auction" or "auction without reserve" shall include any terms or language regarding a minimum bid or minimum price.

b) No advertisement or announcement for an "absolute auction" or "auction without reserve" shall be issued unless:

1. there are no liens or encumbrances on the property to be sold other than current tax obligations, easements, or restrictions of record to any person other than the seller, unless every holder of each lien or encumbrance provides the auctioneer written evidence of a binding commitment that the liens or encumbrances shall be released immediately after the sale or at closing, without regard to the amount of the highest bid on the property or the identity of the high bidder; and

2. within the auction contract there is a binding written requirement that the seller, or agent of the seller, shall accept the highest bid, and transfer ownership of the property, without regard to the amount of the highest bid or the identity of the high bidder, and that the seller, or agent of the seller, shall not bid at the "absolute auction" or "auction without reserve", or otherwise participate in the bidding process.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.270 Escrow or Trust Accounts

a) For the purposes of the Act and this Part "escrow monies" means all monies, promissory note, legal tender or financial consideration entrusted to, held by, and deposited with an auctioneer or auction firm in consideration of property sold or leased by the auctioneer or auction firm for the benefit of the parties to the transaction.

b) Pursuant to Section 20-15 of the Act, licensees who accept escrow monies shall maintain and deposit in a special account, separate and apart from any personal or ordinary business accounts, all monies entrusted to the licensee while acting as an auctioneer, while conducting an auction or providing an auction service.

c) A licensee may maintain more than one special account or may elect to hold all escrow monies in one special account. A licensee who accepts escrow monies shall maintain a special account, and shall maintain a bookkeeping system in his or her office or place of business, including systems of electronic data processing, consisting of the following:

1. A record book, called a journal, for each special account, that shall show the chronological sequence in which escrow monies were received and disbursed by the licensee and a running balance after each entry;

2. For each auction, a deal file which contains clerk sheets and settlement sheets that correspond to journal entries;

3. A record or account ledger (e.g., check ledger) that shall show the date, amount of monies deposited into the special account, and date, amount and payee of any money disbursed from the special account; and

4. Bank statements for each special account shall be reconciled monthly within 10 days after the receipt of the bank statement, except where there has been no transactional activity during the previous month. The reconciliation shall include a written work sheet comparing the balances as shown on the bank statement, the journal and the ledger, respectively, in order to insure agreement between the special account and the journal and the ledger entries with respect to the special account. Each reconciliation shall be kept for at least three years from the last day of the month covered by the reconciliation.

d) A licensee who maintains any special account shall notify the Division in writing of the name and location of the depository in which the special accounts are held, and shall execute a written consent giving the Division the authority to examine and/or audit any or all special accounts.

e) The Division shall make available for distribution, on request, samples of approved bookkeeping systems.

f) A licensee shall not commingle any monies held for another in connection with the practice of auctioneering, conducting an auction, or providing an auction service with any personal account or normal business account. A licensee shall only deposit his or her own funds into the special accounts in which escrow monies are held to open the account or maintain a sufficient balance to avoid incurring service charges. In addition, a licensee shall not disburse monies from any special account for his own personal or business use, except for commissions, compensation, fees, advertising or other expenses incurred by the licensee pursuant to the terms of the auction listing contract.

g) A licensee shall deposit all escrow monies into the licensee's special account no later than the next business day following acceptance of the monies.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.280 Termination for Failure to Pay Taxes, Child Support or Student Loan

a) If the Division receives information that a licensee who has been issued a license under the Act has failed to pay or is more than 30 days in arrearage on taxes, court ordered child support or a student loan pursuant to Section 20-20 of the Act, the Division shall notify a licensee that his or her license will be automatically terminated in 30 days from the date of the notice, unless the appropriate administering agency provides to the Division information and proof that the licensee has corrected the failure to pay the arrearage.

b) The licensee may request a hearing on the termination, but the hearing shall be limited to the presentation of evidence on the issues of mistaken identity, proof that the respondent has entered into a payment plan or that the debt has been discharged in bankruptcy.

c) The Division and the Board shall not hear evidence as to whether a licensee has failed to pay or is in arrearage on the payments. The responsibility for the hearing of evidence is with the appropriate administering agency.

History

• Source: Amended at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.300 Continuing Education Schools Approval and License

Approval of continuing education (CE) schools. Those entities seeking approval as CE schools shall maintain an office for maintenance of all records, office equipment and office space necessary for customer service.

a) The CE school's office may be subject to inspection by authorized representatives of the Division during regular working hours and upon at least 24 hours' notice when the Division has reason to believe that there is not full compliance with the Act or this Part and that this inspection is necessary to ensure full compliance.

b) The Division shall be reimbursed by any out-of-state CE school for all reasonable expenses incurred by the inspector in the course of the inspection.

c) Entities seeking approval as CE schools shall file a CE school application, on forms provided by the Division, along with the required fee. The application shall include the following:

1. An agreement by the applicant that the applicant shall provide to the Division, upon request, a schedule including location, date, time and name of instructor of each CE course to be offered;

2. The CE school's certification:

A) that the content areas of all CE courses offered by the CE school for CE credit will conform to those listed in this Part;

B) that all CE courses offered by the CE school for CE credit will comply with the criteria in this Section;

C) the CE school will be responsible for verifying attendance at each CE course and providing a certificate of completion signed by the CE school on forms provided by the Division. Further, that the school will maintain these records for not less than 5 years and shall make these records available for inspection by the Division during regular business hours;

D) that, upon request by the Division, the CE school will submit evidence as is necessary to establish compliance with this Section. The evidence shall be required when the Division has reason to believe that there is not full compliance with the Act and this Part and that this information is necessary to ensure compliance;

E) that the CE school will only offer CE, other than self-study CE, in an environment that is conducive to learning (i.e., adequate lighting, seating) and does not jeopardize the health, safety, and welfare of the attendees; and

F) that financial resources are available to equip and maintain its office in a manner necessary to enable the CE school to comply with this Section and this Part, documented by a current balance sheet, an income statement or any similar evidence requested by the Division.

d) CE schools approved to offer the courses shall be deemed to be approved to offer CE programs upon completion of an application for approval and submission of the fee required by Section 1440.170.

e) Within 30 days after the action by the Auction Advisory Board and the Division, the Division shall issue an approval and license to the CE school or notify the CE school, in writing, why approval cannot be issued.

f) Approved CE schools shall comply with the following:

1. No approved CE school shall allow the premises or classrooms utilized during CE courses to be used by anyone to directly or indirectly recruit new affiliates for any company. CE schools and CE instructors shall report to the Division any efforts to recruit licensees.

2. No approved CE school shall advertise that it is endorsed, recommended, or accredited by the Division. The CE school, however, may indicate that the school and the CE course have been approved and licensed by the Division.

3. Approved CE schools shall utilize in the teaching of approved CE courses only CE instructors who are qualified and knowledgeable in the content offered in the course.

4. Approved CE schools shall specify in any advertising promoting CE courses the number of CE hours that may be credited toward Illinois CE requirements for license renewal. Further, approved CE schools shall specify the number of mandatory or elective CE course hours that may be earned by successfully completing the course.

5. All CE courses given by approved CE schools shall be open to all licensees and not be limited to members of a single organization or group.

g) The CE school shall be responsible for assuring verified attendance at each CE course or self-study examination. No renewal applicant shall receive CE credit for time not actually spent attending the CE course or when a passing score of 70% on the examination was not achieved.

h) To maintain approved CE school status, each CE school shall submit, prior to December 31 of odd numbered years, a school renewal application along with the required fee.

i) Each approved CE school shall submit to the Division on or before the 15th of each month a graduation report of those licensees passing approved CE courses offered by it during the preceding calendar month.

1. If a CE school during the preceding calendar month gave no courses, that CE school shall report in writing that no courses were given.

2. The monthly graduation reports may be submitted in a computer readable format specified by the Division.

3. There is no processing fee for a monthly graduation report submitted in the computer readable format specified by the Division. Each monthly graduation report submitted on paper or in a format other than that specified by the Division shall be accompanied by a processing fee of $.50 per student, per course, listed on the report, payable by check to the Division.

4. A monthly graduation report received by the Division with a postmark after the day it is due (the 15th day of the month) shall be accompanied by an administrative fee of $200 in addition to the fees set forth in subsection (i)(3).

5. If a CE school fails to file monthly graduation reports or a statement saying that none were given, or fails to pay required fees, if any, as set forth in subsections (i)(3) and (4), for three successive months, then the courses offered by that school may be disqualified until all delinquent graduation reports, processing fees, and administrative fees as set forth in subsections (i)(3) and (4) have been submitted to and are received by the Division. The Division shall send notice to the school of an informal conference before the Board and of pending disqualification.

History

• Source: Amended at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.310 Continuing Education

a) Continuing Education Requirements

1. In accordance with Section 10-30 of the Act, during each pre-renewal period, prior to the expiration date of the license, each auctioneer who makes application to renew his or her license must successfully complete 12 hours of auction continuing education courses approved by the Division from a school reviewed by the Board and approved by the Division.

2. Auctioneers licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section, unless they are exempt pursuant to Section 10-30 of the Act and this Section.

3. The Division will conduct internal audits of its records to verify compliance with this Section.

b) Approved Continuing Education

1. CE credit may be earned for verified attendance at or participation in an approved course that is licensed by the Division, and is offered by an approved CE school that is licensed by the Division, that meets the requirements set forth in Section 1440.300.

2. CE credit may also be earned for completion of a distance education course that is offered by an approved CE school that meets the requirements set forth in Section 1440.330.

3. The requirement that CE be obtained through a curriculum reviewed by the Board and approved by the Division shall be satisfied by successful completion of the following:

A) Mandatory category. Each renewal applicant shall successfully complete 12 hours of CE, of which 6 hours shall be mandatory core subjects in the following categories:

i) Illinois statutes and rules governing auctioneering;

ii) federal statutes and regulations governing auctioneering;

iii) auctioneering ethics;

iv) escrow and trust accounts;

v) contracts; and

vi) other subject matter recommended by the Board.

B) Elective category. Each renewal applicant may satisfy the remaining 6 hours of CE from the mandatory core subjects categorized in subsection (b)(3)(A), or may successfully complete an additional 6 hours of CE in the following elective subject categories:

i) agency;

ii) business courses related to auctioneering;

iii) real estate related courses;

iv) auction management;

v) bid calling;

vi) public speaking;

vii) advertising;

viii) specialty auction courses; or

ix) other subject matter recommended by the Board.

4. One hour of approved CE shall include at least 50 minutes of classroom instruction and shall be exclusive of any time devoted to taking the examination set forth in subsection (b)(6).

5. Each CE course shall include one or more subjects from either the mandatory category or elective category set forth in subsection (b)(3)(A) or (B), when the individual is in actual attendance, or participates in, or completes distance education. All CE courses shall be a minimum of three hours and shall be offered in three-hour increments. Each three-hour increment shall be from topics in the core or elective category. In no case shall topics from the mandatory and elective category be combined within the same three-hour period. The CE school shall clearly indicate on the certificate of completion the number of hours earned from each CE course and identify whether the completed course was from the mandatory or elective category.

6. Each CE course shall include the successful completion of an examination that measures the attendee's understanding of the course material. A score of at least 70% is required on the examination for successful completion of any CE course.

A) The examination shall be given on-site immediately following any CE course. When a sequence of courses is offered, the examination will be given at the end of each individual course on material that covers all the aspects of the course.

B) All examinations, including distance education examinations and retake examinations, shall be proctored by a representative of the approved CE school and shall include at least 25 questions for each three-hour period.

C) No credit for CE shall be given to any licensee unless the examination is successfully completed. The CE school shall allow the attendee one retake within 30 days after a failed examination in order to receive credit for CE. No more than one retake shall be allowed. A licensee failing a retake shall not receive credit for the CE course unless the entire course is retaken and the examination is successfully completed.

7. Distance education CE shall comply with all of the requirements of this Section, except that:

A) Verified attendance is only required for taking the examination.

B) Classroom instruction is not required for distance education CE, as the intent is for the licensees to review and learn the material on their own.

C) The examination site for distance education shall be determined by the CE school and it shall be proctored by a representative of the approved sponsor. An instructor is not required to proctor the examination.

8. All CE courses shall:

A) Contribute to the advancement, integrity, extension and enhancement of professional skills and knowledge in the practice of auctioneering.

B) Provide experiences (e.g., role playing, lectures, films) that contain subject matter and course materials relevant to that set forth in this Section.

C) Be developed and presented by persons with education and/or experience in subject matter of the CE course.

9. Nothing shall prohibit an approved CE school and its instructors from utilizing audio-visual aides or satellite communication with two-way voice interaction in assisting in the presentation of CE courses.

10. CE credit may be earned by an instructor for teaching an approved CE course. Credit for teaching an approved CE course may only be earned one time per course during the instructor's pre-renewal period. One hour of teaching is equal to one hour of CE.

11. The CE school shall notify the Division when more than 6 hours of CE is offered in any calendar day. This notification shall be submitted to the Division at least 2 weeks prior to the CE course offering.

c) Certification of Compliance with CE Requirements

1. Each licensee shall certify on the renewal application full compliance with the CE requirements set forth in subsections (a) and (b) of this Section.

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of completion). It is the responsibility of each renewal applicant to provide the additional evidence during any audit as proof of CE completed.

3. When, during any audit or compliance review, the Division determines that a licensee may be deficient in complying with CE requirements, the Division will notify the licensee of the possible deficiency. The licensee shall have 60 days from the date the deficiency notification is received to submit to the Division evidence of compliance with CE requirements.

A) If satisfactory evidence of compliance with CE requirements (as set forth in subsection (c)(2)) is submitted by the December 31 license renewal dealdline, the Division will process the license renewal.

B) If the licensee has certified compliance with CE requirements on the licensee's most recent renewal application pursuant to subsection (c)(1) but cannot submit evidence of having been in compliance on the date the licensee made the certification, the licensee may, during the 60 days notice period, submit evidence of having attained compliance with CE requirements after the date the certification was made. The submission of evidence of post-certification completion must be accompanied by a non-refundable administrative fee of $100 per course credit hour completed after the date the licensee originally certified compliance. The submission of evidence will not be reviewed or considered if the proper fee does not accompany the submission. Upon submission of the evidence and appropriate fee, the evidence will be reviewed. If the evidence is found to be satisfactory, the Division shall notify the licensee and the sponsoring auctioneer of the licensee that the license is in compliance. Any credit hours submitted for post-certification course completion and found satisfactory may not be used as credit for the next renewal requirements.

C) If the licensee fails to submit, within the 60 day notice period, satisfactory evidence of compliance with CE requirements, the failure shall be evidence of a violation of Section 20-15(1) of the Act regarding false or fraudulent representation to obtain a license. The Division shall send notice pursuant to Section 20-5 of the Act indicating the commencement of disciplinary proceedings. A copy of this notice shall be sent to the sponsoring auctioneer of the licensee.

d) Waiver or Extension of CE Requirements

1. An auctioneer is exempt from the continuing education requirements if it is his or her first renewal.

2. As provided for in Section 10-30 of the Act, if licensees have earned CE hours offered in another state or territory for which they will be claiming credit toward full compliance in Illinois, each applicant shall submit an application along with a $25 processing fee within 90 days after completion of the CE course and prior to expiration of the license. The Board shall review and recommend approval or disapproval of the CE course provided the CE school and CE course are substantially equivalent to those approved in Illinois and provided that the course included the successful completion of a proctored examination. In determining whether the CE school and CE course are substantially equivalent, the Board shall use the criteria in Section 1440.310(b).

3. Any renewal applicant seeking renewal of the license or certificate without having fully complied with these CE requirements shall file with the Division a renewal application, a statement setting forth the facts concerning the noncompliance, a request for waiver or extension of the CE requirements on the basis of those facts and, if desired, a request for an interview before the Board. If the Division finds from the statement or any other evidence submitted that good cause has been shown for granting a waiver or extension of the CE requirements, or any part of the requirements, the Division shall waive enforcement of the requirements for the renewal period for which the applicant has applied.

4. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the renewal period;

B) A temporary, incapacitating illness documented by a licensed physician. A second consecutive request for a CE waiver pursuant to this subsection (d)(4)(B) shall be prima facie proof that the renewal applicant has a physical illness, mental illness, or other impairment including, without limitation, deterioration through the aging process, mental illness, or disability that results in the inability to practice the profession with reasonable judgment, skill and safety, in violation of Section 20-15(24) of the Act, which shall be grounds for denial of the renewal or other discipline;

C) Temporary undue hardship (e.g., hospitalization or being disabled and unable to practice auction on a temporary basis).

5. If an interview is requested at the time the request for waiver or extension is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview.

6. Any renewal applicant who submits a request for waiver or extension pursuant to subsection (d)(3) shall be deemed to be in good standing until the Division's final decision on the application has been made.

History

• Source: Amended at 43 Ill. Reg. 11293, effective October 11, 2019

68 Ill. Adm. Code 1440.320 Expiration and Renewal for Continuing Education Schools and Courses

a) Every continuing education school and course license shall expire on December 31 of each odd numbered year.

b) Each licensed CE school shall be responsible for renewal of the CE school and course license on forms provided by the Division. Failure to receive a renewal form shall not constitute a valid reason for failure to pay the renewal fee or to renew the appropriate license.

c) The applicable fees shall be those set forth in Section 1440.170 of this Part.

d) Operation of a CE school on an expired or inoperative license shall constitute the unlicensed or unauthorized practice and shall be grounds for discipline pursuant to Section 20-15 of the Act.

e) Any continuing education school whose license under the Act has expired for more than two years shall not be eligible to renew its license and must make an initial application in accordance with the Act and this Part.

f) Any CE school whose license has expired for less than two years may renew the license at any time by complying with the requirements of the Act and this Part, making application and paying the required fees and penalties.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.330 Distance Education Programs

Distance education programs shall be affiliated with an approved school and meet the curriculum requirements set forth in Section 1440.310 of this Part, as applicable. Distance education programs means those courses designed to be taken by means other than attendance in a classroom, e.g., internet courses or correspondence/home study type courses.

a) The program shall be approved by the Division in accordance with Section 30-10 of the Act, and the approved school shall:

1. Maintain a brief description of each lesson;

2. Maintain a list of titles, authors, publishers, and copyright dates of all instructional materials;

3. Require minimum passing scores for all examinations of no less than 70%.

b) The program shall develop a written statement of teaching methods to be employed and materials and equipment needed for each course of instruction.

c) The program shall establish written policies and procedures for examinations and lessons that shall include provisions for instructor comments, suggestions and written correction of errors. There shall also be written procedures for the prompt return of materials.

d) The program shall establish performance objectives for each specific course of study.

e) A qualified instructor shall be available during normal business hours to answer student questions.

f) Students shall be allowed to attend the school's regularly scheduled CE courses.

History

• Source: Amended at 35 Ill. Reg. 7358, effective April 21, 2011

68 Ill. Adm. Code 1440.340 Class Attendance Requirements

a) Attendance at all classes is mandatory; however, credit for absences not to exceed 10% of the class hours may be made up by attendance at make-up classes as provided in subsection (b). Absences in excess of 10% of class hours shall result in failure of the course.

b) Each school shall provide time and facilities for conducting make-up classes for students who were absent from the regularly scheduled class period.

History

• Source: Added at 25 Ill. Reg. 12586, effective September 28, 2001

68 Ill. Adm. Code 1440.350 Withdrawal of Approval of School and Courses

a) Upon written recommendation of the Board, the Division shall withdraw the approval of the continuing education school or course when the quality of the program fails to continue to meet the established criteria set forth in this Part or if approval of the school or program was based upon false or deceptive information.

b) If the Board has reason to believe there has been any fraud, dishonesty, or lack of integrity in the furnishing of any documentation for the evaluation of a school or program, it shall refer the matter for investigation and any disciplinary action that might be appropriate under the Act and this Part.

c) A CE school whose program or courses are being reconsidered shall be given at least 30 days written notice prior to any reconsideration by the Board. The officials in charge may either submit written comments or request a hearing before the Board.

d) In the event the auction license of the administrator of an approved school is suspended or revoked, the school approval shall automatically be rescinded.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.360 Discipline of Schools

a) Upon written recommendation of the Board to the Secretary, the Division may refuse to issue or renew a license, reprimand, fine, withdraw approval, place on probation, suspend, or revoke any license or otherwise discipline any license of any school, or applicant for the license, and may impose a civil penalty not to exceed $10,000 upon a licensee, when at any time:

1. The quality of the course, instruction or program fails to meet the established criteria set forth in the Act and this Part.

2. If the license approval was based upon false or deceptive information.

3. If any other professional license, accreditation, or certification by the Division of the school is suspended, revoked, or otherwise disciplined.

4. When the applicant or licensee has:

A) subverted or attempted to subvert the integrity of any exam or course, including through improper reproduction of an exam, providing an answer key to an exam, cheating, bribery or otherwise, or aids and abets an applicant or licensee to subvert the integrity of any exam or course;

B) made any substantial misrepresentation or misleading or untruthful advertising, including without limitation guaranteeing success or a "pass score" on any exam or in any course or using any trade name or insignia of membership in any educational or any auction organization of which the applicant or licensee is not a member;

C) offered auction courses without utilizing qualified instructors;

D) failed to provide information to the Division as required under any provision of the Act or this Part; or

E) disregarded or violated any provisions of the Act or this Part.

b) Disciplinary proceedings shall be conducted as provided for in Article 20 of the Act.

c) Upon recommendation of the Auction Advisory Board, the Division may temporarily suspend, without hearing, the approval and license of a school's courses for failure to comply with the Act or this Part. No CE credit shall be granted to any licensee for completing a CE course for which the approval of the Division has been temporarily suspended.

History

• Source: Amended at 33 Ill. Reg. 7077, effective May 14, 2009

68 Ill. Adm. Code 1440.400 Definitions (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.410 Registration (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.420 Expiration of Registration (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.430 Renewal of Registration (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.440 Issuance of Certificate of Registration (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.450 Notification of Name Change (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.460 Assumed Name (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.470 Notification of Address Change (repealed)

History

• Source: Repealed at 42 Ill. Reg. 4569, effective March 9, 2018

68 Ill. Adm. Code 1440.480 Fees (repealed)

History

• Source: Repealed at 35 Ill. Reg. 7358, effective April 21, 2011

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1445 Community Association Manager Licensing and Disciplinary Act

68 Ill. Adm. Code 1445.10 Definitions

"Act" means the Community Association Manager Licensing and Disciplinary Act [225 ILCS 427].

"Address of record" means the designated street address, which may not be a post office box, recorded by the Department in the applicant’s or licensee’s application file or license file maintained by the Department. [225 ILCS 427/10]

"Affiliation agreement" is any binding agreement between a community association management firm or an unaffiliated community association manager and an entity under common ownership pursuant to which the firm or unaffiliated community association manager receives some form of compensation or benefit in exchange for the affiliate offering or providing goods or services to a community association managed by the community association management firm or an unaffiliated community association manager.

"Board" means the Community Association Manager Licensing and Disciplinary Board. [225 ILCS 427/10]

"CE" is an abbreviation for continuing education.

"Community association management firm" means a company, corporation, limited liability company, partnership or other entity that engages in community association management. [225 ILCS 427/10]

"Community association manager" means an individual who:

has an ownership interest in or is employed by a community association management firm, or is directly employed by or provides services as an independent contractor to a community association; and

administers for remuneration the financial, administrative, maintenance, or other duties for the community association, including the following services:

collecting, controlling or disbursing funds of the community association or having the authority to do so;

preparing budgets or other financial documents for the community association;

assisting in the conduct of community association meetings;

maintaining association records;

administering association contracts or procuring goods and services in accordance with the declaration, bylaws, proprietary lease, declaration of covenants, or other governing document of the community association or at the direction of the board of managers; and

coordinating financial, administrative, maintenance, or other duties called for in the management contact, including individuals who are direct employees of the community association. [225 ILCS 427/10]

"Credit Hour" means a minimum of 50 minutes of instruction through a course approved by the Division in a classroom, by interactive webinar, online distance education, correspondence, or a home study course.

"Department" means the Department of Financial and Professional Regulation.

"Designated community association manager" means a licensed community association manager who:

has an ownership interest in or is employed by a community association management firm to act as a controlling person;

is the authorized signatory or has delegated signing authority for the firm on community association accounts; and

supervises, manages, and is responsible for the firm’s community association manager activities. [225 ILCS 427/10]

"Director" means the Director of the Department of Financial and Professional Regulation-Division of Real Estate.

"Division" means the Department of Financial and Professional Regulation-Division of Real Estate with the authority delegated by the Secretary.

"Education Sponsor" means an entity approved by the Department offering courses in pre-license or continuing education.

"Email address of record" means the designated email address recorded by the Department in the applicant’s application file or the licensee’s license file, as maintained by the Department. [225 ILCS 427/10]

"Interactive Delivery Method" means delivery of a course approved by the Department through a medium allowing for interaction with the student.

"Interactive Webinar" means delivery of a course by a licensed instructor through a medium allowing for live 2-way communication between the licensed instructor and student in which either can initiate or respond to questions, including live instruction and real-time discussion via satellite, video or webcam that allows for student participation and comprehension.

"Learning Management System" means a software application used for the administration, documentation, tracking, reporting, and delivery of educational courses or training programs.

"Licensee" means a person who holds a license to act as a community association manager under the Act or other authority to practice issued under the Act.

"Online Distance Education" means education courses that are interactive, but not in real time, in which students independently learn and review material online, and, for verification of the student’s participation and comprehension, interact with an Illinois licensed instructor or Learning Management System.

"Person" means and includes individuals, entities, corporations, limited liability companies, registered limited liability partnerships, foreign and domestic partnerships, and other business entities, except that when the context otherwise requires, the term may refer to a single individual or other describe entity.

"Pre-licensing Hours" means participation in an actual classroom setting, or its equivalent, or via an interactive delivery method or an interactive webinar.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation or the Secretary’s designee.

"Unaffiliated Community Association Manager" means a community association manager who is not associated with a community association management firm by virtue of direct employment, an independent contractor agreement, or otherwise.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.15 Information Required from Licensee or Applicant

a) Address of Record and Email Address of Record

1. Pursuant to Section 2105-7 of the Civil Administrative Code of Illinois [20 ILCS 2105], all applicants and licensees shall:

A) Provide to the Division a valid address, which shall not be a post office box, and a valid email address, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

B) Inform the Division, in a format and manner prescribed by the Division, within 14 days after any change, in the address of record or email address of record.

2. The use by the Division of the email address provided by the applicant or licensee shall be considered a valid service or notice to the applicant or licensee regardless of whether the service or notice goes to the applicant’s or licensee’s “spam” or “junk” email folder.

b) Aliases, Diminutives and Nicknames

Within 14 days after the change, each licensee shall notify the Division, in a format and manner prescribed by the Division, of any name change.

1. The licensee shall notify the Division if the licensee regularly practices under an alias, diminutive, or nickname of the licensee’s name.

2. If an individual licensee’s name is changes as a result of a court order or marital status, the licensee shall:

A) Notify the Division of the name change;

B) Provide the Division with a copy of the marriage certificate or portion of the court order relating to the name change; and

C) Indicate the name to be used for licensure.

3. The licensee shall ensure that all CE certificates are issued under the name used for licensure.

c) Designation

No licensed Community Association Manager shall use the title “property manager” in connection with the performance of their duties as a Community Association Manager.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.20 Requirements for Licensure Under Section 40(c) of the Act (grandfather) (repealed)

History

• Source: Repealed at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.30 Application for Licensure as a Community Association Manager

a) An applicant for a license as a Community Association Manager shall file an application, on forms supplied by the Division, that includes the following:

1. verification that the applicant is at least 18 years of age;

2. successful completion of a 4-year course of study in a high school, secondary school, or an equivalent course of study approved by the state in which the school is located, or possession of a high school equivalency certificate, which shall be verified under oath by the applicant.

3. satisfactory evidence of having completed at least 20 hours in community association management courses as set forth in Section 1445.40;

4. successful completion of the examination in Section 1445.50; and

5. the fee required by Section 1445.100;

b) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given, or need for clarification, the applicant seeking licensure shall provide information as the Division, in its discretion, may find necessary.

c) Applicants have 3 years from the date of application to complete the application process. If the process has not been completed within 3 years, the application shall be denied and the fee forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.35 Community Association Management Firms

a) It shall be unlawful for persons to render community association management services in this State in the form of a corporation, limited liability company, partnership, limited partnership or limited liability partnership in accordance with Section 50 of the Act unless the person holds a community association management firm license. A Community Association Management Firm seeking a license shall file an application with the Department, on forms provided by the Department, together with the following:

1. If an assumed name is to be used, a certified copy of the assumed name certificate, pursuant to the Assumed Business Name Act [805 ILCS 405];

2. A Federal Employer Identification Number (FEIN);

3. A properly completed Community Association Management Firm information form;

4. The fee required by Section 1445.100(a)(3); and

5. Evidence that the Community Association Management Firm has a licensed and designated Community Association Manager.

6. The application form prescribed by the Department for initial licensure and renewal of licensure will require all applicants to provide the following information:

A) whether the applicant is custodian of Association Accounts;

B) the average number of Association Accounts the applicant handles as a custodian during the most recent calendar year; and

C) whether the applicant maintains crime/fidelity insurance for such Association Accounts the applicant handles as custodian.

7. If a Community Association Management Firm maintains multiple offices under a single Community Association Management Firm license, the address of record and email address of record for all offices so maintained and a certification that the Community Association Management Firm’s designated Community Association Manager shall assume all responsibilities and perform all duties required of a designated Community Association Manager for all offices maintained by the Community Association Management Firm.

b) All requirements for a licensee to practice as a Community Association Management Firm shall be met within one year after the date of original application or the application shall be denied, and the fee forfeited. Thereafter, to be considered for licensure, the applicant shall file a new application with the required fee.

c) Corporations, in addition to the items listed in subsection (a), shall submit the following:

1. The name of the corporation, its registered address, a list of all officers and the license number for each officer who is licensed as a Community Association Manager; and

2. A copy of the Articles of Incorporation bearing the seal of the office, in the jurisdiction in which the corporation is organized, whose duty it is to register corporations under the laws of that jurisdiction. If it is a foreign corporation, a copy of the certificate of authority to transact business in this State is also required.

d) Limited liability companies, in addition to the items listed in subsection (a), shall submit the following:

1. The name of the limited liability company, its registered address, if member-managed, a list of all members and the license number for each member who is licensed as a Community Association Manager, or if manager-managed, a list of all managers and the license number for each manager who is licensed as a Community Association Manager. If a member or manager of the limited liability company is an entity, the applicant shall provide the name and license number for any Community Association Managers who are owners, officers, managers, members, or partners of the entity; and

2. A copy of the Articles of Organization filed with the Illinois Secretary of State or, if it is a foreign limited liability company, a copy of the application for admission endorsed by the Illinois Secretary of State.

e) Partnerships, in addition to the items listed in subsection (a), shall submit the following:

1. The name of the partnership, its business address, the names of all general partners and the license number for each general partner who is licensed as a Community Association Manager; and

2. An affidavit stating that the partnership has been legally formed.

f) Limited partnerships or limited liability partnerships, in addition to the items listed in subsection (a), shall submit the following:

1. The name of the limited partnership or limited liability partnership, its business address, the names of all limited partners or limited liability partners and the license number for each limited partner or limited liability partner who is licensed as a Community Association Manager. If a limited partner or limited liability partner is an entity, the applicant shall provide the name and license number for any Community Association Managers who are owners, officers, managers, members, or partners of the entity; and

2. A letter of authority from the Illinois Secretary of State’s Limited Liability Division or, if it is a foreign limited partnership or limited liability partnership, a copy of the application for admission endorsed by the Illinois Secretary of State.

g) Upon receipt of the required documents and review of the application, the Department shall issue a license authorizing the corporation, limited liability company, partnership, limited partnership, or limited liability partnership to practice as a Community Association Management Firm or shall notify the applicant for the reason for the denial of the license.

h) Licensees engaging in licensed activities in the form of a corporation, limited liability company, partnership, limited partnership, or limited liability partnership must:

1. Remain in active status and in good standing in accordance with the requirements of the jurisdiction where it is registered and must be authorized to conduct or transact business; and

2. Notify the Division, in a format provided by the Division, within 48 hours of any change to its status/registration resulting in the inability to conduct or transact business in the jurisdiction in which it is registered/was authorized to conduct or transact business; and

3. Be authorized to conduct or transact business in Illinois. The license of any business entity that is not in good standing with the Illinois Secretary of State, or is not authorized to conduct business in Illinois, shall immediately become inactive and that entity shall be prohibited from engaging in any licensed activities.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.40 Pre-License Education

An applicant for a license as a Community Association Manager shall provide evidence of successful completion of a minimum of 20 credit hours in community association management coursework as follows:

a) All community association manager applicants must satisfactorily complete a minimum of 20 pre-licensing credit hours of instruction approved by the Division during the 24 months immediately preceding the date the licensure examination is taken and passed. No applicant shall be allowed to take the licensure examination unless the applicant provides satisfactory evidence of completion of the requisite education. Each hour shall consist of at least 50 minutes of instruction.

b) The 20 credit hours of education shall be comprised of courses in the following areas:

1. State and federal laws relating to the operation of all types of community associations, governing documents, and State laws relating to for-profit corporations and to nonprofit corporations;

2. Preparation of community association budgets and community association finances;

3. Management, personnel matters, customer service and ethics;

4. Maintenance operations;

5. Insurance matters relating to community associations;

6. Procedures for noticing and conducting community association meetings; and

7. Project management.

c) The Community Association Institute’s M-100 course, “Essentials of Community Association Management”, Illinois-specific edition and/or the Institute of Real Estate Management’s COM-201 course may be credited toward the 20 hours of pre-license education without further approval from the Department.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.50 Licensure Examinations

Pursuant to Section 1445.30(a)(4), a community association manager applicant shall successfully complete and pass at least one of the following examinations:

a) Community Association Managers International Certification Board (CAMICB) examination;

b) Institute of Real Estate Management (IREM) Community Association Management Exam (COMEXM); or

c) An examination approved by the Department.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.60 Endorsement

a) An applicant who is licensed/registered under the laws of another state or territory of the United States and who wishes to be licensed in Illinois as a Community Association Manager shall submit to the Division in a manner prescribed by the Division:

1. An application, on forms prescribed by the Division and signed by the applicant, on which all questions have been truthfully answered; and

2. Certification from the state or territory of the United States or the foreign country in which the applicant was originally licensed/registered and is currently licensed/registered, stating:

A) The time during which the applicant was licensed/registered;

B) Whether the file of the applicant contains any record of disciplinary actions; and

C) Examinations taken and passed;

D) Any pre-license education requirements.

3. The required fee set forth in Section 1445.100(a)(2).

b) The Division shall examine each endorsement application to determine whether the requirements and examination in the jurisdiction at the date of licensing were substantially equivalent to the requirements and examination of this Part or the applicant possesses individual qualifications at the time of application that were substantially equivalent to the requirements then in force in this State.

c) Applicants have 3 years from the date of application to complete the application process. If the process has not been completed within 3 years, the application shall be denied, the fee forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.70 Renewal

a) Every Community Association Manager license issued under the Act shall expire August 31 of odd-numbered years. The holder of a license may renew that license during the 90 days preceding the expiration date by completing the renewal form, paying the required fee, completing all required continuing education, and meeting any other requirements established for renewal.

b) Every Community Association Management firm license issued under the Act shall expire August 31 of odd-numbered years. Licenses first issued in 2023 shall expire August 31, 2025. The holder of a license may renew that license during the 90 days preceding the expiration date by completing the renewal form, paying the required fee, and meeting any other requirements established for renewal.

c) It is the responsibility of each licensee to notify the Division of any change of address of record within 14 days after such change through the Department’s website or in a manner prescribed by the Department. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew the license. Practice on a non-renewed license shall be considered unlicensed practice and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.80 Inactive Status

a) Licensed Community Association Managers or licensed Community Association Management Firms who notify the Division, in a manner prescribed by the Division, may place their licenses on inactive status for a period not to exceed 2 years and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Any licensed Community Association Manager or licensed Community Association Management Firm seeking restoration from inactive status shall do so in accordance with Section 1445.90.

c) Any Community Association Manager whose license is in non-renewed or inactive status shall not use the title "licensed Community Association Manager" in the State of Illinois. Any Community Association Management Firm whose license is in non-renewed or inactive status shall not use the title “licensed Community Association Management Firm” in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.90 Restoration

a) Any Community Association Manager whose license has been in non-renewed status or expired for 5 years or less may have the license restored upon payment of the restoration fee plus all lapsed renewal fees as set forth in Section 1445.100, and completion of all required continuing education.

b) Any person seeking restoration of a license that has been placed on inactive status for 2 years or less shall file an application, on forms prescribed by the Division, together with the fee required by Section 1445.100 and, if applicable, the current renewal fee required by Section 1445.100 and, if a Community Association Manager, proof of compliance with the continuing education requirements.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall provide information as the Division, in its discretion, may find necessary.

d) Military Renewal or Restoration. A person is eligible for the restoration or renewal without paying any lapsed renewal fees of an expired license if:

1. that person's license expired while:

A) in federal service on active duty with the Armed Forces of the United States or called into service or training with the State Militia; or

B) in training or education under the supervision of the United States preliminary to induction into the military service; and

2. within 2 years after honorable termination of the service, training or education, except under condition other than honorable, the licensee furnishes the Department with satisfactory evidence of engagement and that the service, training, or education has been so honorably terminated. [227 ILCS 427/60]

e) Any person whose license has been expired or inactive for a period of more than 5 years is ineligible to have that license restored and must re-apply for licensure pursuant to the provisions of the Act and of Section 1445.30 of this Part.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.100 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The application fee for a license as a Community Association Manager is $300. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The application fee for a license as a Community Association Manager certified or licensed under the laws of another jurisdiction is $300.

3. The application fee for a license as a Community Association Management Firm is $650.

4. The application fee for approval as a CE sponsor is $100.

5. The application fee for approval a pre-license or CE course is $50 per credit hour.

b) Renewal and Restoration Fees

1. The renewal fees for a Community Association Manager license are $300 for a two-year license.

2. The renewal fee for a Community Association Management Firm license is $650 for a two-year license.

3. The restoration fee for a Community Association Manager license other than from inactive status that has been in non-renewed status or expired for 5 years or less is $50 plus payment of all lapsed renewal fees.

4. The restoration fee for a Community Association Management Firm license that has been in non-renewed status or expired for 5 years or less is $200 plus payment of all lapsed renewal fees.

5. The fee for requesting that a license be changed from inactive to active status is $50.

c) General Fees

1. The fee for processing a change in the identity of a Community Association Management Firm’s designated community association manager is $25.

2. The fee for a certification of a licensee's record for any purpose is $20.

3. The fee for a copy of the proceedings under Section 115 of the Act is the cost of a copy of the transcript. A copy of the balance of the record will be provided at the Department’s cost of producing the record.

4. The fee for certifying the record referred to in Section 150 of the Act is $1 per page.

5. The Division may charge an administrative fee, not to exceed $500, as a part of a compliance agreement issued with an administrative warning letter pursuant to Section 85 of the Act.

d) All fees paid pursuant to the Act and this Section shall be made payable to the Department of Financial and Professional Regulation and are nonrefundable.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.105 Fidelity Insurance

a) No designated Community Association Manager or the Community Association Management Firm that employs the designated Community Association Manager may have access to or disburse community association funds unless there is fidelity insurance in place to insure against loss or theft of community association funds.

b) The fidelity insurance must at all times be in the maximum amount of coverage available to protect funds in the custody or control of the designated Community Association Manager or the Community Association Management Firm providing services to the association and shall cover the:

1. designated Community Association Manager;

2. the Community Association Management Firm;

3. all community association managers;

4. all partners, officers, and employees of the Community Association Management Firm; and

5. the community association’s officers, directors and employees.

c) Unless an agreement between the community association and the designated community association manager or the community association management firm provides to the contrary, a community association may secure and pay for the fidelity insurance required by this Section. The designated community association manager, all other licensees, and the community association management firm must be named as additional insured parties on the community association policy. [225 ILCS 427/55(a)(5)]

d) If the fidelity insurance is not secured and paid for by the association, the Community Association Manager or the Community Association Management Firm that secures and pays for the insurance shall provide a current certificate of fidelity insurance to the community association for which it provides community association management services with 10 days of a request for such certificate by the community association for its records.

e) The designated Community Association Manager or their Community Association Management Firm shall obtain general liability and errors and omissions insurance to cover any losses or claims against a Community Association Manager, the designated Community Association Manager, or the Community Association Management Firm.

f) The Community Association Manager or the Community Association Management Firm shall provide a current certificate of general liability and errors and omissions insurance to the community association for which it provides community association management services within 10 days of a request for such certificate by the community association for its records.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.110 Supervision and Management

a) A licensee with an ownership interest in or directly employed by a Community Association Management Firm may perform activities at multiple offices or client locations as a licensee only for their Community Association Management Firm. No community association manager may be the designated community association manager for more than one firm, corporation, limited liability company, partnership or other legal entity. [225 ILCS 427/50(c)]

b) The designated community association manager shall supervise and manage all licensed and unlicensed employees acting on behalf of the community association management firm. The designated community association manager shall supervise and manage all independent contractors providing community association management services on behalf of the community association management firm. [225 ILCS 427/50(c)] This supervision of activities includes, but is not limited to:

1. Implementation of and communication of office policies and procedures established by the community association management firm;

2. Training of licensees and unlicensed employees;

3. Supervising those Association Accounts over which the Community Association Management Firm has delegated responsibility to the designated Community Association Manager in order to ensure compliance with the Association Accounts provisions of the Act, Section 1445.120, and this Part;

4. Supervising all advertising, in any media, of any community association management service for which a license is required;

5. Training licensees on the requirements of federal and State laws and local ordinances relating to the practice of community association management; and

6. Overseeing compliance with this Section by licensees and offices under their supervision.

c) The Community Association Management Firm shall establish a written firm policy and remain ultimately responsible for compliance with the Act and this Section. Pursuant to Section 50(a) of the Act, the Community Association Management Firm shall provide evidence to the Department that the firm has designated a licensed Community Association Manager to supervise and manage the firm. Having a designated community association manager shall be a continuing requirement of firm licensure. [225 ILCS 427/50(a)]

d) Any violation of the provisions of the Act on the part of any licensees with an ownership interest in or employed by a Community Association management Firm, or associated by written agreement with the Community Association Management Firm, or an unlicensed employee of a Community Association Management Firm, shall not be cause for suspension or revocation of the license of the Community Association Management Firm or a designated Community Association Manager of the Community Association Management Firm, unless the Community Association Management Firm or designated Community Association Manager had knowledge of the violation of the Act. However, and in accordance with Section 50(c) of the Act, failure of a Community Association Management Firm to provide an appropriate written office policy shall be cause for discipline, including suspension or revocation of the license of the Community Association Management Firm or designated Community Association Manager. The community association management firm and the designated community association manager shall be responsible for all actions of which they had knowledge taken on behalf of the community association management firm. [225 ILCS 427/50(c)]

e) Each designated Community Association Manager shall, within 14 days of a Community Association Manager becoming employed by or associated with the Community Association Management Firm, inform the Department in the manner prescribed by the Department of the name and license number of that newly employed or associated Community Association Manager. Each designated Community Association Manager shall, within 14 days, notify the Department in the manner prescribed by the Department of any termination of employment or association with their Community Association Management Firm of a Community Association Manager and provide that licensee’s name and license number.

f) A Community Association Management Firm shall report to the Department, in a manner prescribed by the Department, within 14 days, any changes to that Community Association Management Firm’s designated Community Association Manager.

g) A designated Community Association Manager shall notify the Department in the manner prescribed by the Department of any change of business address within 14 days after any change.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.125 Audits

a) General Rule

The Department may cause an audit of the accounts, including, but not limited to, all related electronic records, of a Community Association Management Firm or an unaffiliated Community Association Manager by its own employees or by a licensed certified public accountant as provided for in this Section. The audit may be conducted for the purpose determining, pursuant to Section 55 of the Act and Section 1445.120 of this Part, whether the Community Association Management Firm or unaffiliated Community Association Manager maintains separate, segregated accounts for each managed community association and/or whether it has commingled the funds of any of the community associations which it manages.

b) The Department shall notify in writing the Community Association Management Firm, and/or unaffiliated Community Association Manager that an auditor has been retained to audit their accounts, the identity of the auditor or auditing firm and the requirement that the Community Association Management Firm, and/or unaffiliated Community Association Manager shall submit all pertinent records for audit within 30 days after receipt of the written notice.

c) Procedures for Audit

The auditor or the Department shall contact the Community Association Management Firm, and/or unaffiliated Community Association Manager responsible for their accounts for the purpose of scheduling the audit of the accounts. The Community Association Management Firm and/or unaffiliated Community Association Manager shall provide the records requested at the scheduled time and location or as otherwise agreed by the Community Association Management Firm and/or unaffiliated Community Association Manager and the auditor or the Department.

d) Written Report

Any licensed certified public accountant performing an audit for the Department under the provisions of this Section and the Act shall provide a written report to the Department, with a copy to the Community Association Management Firm and/or unaffiliated Community Association Manager detailing the findings of the auditor with specific reference to compliance with the requirements of this Section and the Act.

e) Noncompliance and Cost of Audit

The Community Association Management Firm and/or unaffiliated Community Association Manager shall be liable for the cost of the audit if an order is issued by the Director finding that it or its employees, independent contractors, agents or designees, misappropriated funds held on behalf of a Community Association or if the Community Association Management Firm, and/or unaffiliated Community Association Manager or their employees, independent contractors, agents, or designees did not comply with the requirements of the Act or this Part.

f) Pursuant to Section 105 of the Act, the Department shall have the power to subpoena documents, books, records, or other materials and to bring before it any person and to take testimony either orally, by written interrogatory or any combination thereof, in order to enforce this Section.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.130 Association Accounts

a) Association Accounts

1. “Association Accounts” means all accounts under the care and control of the Community Association Management Firm or an unaffiliated Community Association Manager, and with respect to which a Community Association Management Firm or unaffiliated Community Association Manager has signatory authority, that are deposited with or maintained by the Community Association Management Firm or the unaffiliated Community Association Manager for the benefit of the community associations represented. The maintenance of such accounts shall be custodial, and such accounts shall be in the name of the respective community association. [225 ILCS 427/55(b)]

2. Community Association Management Firms or unaffiliated Community Association Managers who accept moneys shall maintain and deposit in an Association Account, separate and apart from personal or other business accounts, all community association moneys entrusted to them while acting as the Community Association Management Firm or as the unaffiliated Community Association Manager.

3. A Community Association Management Firm or unaffiliated Community Association Manager shall maintain a separate segregated Association Account for each association for which they provide community association management services.

4. Every Association Account shall be maintained at a federally insured depository unless otherwise directed in writing by the community association.

5. Commingling Prohibited

Each Community Association Management Firm or unaffiliated Community Association Manager shall deposit only Association Account funds received in connection with a community association in an Association Account. The funds shall not be commingled with the Community Association Management Firm’s funds, the unaffiliated Community Association Manager’s funds or the funds of any other community association.

6. The Community Association Management Firm or the unaffiliated Community Association Manager shall provide a receipt to the payor of any cash constituting Association Account funds and shall retain a copy of the receipt.

b) Association Account Records

Each Community Association Management Firm or unaffiliated Community Association Manager that accepts community association funds shall maintain in their office or place of business a bookkeeping system in accordance with sound accounting principles. Without limiting the foregoing, the system shall consist of at least the following Association Account Records:

1. Ledger

A ledger shall be maintained for each Association Account. The ledger shall show the chronological sequence in which funds are received and disbursed by the Community Association Manager.

A) For funds received, the ledger shall include the date the funds were received, the name of the person or entity on whose behalf the funds were delivered or means by which they were collected, the check or transaction number and the amount delivered.

B) For funds disbursed, the ledger shall include the date the funds were disbursed, the payee, the check or transaction number and the amount disbursed.

C) A running balance shall be shown after each entry (receipt or disbursement).

2. Monthly Reconciliation Statement

Each Community Association Management Firm or unaffiliated Community Association Manager shall reconcile, within 30 days after receipt of the monthly bank statement, or within such other time as established in a management agreement between a Community Association Management Firm or an unaffiliated Community Association Manager and a community association, but in no event no less than quarterly, each Association Account except when there has been no transactional activity during the previous month. Reconciliation shall include a written or electronic work sheet comparing the balances as shown on the depository statement and the ledger, respectively, to ensure agreement between the Association Account and the ledger entries with respect to the Association Account. Each reconciliation shall be kept for a t least 5 years from the last day of the month covered by the reconciliation.

3. Master Association Account Log

Each Community Association Management Firm or unaffiliated Community Association Manager shall maintain a Master Association Account Log identifying all Association Accounts, the account type, and the name and address of the depository where the Association Accounts are located. The Master Association Account Log must specifically include all bank accounts opened for a community association even if the account falls under another umbrella account.

4. A Community Association Management Firm, an unaffiliated Community Association Manager or a third-part vendor may employ a more sophisticated bookkeeping system based on sound accounting principles, including a system of electronic data processing equipment. However, any such system must contain or produce printed records containing the information required by this Section, although it need not be in the same format as provided for in this Section. Compliance with the bookkeeping duties remains the responsibility of the Community Association Management Firm or the unaffiliated Community Association Manager. The Community Association Management Firm or the unaffiliated Community Association Manager is ultimately responsible for the proper administration of the Association Accounts pursuant to this Section regardless of whether a designated Community Association Manager has been delegated by a Community Association Management Firm signatory or signing authority on Association Accounts.

5. If association funds are transferred from an Association Account to another account for disbursement, the Community Association Management Firm or unaffiliated Community Association Manager must maintain a copy of all records reflecting a disbursement from the other accounts.

6. Pursuant to Section 85 of the Act, any books, records, documents, or forms requested by the Department must be made available by the Community Association Management Firm or unaffiliated Community Association Manager within 30 days of such request.

7. Each Community Association Management Firm and unaffiliated Community Association Manager shall institute a written office policy to ensure that the community association management firm deposits and maintains Association Account funds in compliance with this Section.

8. Each Community Association Management Firm, and each Community Association Manager not associated with a Community Association Management Firm at the time of the original application for licensure and at the time of renewal of licensure shall file with the Department, on forms provided by the Department, the following information:

A) whether the applicant maintains Association Accounts;

B) the average number of Association Accounts so maintained during the most recent calendar year; and

C) whether the applicant maintains crime/fidelity insurance for such maintained Association Accounts.

9. Unless otherwise specifically set forth in a management agreement or other contract between a Community Association Management Firm or between an unaffiliated Community Association Manager and a community association, the Community Association Management Firm or unaffiliated Community Association Manager shall, within 10 days following receipt of the written request of a duly authorized representative of the association’s board of directors, make available to the community association’s board of directors, or its duly authorized designee, all of its Association Account Records.

10. Unless otherwise specifically set forth in a management agreement or other contract between a Community Association Management Firm and a community association or between an unaffiliated Community Association Manager and a community association, the Community Association Management Firm or unaffiliated Community Association Manager shall provide to the party identified and authorized by the community association’s board of managers all Association Accounts, funds, ledgers and monthly reconciliation statements with 10 days of a written request by the community association to transition such accounts, funds and records.

c) Pursuant to Section 105 of the Act, the Department shall have the power to subpoena documents, books, records, or other materials and to bring before it any person and to take testimony either orally, by written interrogatory or any combination thereof, in order to enforce this Section.

d) Violations

Any licensee who violates any of the provisions of this Section may be deemed to have endangered the public interest pursuant to Section 85 of the Act and may be subject to discipline pursuant to Section 85 of the Act.

History

• Source: Amended at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.200 Continuing Education

a) Continuing Education Credit Hour Requirements

1. Beginning with the renewal period ending August 31, 2025, each Community Association Manager shall complete 12 credit hours of CE for each renewal period.

2. If the current term of the Community Association Manager license ends within the 90 days after the initial Community Association Manager license is issued, the licensee is not required to complete CE for that Community Association manager license term but shall complete all CE requirements before the next Community Association Manager license renewal deadline.

3. Community Association Managers licensed in Illinois, but residing and/or practicing in other states, shall comply with the CE requirements set forth in this Section.

4. The Department shall conduct audits to verify compliance with this Section.

b) Approved Continuing Education

1. CE credit may be earned for verified attendance at or participation in, and completion of, a course offered by an approved CE sponsor that meets the requirements of:

A) Community Association Managers International Certification Board (CAMICB);

B) Community Associations Institute (CAI);

C) Apartment Building Owners and Managers Association (ABOMA);

D) Institute of Real Estate Managers (IREM);

E) Association of Condominium, Townhouse and Homeowners Associations (ACTHA);

F) any Illinois-accredited school, college, or university;

G) any Illinois-approved education sponsor offering courses related to Section 1445.210; and

H) Except as provided in this Section, CE credit shall not be given for CE courses taken in Illinois from providers not approved by the Department.

2. CE credit may be earned for verified attendance at and completion of a:

A) distance education course;

B) course offered through an interactive delivery method; or

C) webinar, provided that all courses must be offered and verified by an approved education sponsor.

3. CE credit may be earned for teaching an approved CE course. CE credit for teaching an approved CE course may only be earned one time per course during a renewal period. 50 minutes of teaching is equal to one credit hour of CE.

4. All CE courses shall be a minimum of 1 credit hour.

5. If licensees have earned CE credit in another state or territory for which they will be claiming credit toward full compliance in Illinois, each applicant shall submit an application, along with a $25 processing fee, within 90 days after completion of the CE course and prior to expiration of the license. The Board may review and recommend approval or disapproval of the CE course provided the CE sponsor and CE course are substantially equivalent to those provided in Illinois.

6. CE credit may be earned for a maximum of 12 credit hours each renewal period for courses taken to satisfy the continuing education requirements established to maintain the following professional designations:

A) Certified Manager of Community Associations (“CMCA”);

B) Association Management Specialist (“AMS”); or

C) Professional Community Association Manager (“PCAM”).

7. An entity seeking approval as a CE sponsor which is not exempted in this Section from the requirement for pre-approval shall submit an application in a manner prescribed by the Division, along with the application fee specified in Section 1445.100. The application shall include:

A) Certification

i) that all programs offered by the sponsor for CE credit will comply with the criteria in this Section; and

ii) that the sponsor will be responsible for verifying attendance at each course and provide a certificate of attendance to both the licensee and the Division as set forth in this Section.

B) A copy of the course materials and list of instructors, as applicable.

8. All courses shall:

A) Contribute to the advancement, extension and enhancement or the professional skills of the licensee in the practice of the community association management profession;

B) Foster the enhancement of the community association management practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the course;

D) Specify the course objectives, course content, and delivery and teaching methods to be used;

E) Convey content that is current and accurate.

9. Certification of Attendance: It shall be the responsibility of all education sponsors, regardless of whether they require approval by the Department, to provide each participant in a program with a certificate of completion. The sponsor’s certificate of completion shall contain:

A) The sponsor’s name and, if applicable, sponsor approval number;

B) The name of the participant, and the participant’s license number;

C) The name of the course and a brief statement of the subject matter;

D) The number of credit hours associated with the course;

E) The date and method of delivery of the course;

F) The signature of an authorized representative of the sponsor.

10. Every sponsor, regardless of whether they require approval by the Department, shall maintain attendance records for not less than 5 years.

11. Every sponsor, regardless of whether they require approval by the Department, shall be responsible for assuring that no renewal applicant will receive CE credit for time not actually spent for attending a program that is an approved course.

12. Every sponsor, regardless of whether they require approval by the Department, shall fulfill, within 14 days, student, or Division requests for course completion certificates.

13. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor, regardless of whether they require approval by the Department, or any approved CE program at any time to ensure compliance with requirements of this Section.

c) Certification of Compliance with Continuing Education Requirements

1. Each Community Association Manager shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b) and may be required to submit proof of completion of the CE requirements at the time of renewal.

2. The Division may, for purposes of compliance audits, require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of completion, transcript). It is the responsibility of each renewal applicant to retain and, if requested, provide proof of completed CE.

3. For purposes of a compliance audit, the Division shall accept verification submitted directly from an education sponsor on behalf of a licensee as proof of CE compliance.

4. Failure to comply with CE requirements is a violation of the Act and may subject a licensee to a citation or other discipline set forth in the Act or this Part.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.210 Curriculum for Continuing Education

a) Continuing education courses shall consist of the following topics:

1. State and federal laws relating to the operation of all types of community associations, governing documents and State laws relating to corporations, partnerships, and nonprofit corporations;

2. Preparation of community association budgets and community association accounts;

3. Management, personnel matters, customer service and ethics;

4. Maintenance operations;

5. Insurance matters relating to community associations;

6. Procedures for noticing and conducting community association meetings;

7. Any legislative update to the:

A) Illinois Community Association Manager Licensing and Disciplinary Act;

B) Illinois Condominium Property Act [765 ILCS 605];

C) Illinois Common Interest Community Association Act [765 ILCS 160]; or

D) the Illinois General Not for Profit Corporation Act [805 ILCS 105], or any administrative rules promulgated in connection that Act;

8. Fair housing, discriminatory practices, and harassment;

9. High rise or townhome management and maintenance;

10. Reserve studies and reserve funding;

11. Any other topic approved by the Department.

b) The sexual harassment prevention training required of all licensees may be counted by Community Association Managers toward their CE requirement for each renewal period (see Section 2105-15.5 of the Civil Administration Code of Illinois (Department of Professional Regulation Law) [20 ILCS 2105]). The sexual harassment prevention training may not be taken as a correspondence or home study course.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.220 Application for Pre-License Courses

a) An education sponsor seeking to provide pre-license or CE courses shall submit for each course:

1. A signed and completed pre-license course application in a format provided by the Division;

2. The fee required by section 1445.100; and

3. A course description, which shall make reference to the textbook or other materials used. The applicant shall make any education material referenced in the outline available to the Division upon request.

b) All pre-license courses must comply with the provisions of Section 1445.40(b).

c) Certification of Attendance: It shall be the responsibility of all pre-license education sponsors, regardless of whether they require approval by the Department, to provide each participant in a pre-license program with a certificate of completion. The sponsor’s certificate of completion shall contain:

1. The sponsor’s name, and, if applicable, sponsor approval number;

2. The name of the participant;

3. The name of the course and a brief statement of the subject matter;

4. The number of credit hours associated with course;

5. The date and method of delivery of the course.

d) An education sponsor must verify attendance for courses presented in a classroom, by interactive webinar, or by online distance education and shall maintain attendance records for not less than 5 years.

e) The Division may approve courses that incorporate additional community association manager topics.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.230 Application for Education Sponsor and Course Approval

a) Education sponsors requiring approval by the Department shall submit an application on forms prescribed by the Department to the Division for approval, which may include Board review. All courses offered for credit shall comply with the Act and this Part.

1. Upon request by the Division, the education sponsor shall submit evidence necessary to establish compliance with the requirements of the Act and this Part.

2. Upon request by the Division, the education sponsor shall resubmit an application for approval when, in the discretion of the Division, the education sponsor’s course offerings, practices, or other matters require additional review.

b) Approval of courses and education sponsors shall be effective for a period of 24 months following the date of approval. Course and education sponsors are required to apply for subsequent approval no later than 90 days prior to the date of expiration of the then-current approval period for courses and education sponsors.

c) The Department, at its discretion, shall have the authority to rescind its approval of education sponsors for failure to comply with the requirements of the Act, this Part, or for other reasons as the Department may deem appropriate.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.240 Authorization for Third Party Designees to Review Courses

a) Pursuant to Section 60 of the Act, the Department may utilize a third party to act as the Board’s designee to review course materials submitted for approval.

b) The Department may consider the recommendation of the Board on the utilization of the third party.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.300 Unprofessional Conduct

The Department may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its finding of dishonorable, unethical, or unprofessional conduct likely to deceive, defraud or harm the public (see Section 85 of the Act). Dishonorable, unethical, or unprofessional conduct may include, but is not limited to, the following acts or practices:

a) Failing to be knowledgeable about and comply with the applicable governing documents, and policies and procedures of the client association.

b) Knowingly misrepresenting material facts, making inaccurate statements, or acting in any fraudulent manner while representing client associations.

c) Providing legal advice to client associations, or any of their members, or otherwise engaging in the unlicensed practice of law.

d) Failing to promptly disclose to client associations any actual or potential conflicts of interest, including, but not limited to, the procurement of and/or payment for goods or services or any policy of insurance on behalf of a community association from a third party in which the licensee has greater than a 1% ownership interest or from which the licensee receives or may receive dividends or other profit sharing distributions, other than a publicly held or traded company.

e) Failing to act in a manner consistent with the licensee’s fiduciary duty.

f) Failing to conduct oneself, when acting in the scope of employment, in accordance with the terms and conditions of the contractual agreement, and in accordance with all local, State, and federal laws.

g) Failing to maintain a duty of confidentiality to all current and former clients; or failing to reasonably safeguard confidential information, or improperly using confidential information; or failing to take reasonable steps to safeguard confidential information from unauthorized disclosure.

h) Failing to ensure that homeowners receive timely notice; and the production of documents pursuant to direction by the community association’s board as required by State statutes or legal documents.

i) Failing to disclose any affiliation agreements, and the terms thereof, binding on a client association.

j) Aiding or assisting a licensee or unlicensed individual to violate the Act or this Part.

k) Obstructing an inspection, audit, investigation, examination, or disciplinary proceeding.

l) Failing to return to a community association all original records that are the property of the community association within 30 days following termination of a management agreement or other contract between the Community Association Management Firm and the community association or an unaffiliated Community Association Manager and the community association.

m) Charging fees not disclosed to a community association at the time of execution, amendment to, or renewal of, a management agreement or other contract between the Community Association Management Firm and the community association or an unaffiliated Community Association Manager and the community association without prior authorization.

n) Converting, diverting, or expending funds from a community association account without written authorization other than to pay expenses incurred by or on behalf of the community association.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.310 Rules of Practice in Administrative Hearings

The Department of Financial and Professional Regulation Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110) shall apply to all Department administrative hearings.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.320 Citations for Non-Compliance with Continuing Education Requirements

The Division shall conduct audits to verify compliance with the CE requirements of the Act and this Part. If, during an audit or compliance review, the Division determines that a licensee may be deficient in complying with CE requirements, the Division will issue a citation to the licensee, with copies to the licensee’s designated Community Association Manager and Community Association Management Firm, of the deficiency. Service of the citation shall be made in person, electronically or by mail to the licensee at the licensee’s address or email address of record. The licensee shall have 60 days after the date of service of the citation to submit evidence of compliance with CE requirements to the Division and to pay the fine imposed.

a) The citation shall inform the licensee that the licensee may provide the Division with proof that the licensee has completed the required CE prior to the renewal deadline or deadlines associated with the audit. If satisfactory proof is provided within 60 days after the citation is served, the citation shall become null and void.

b) The citation shall set forth the fine imposed and inform the licensee that the licensee may request a hearing contesting the deficiency within 30 days after the citation is served.

c) The citation shall become a final non-disciplinary order if the cited licensee does not request a hearing within 30 days after the citation is served or if the cited licensee does not provide the Division with proof of completing the required CE, prior to the renewal deadline or deadlines associated with the audit, within 60 days after the citation is served. The fine shall be payable within 30 days after the date of the final order.

d) A non-disciplinary fine in the amount of $500 shall be assessed for a first citation for noncompliance with CE requirements. A non-disciplinary fine in the amount of $1,000 shall be assessed for a second citation for noncompliance with CE requirements. Pursuant to Section 85.1(c) of the Act, a third and each subsequent citation for noncompliance with CE requirements shall result in publicly disclosed discipline and a fine in an amount not to exceed $2,000.

e) Payment of the non-disciplinary fine does not absolve the person from the responsibility to complete the CE requirements and correct the violation. Failure to satisfy the CE requirement or failure to pay the non-disciplinary fine may result in disciplinary action for the violations set forth in the citation.

f) If the licensee fails to submit, within the 60 day period after the citation is served, satisfactory evidence of compliance with CE requirements and to pay the fine imposed, the licensee shall not engage in real estate activities for which a license is required under the Act until all required CE has been completed and payment is made for the fine imposed by the citation and for any fees required to reinstate or restore the license.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1445.400 Granting Variances

a) The Director may grant variances from this Part in individual cases when the Director finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance at the next meeting of the Board.

History

• Source: Added at 47 Ill. Reg. 8409, effective June 2, 2023

68 Ill. Adm. Code 1450.100 Definitions

Unless otherwise clarified by this Part, definitions set forth in the Act also apply for purposes of this Part.

"Act" means the Real Estate License Act of 2000 [225 ILCS 454].

"Affidavit of Non-participation" means a sworn statement made by an owner, director, partner, manager or member of, a licensed real estate corporation, limited liability company, partnership, limited partnership or limited liability partnership attesting that they are either unlicensed or not actively participating or engaging in licensed activities for that entity.

"Board" means the Real Estate Administration and Disciplinary Board as set forth in Section 25-10 of the Act.

"Brokerage agreement" means an agreement between a sponsoring broker and a consumer for licensed activities, or the performance of future licensed activities, to be provided to a consumer in return for compensation or the right to receive compensation from another. Brokerage agreements may constitute either a bilateral or a unilateral agreement between the broker and the broker's client depending upon the content of the brokerage agreement. All brokerage agreements shall be in writing and may be exclusive or non-exclusive. [225 ILCS 454/1-10]

"CE" is an abbreviation for continuing education.

"Credit Hour" means a minimum of 50 minutes of instruction through a course approved by the Division in a classroom, by interactive webinar, online distance education, correspondence or a home study course.

"Department" means the Department of Financial and Professional Regulation.

"Designated Managing Broker" means a managing broker who:

the sponsoring broker designated to manage its real estate brokerage, pursuant to Section 1450.700; and

has the responsibilities, and supervises the activities, described in Section 1450.705.

"Director" means the Director of Real Estate within the Department of Financial and Professional Regulation. [225 ILCS 454/1-10]

"Discipline" means a:

refusal to issue or renew a license;

reprimand;

probation;

suspension or revocation of a license;

fine; or

any other action the Department may deem proper.

"Division" means the Department of Financial and Professional Regulation‑Division of Real Estate.

"Education Provider" means a school licensed by the Department offering courses in pre-license, post-license, or continuing education. [225 ILCS 454/1-10]

"Electronic Signature" means a signature in electronic form attached to or logically associated with an electronic record. [5 ILCS 175/5-105] For purposes of the Act and this Part, any application, affidavit, or other document required to be signed may be signed by means of an electronic signature.

"Home Study" or "Correspondence Course" means an education course that is administered independently by the student in a self-study format, outside of a classroom, or physical or virtual meeting space, which may, but is not required to, include communication with an Illinois licensed instructor, but for which there is no requirement for the ongoing verification of the student's participation and comprehension, except for the administration of the proctored final examination required in connection with a non-interactive course. Home study or correspondence courses may include, but are not limited to, print or non-interactive media.

"Interactive Delivery Method" means delivery of a course, approved by the Department through a medium allowing for interaction with the student.

"Interactive Webinar" means delivery of a course by a licensed instructor through a medium allowing for live 2‑way communication between the licensed instructor and student in which either can initiate or respond to questions, including live instruction and real-time discussion via satellite, video or webcam that allows for student participation and comprehension.

"Learning Management System" means a software application used for the administration, documentation, tracking, reporting, and delivery of educational courses or training programs.

"Office" means a sponsoring broker's place of business where the general public is invited to transact business, or from which sponsored licensees work, where records may be maintained, and where licenses may be readily available, as set forth in Section 1450.730, whether or not it is the sponsoring broker's principal place of business. All offices must meet the requirements set forth in Section 1450.610.

"Online Distance Education" means education courses that are interactive, but not in real time, in which students independently learn and review material online, and, for verification of the student's participation and comprehension, interact with an Illinois licensed instructor or Learning Management System.

"Post-License Education" means the 45-hour post-license education required of new broker licensees pursuant to Section 5-50(b) of the Act, which is comprised of three 15-hour courses, each requiring passage of its own 50 question final examination.

"Principal Office" means the office location, whether physical or virtual, that serves as the principal place of business of a sponsoring broker.

"Proctor" means any person, including a licensed instructor, who has a written agreement with a licensed education provider to administer, in person or electronically, examinations fairly and impartially.

"Renewal Period" means, for an initial broker license, the period 180 days prior to the expiration date of that license. For all other licenses, "renewal period" means the period 90 days prior to the expiration date of the license.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Self-sponsor" means a licensed managing broker who operates a real estate brokerage as a sole proprietorship.

"Sole Owner" means a person who has a 100% beneficial ownership interest in real estate, except as defined in Section 10-30(c)(2) of the Act.

"SOS" means the Illinois Secretary of State.

"Sponsoring Broker" means a person who operates a corporation, limited liability company, partnership, limited partnership, or limited liability partnership that is licensed by the Department, or an individual with a managing broker license who operates as a sole proprietor.

"Sponsoring Broker's Name" means the sponsoring broker's name as licensed by the Department or the assumed name registered by the sponsoring broker with the Division, which in the case of a franchise shall include the franchise affiliation and the name of the individual firm.

"Sponsorship" means that a sponsoring broker has certified to the Division that a broker, managing broker, or residential leasing agent is employed by, or associated with by written employment or independent contractor agreement, and the Division has registered the sponsorship (see Section 5-40 of the Act).

"Transaction", for purposes of this Part, exists once an agreement has been reached and an accepted real estate contract is signed, or a lease is agreed to, by the parties.

"Virtual Office" means an office from which real estate brokerage services are provided without a dedicated office space or fixed physical location under the supervision of the designated managing broker. Sponsored licensees provide services within the meaning of the term "Broker" as defined in Section 1-10 of the Act. A virtual office may also be a place of business for education providers who provide services pursuant to the Act. Virtual offices must meet the requirements set forth in Section 1450.610 or 1450.1100.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.110 Sponsorship

a) Residential Leasing Agent

1. Except for an individual working under a residential leasing agent permit (see Section 1450.240), no residential leasing agent license applicant may engage in leasing residential real estate (see Section 1450.200) until a valid sponsorship of the applicant has been registered with the Division by the sponsoring broker.

2. A sponsoring broker shall certify to the Division that the applicant whose name appears on the registration is employed by or associated with that sponsoring broker.

3. Within 24 hours after establishing the sponsorship, the sponsoring broker shall notify the Division, in a format provided by the Division, that the residential leasing agent is employed by, or associated with, the sponsoring broker.

4. A sponsoring broker may sponsor a residential leasing agent or applicant only upon the sponsoring broker's receipt of any of the following:

A) A residential leasing agent examination pass score report stating that the applicant passed the exam;

B) Termination of sponsorship by the sponsoring broker who previously employed or was associated with the residential leasing agent;

C) A current inactive residential leasing agent license; or

D) A residential leasing agent license expired for less than 2 years.

5. The applicant or licensee shall, within 24 hours after establishing sponsorship, submit to the Division, in a format provided by the Division, the following:

A) Residential Leasing Agent Applicants

i) A copy of the applicant's transcript evidencing compliance with the education requirements, if applicable;

ii) A residential leasing agent examination pass score report stating that the applicant passed the exam;

iii) A signed and completed residential leasing agent license application; and

iv) The required residential leasing agent license application fee set forth in Section 1450.130.

B) Residential Leasing Agent Licensee

i) Confirmation of sponsorship in a format provided by the Division; and

ii) The required sponsorship fee set forth in Section 1450.130.

6. A sponsoring broker shall maintain a register of all sponsored residential leasing agents and shall make the list readily available to the public (see Section 1450.730).

b) Broker and Managing Broker

1. Within 24 hours after establishing the sponsorship, the sponsoring broker shall notify the Division, in a format provided by the Division, that the broker or managing broker is employed by, or associated with, the sponsoring broker.

2. A sponsoring broker may sponsor a broker, managing broker, or applicant only upon the sponsoring broker's receipt of any of the following:

A) For applicants, a broker or managing broker real estate examination pass score report stating that the applicant passed the exam;

B) Termination of sponsorship by the sponsoring broker who previously employed or was associated with the broker or managing broker licensee;

C) A current inactive broker or managing broker license; or

D) A broker or managing broker license expired for less than 2 years.

3. The applicant or licensee shall, within 24 hours after establishing sponsorship, submit to the Division, in a format provided by the Division, the following:

A) Broker and Managing Broker Applicants

i) A copy of the transcript evidencing compliance with the education requirement, if applicable;

ii) A real estate examination pass score report stating that the applicant passed the exam;

iii) A signed and completed broker or managing broker application and other documentation set forth in Sections 1450.430 and 1450.520; and

iv) The required broker or managing broker license application fee as set forth in Section 1450.130.

B) Broker and Managing Broker Licensees

i) Confirmation of sponsorship in a format provided by the Division; and

ii) The required sponsorship fee set forth in Section 1450.130.

4. A managing broker may practice as a sole proprietor. A person or persons may form and practice as a corporation, limited liability company, partnership, limited partnership, or limited liability partnership provided that, prior to engaging in licensed activities, the entity complies with the licensing requirements set forth in Section 1450.600 and submits to the Division, in a format provided by the Division, the following:

A) Confirmation of the person serving as the designated managing broker;

B) The required fee set forth in Section 1450.130;

C) A completed consent to examine and audit special accounts form; and

D) A signed and completed license application.

c) If an applicant or licensee fails to complete the requirements of this Section:

1. The sponsorship shall be void;

2. The applicant or licensee shall be considered to have never been authorized to practice; and

3. The applicant or licensee may be subject to discipline.

d) Within 30 days after registration of sponsorship, and receipt of the required fees and appropriate documentation, the Division shall issue a license to the applicant or licensee or may notify the applicant or licensee, designated managing broker, and sponsoring broker of the basis for denial.

e) Licensees shall carry a properly issued license or an electronic version of the license and shall display the license or provide evidence of licensure upon request when engaging in any licensed activities.

f) Whenever any provision of Section 5-40 of the Act or any provision of this Part requires that any license be surrendered, sent, obtained, delivered, or issued by or to a licensee (including a sponsoring broker) or the Department, the manner of doing so may include electronic transmission, including the use of any electronic portal maintained by the Department.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.115 Termination of Sponsorship

a) Upon termination of sponsorship by a sponsoring broker, the sponsoring broker shall immediately notify the terminated licensee, and within 24 hours after the termination shall notify the Division, in a format provided by the Division.

b) When a licensee initiates termination with the sponsoring broker, the licensee shall, within 24 hours of termination, notify the Division, in a format provided by the Division, and shall immediately notify the sponsoring broker.

c) Once the sponsorship has been terminated, the license is automatically changed to inactive status and the licensee is prohibited from engaging in licensed activities until the licensee has established a valid sponsorship with a new sponsoring broker.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.120 Assumed Name

a) If a sponsoring broker, acting as a sole proprietor, operates under any name other than that appearing on the sponsoring broker's license, the sponsoring broker shall submit to the Division a copy of the sponsoring broker's registration under the Assumed Business Name Act [805 ILCS 405].

b) If a sponsoring broker, acting as a partnership, corporation, limited liability corporation, limited partnership, or limited liability partnership, operates under any name other than that appearing on the sponsoring broker's license, the sponsoring broker shall submit to the Division a copy of the filing or certificate authorizing it to do business under an assumed name from the Illinois Secretary of State and in accordance with the Assumed Business Name Act [805 ILCS 405].

c) Sponsored licensees, including a team or teams, may not operate under an assumed business name other than an assumed business name of their sponsoring broker.

d) The sponsoring broker shall submit the information to the Division within 30 days after registration of the assumed name in a format provided by the Division.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.130 Fees

a) Residential Leasing Agent License and Residential Leasing Agent Student

1. The application fee for an initial residential leasing agent license is $100.

2. The renewal fee for an unexpired residential leasing agent license is $150 per renewal.

3. The late fee for a residential leasing agent license expired for no more than 2 years is $75.

4. The application fee for a residential leasing agent permit is $50.

5. The restoration fee for a residential leasing agent license expired for more than 2 years but less than 5 years is the sum of all lapsed renewal fees and a late fee.

6. A person receiving an initial license during the first renewal period shall not be required to pay the initial renewal fee and will be issued a license expiring on the second renewal deadline.

b) Broker License

1. The application fee for an initial broker license is $150.

2. The renewal fee for an unexpired broker license is $200 per renewal.

3. The late fee for a broker license expired for no more than 2 years is $75.

4. The restoration fee for a broker license expired for more than 2 years but less than 5 years is the sum of all lapsed renewal fees and a late fee.

5. The fee to transfer from a managing broker license to a broker license is $150.

6. A person receiving an initial license within the first renewal period shall not be required to pay the initial renewal fee and will be issued a license expiring on the second renewal deadline.

c) Managing Broker License

1. The application fee for an initial managing broker license is $175.

2. The renewal fee for an unexpired managing broker license is $250 per renewal.

3. The late fee for a managing broker license expired for no more than 2 years is $75.

4. The restoration fee for a managing broker license expired for more than 2 years but less than 5 years is the sum of all lapsed renewal fees and a late fee.

5. A person receiving an initial license during the first renewal period shall not be required to pay the initial renewal fee and will be issued a license expiring on the second renewal deadline.

6. The application fee for an initial virtual office license for a self-sponsored managing broker under this subsection shall be $200 and in addition to the initial application fee for the managing broker license. The renewal fee for a virtual office license shall be $100 and also in addition to the renewal fee for the managing broker license.

d) Real Estate Auction Certification

1. The application fee for an initial real estate auction certification is $125.

2. The renewal fee for an unexpired real estate auction certification is $300 per renewal.

3. The late fee for a real estate auction certification expired for no more than 2 years is $75.

4. A person receiving an initial certificate during the first renewal period shall not be required to pay the initial renewal fee and will be issued a certificate expiring on the second renewal deadline.

e) Corporation, Limited Liability Company, Partnership, Limited Partnership, or Limited Liability Partnership License

1. The application fee for an initial corporation, limited liability company, partnership, limited partnership, or limited liability partnership license is $250.

2. The renewal fee for an unexpired corporation, limited liability company, partnership, limited partnership, or limited liability partnership license is $300 per renewal.

3. The late fee for a corporation, limited liability company, partnership, limited partnership, or limited liability partnership license expired for no more than 2 years is $75.

4. An entity receiving its initial license during the first renewal period shall not be required to pay the initial renewal fee and will be issued a license expiring on the second renewal deadline.

5. The application fee for an initial virtual office license for an entity under this subsection shall be $200 and in addition to the initial application fee for the entity license. The renewal fee for a virtual office license shall be $100 and also in addition to the renewal fee for the entity license.

f) Education Provider, Pre-license Instructor and Course License Fees

1. The application fee for an initial education provider license is $1,050.

2. The renewal fee for an unexpired education provider license is $1,100 per renewal.

3. The late fee for an education provider license expired for no more than 2 years is $75.

4. The application fee for an initial pre-license instructor license is $150.

5. The renewal fee for an unexpired pre-license instructor license is $300 per renewal.

6. The late fee for a pre-license instructor license expired for no more than 2 years is $75.

7. The application fee for an initial pre-license course license is $150.

8. The application fee for a revised format pre-license course license is $150.

9. The renewal fee for an unexpired pre-license course license is $150 per renewal.

10. The late fee for a pre-license course license expired for no more than 2 years is $75.

11. The application fee for an initial post-license course license is $150.

12. The application fee for a revised format post-license course license is $150.

13. The renewal fee for an unexpired post-license course license is $150 per renewal.

14. The late fee for a post-license course license expired for no more than 2 years is $75.

15. An education provider, pre-license instructor, pre-license course, or post-license course receiving an initial license during the renewal period shall not be required to pay the initial renewal fee and will be issued a license expiring on the second renewal deadline.

16. The application fee for an initial virtual office license for an education provider under this subsection shall be $200 and in addition to the initial application fee for the education provider license. The renewal fee for a virtual office application shall be $100 and also in addition to the renewal fee for the education provider license.

g) Continuing Education, Instructor and Course License Fees

1. The application fee for an initial CE instructor license is $100.

2. The renewal fee for an unexpired CE instructor license is $200 per renewal.

3. The late fee for a CE instructor license expired for no more than 2 years is $75.

4. The application fee for an initial CE course license is $150.

5. The application fee for a revised format CE course license is $150.

6. The renewal fee for an unexpired CE course license is $150 per renewal.

7. The late fee for a CE course license expired for no more than 2 years is $75.

8. A CE instructor or CE course receiving an initial license during the renewal period shall not be required to pay the initial renewal fee and will be issued a license expiring on the second renewal deadline.

h) General

1. All fees paid pursuant to the Act and this Section shall be made payable to the Department of Financial and Professional Regulation and are non-refundable.

2. The fee for a certification of a licensee's record for any purpose is $35.

3. Applicants for an examination as a residential leasing agent, broker, managing broker, instructor or real estate auction certification holder shall be required to pay the cost of taking the examination. If a designated testing service is utilized for the examination, the fee shall be paid directly to the designated testing service. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged, shall result in the forfeiture of the examination fee.

4. The fee for requesting credit for CE obtained while out-of-state (see Section 5-75 of the Act) is $50 per course.

5. The fee for processing a sponsorship transfer is $35.

6. The fee for a copy of a transcript of the proceedings under Section 20-62 of the Act is the cost of a copy of the transcript. A copy of the balance of the record will be provided at the Division's cost of producing the record.

7. The fee for certifying the record referred to in Section 20-73 of the Act is $1 per page.

8. Each university, college, community college, or school that is a public institution of higher education supported by public funds, and located in the State of Illinois shall be exempt from the education provider and course licensure fees, provided that the institution meets the following criteria and certifies to the Division that:

A) The facility is domiciled in the State of Illinois and supported by public funds;

B) The instructors are approved and licensed by the Department;

C) The courses are approved and licensed by the Department; and

D) The pre-license or CE program is not independently established as a for-profit division of the university, college, community college, or school.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.140 Renewals

a) Every residential leasing agent license expires on July 31 of each even-numbered year.

b) Every broker license expires on April 30 of each even‑numbered year.

c) Every managing broker license expires on April 30 of each odd-numbered year.

d) Sponsoring brokers shall also submit a properly completed consent to examine and audit special accounts form required by the Division.

e) Every real estate auction certification expires on December 31 of each even-numbered year. A real estate auction certificate holder whose certificate has been expired for more than 2 years shall be required to meet the requirements for a new certificate.

f) Every corporation, limited liability company, partnership, limited partnership, and limited liability partnership license expires on October 31 of each even-numbered year. Each renewal, the licensee shall submit the following:

1. A properly completed consent to examine and an audit special accounts form; and

2. Notice of any change of business information as provided for in Section 1450.150, if applicable.

g) Renewal applications shall be submitted in a format provided by the Division. All renewals, if the licensee is seeking an active license, shall include the name and license number of the sponsoring broker. Failure to receive a renewal notice shall not constitute a valid reason for failure to renew a license. No license shall be renewed until the required fee is paid.

h) Practicing or offering to practice on an expired or inactive license shall constitute unlicensed practice and shall be grounds for discipline pursuant to Section 20-20 of the Act.

i) Any licensee whose license has expired for more than 2 years shall not be eligible for renewal of that license. Any licensee whose license has been expired for less than 2 years may renew the license at any time by complying with the requirements of this Part, by paying the fees required by Section 1450.130 and providing satisfactory evidence of completion of the CE required by this Part. (See Section 5-50 of the Act.)

j) Any residential leasing agent, broker or managing broker whose license under the Act has expired is eligible to renew, reinstate, or restore without paying any lapsed fees, and without completing the continuing education requirements for that licensure period, provided that the license expired while the licensee was:

1. On active duty with the United States Army, United States Navy, United States Marine Corps, United States Air Force, United States Coast Guard, or State Militia called into the service or training for the United States;

2. Engaged in training or education under the supervision of the United States prior to induction into military service; or

3. Serving as an employee of the Department.

4. A licensee qualifying under this subsection (j) may renew the license within a period of 2 years following the termination of service and is not required to take an examination;

5. An individual qualifying under this subsection (j) shall be issued a license equivalent to the license held when employed by the Department or the license held immediately prior to their military service.

6. A licensee qualifying under this subsection (j) must furnish the Division with satisfactory evidence of service, training, or education, and termination under honorable conditions within 2 years after the termination of service.

k) As set forth in Section 5-50(g) of the Act, the Division, upon request, shall prepare and deliver by mail or electronically to the sponsoring broker a listing of licensees who, according to the Division, are sponsored by that sponsoring broker. The sponsoring broker shall notify the Division concerning any inaccuracies in the listing within 5 business days after its receipt.

l) A notice of renewal shall be sent to all sponsoring brokers, by mail or electronically, for each of the sponsored licensees of a sponsoring broker.

m) Licensees engaging in licensed activities in the form of a corporation, limited liability company, partnership, limited partnership or limited liability partnership must:

1. Remain in active status and good standing in accordance with the requirements of the jurisdiction where it is registered and must be authorized to conduct or transact business; and

2. Notify the Division, in a format provided by the Division, within 48 hours of any change to its status/registration resulting in the inability to conduct or transact business in the jurisdiction in which it is registered/was authorized to conduct or transact business; and

3. Be authorized to conduct or transact business in Illinois.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.145 Restoration

a) A licensee may petition for restoration of a license at any time after the successful completion of a disciplinary term; or after a license has been inactive or expired for more than 2 years.

b) A person applying for restoration of a residential leasing agent license expired for more than 2 years but less than 5 years shall submit the following:

1. A signed and completed residential leasing agent restoration application, in a format provided by the Division;

2. Proof of completion of the CE requirements set forth in Section 1450.250 for all license terms that occurred prior to the date of the restoration application; and

3. The required fee set forth in Section 1450.130.

c) A person applying for restoration of a broker license expired for more than 2 years but less than 5 years shall submit the following:

1. A signed and completed broker restoration application, in a format provided by the Division;

2. Proof of completion of the CE requirements set forth in Section 1450.450 for all license terms that occurred prior to the date of restoration application;

3. If applicable, proof of completion of the 45-hour post-license education if upon restoration the first renewal term is part of the elapsed period prior to the date of restoration application; and

4. The required fee set forth in Section 1450.130.

d) A person applying for restoration of a managing broker license expired for more than 2 years but less than 5 years shall submit the following:

1. A signed and completed managing broker restoration application, in a format provided by the Division;

2. Proof of completion of the CE requirements set forth in Section 1450.540 for all license terms that occurred prior to the date of the restoration application; and

3. The required fee set forth in Section 1450.130.

e) A person with a license expired for more than 5 years shall comply with the fees and requirements as a new applicant.

f) An individual who seeks restoration of their license that expired while they were either on active duty in the United States military or in military training, or during employment with the Department, shall fulfill the requirements under Section 1450.140(j).

g) A person may apply for restoration of a suspended, revoked, or license on probation at any time after the successful completion of a term of suspension, revocation, or probation of a license by filing a Petition to Restore in a format provided by the Department pursuant to its Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110.30). The Department may restore the license in the manner provided in Section 20-69 of the Act and the requirements in this Section.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.150 Required Information of Applicant or Licensee

a) Address of Record and Email Address of Record

1. Pursuant to Section 2105-7 of the Civil Administrative Code of Illinois [20 ILCS 2105], all applicants and licensees shall provide to the Division a valid address, which shall not be a post office box, and a valid email address, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

2. Pursuant to Section 5-41 an applicant or licensee shall inform the Division, in a format provided by the Division, of any change of address, email address, phone, or office location within 24 hours after such change.

3. The Division may provide service of documents by email to an applicant's or licensee's email address of record in accordance with the Act, the Department of Professional Regulation Law [20 ILCS 2105], or Section 10-75 of the Illinois Administrative Procedure Act [5 ILCS 100]. Service by email shall be deemed complete on the day of transmission regardless of whether the documents are delivered to the applicant's or licensee's spam or junk email folder.

b) Aliases, Diminutives, and Nicknames. Within 14 days after the change, each licensee shall notify the Division, in a format provided by the Division, of any name change.

1. The licensee shall notify the Division if the licensee regularly practices under an alias, diminutive, or nickname of the licensee's name.

2. If an individual licensee changes names by court order or due to marital status change, the licensee shall:

A) Notify the Division of the name change;

B) Provide the Division a copy of the marriage certificate or portions of the court order relating to the name change; and

C) Indicate the name to be utilized for licensure.

3. The licensee shall ensure that all CE certificates are issued under the name of licensure.

c) Office Location. Each licensee shall provide the Division, in a format provided by the Division, all physical office locations, virtual office websites or digital platforms. Each licensee shall notify the Division, in a format provided by the Division, of a change in any physical office location or virtual office website or digital platform, within 24 hours after the change in location.

d) Each sponsoring broker shall, within 24 hours, notify the Division, in a format provided by the Division, of any change of business information.

1. When a licensee acquires or transfers any interest in a licensed corporation, limited liability company, partnership, limited partnership, or limited liability partnership licensed under the Act.

2. When a licensee becomes an officer, manager, member or partner of a corporation, limited liability company, partnership, limited partnership, or limited liability partnership, including any associated changes in designated managing brokers or office location.

3. When the licensee operates under an assumed name, it shall comply with the applicable provisions of Section 1450.120.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.160 Dual Licensure

a) A licensee may not simultaneously hold licenses as a:

1. Managing broker and residential leasing agent;

2. Managing broker and broker; or

3. Broker and residential leasing agent.

b) Upon the issuance of a new license, the prior license shall be cancelled and no longer active unless there is a request to transfer pursuant to Section 1450.550.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.170 Exemption Under Section 5-20(1) of the Act (repealed)

History

• Source: Repealed at 41 Ill. Reg. 12561, effective October 6, 2017

68 Ill. Adm. Code 1450.200 Residential Leasing Agent General Provisions

a) A licensed residential leasing agent shall not engage in any licensed activities other than licensed activities related to leasing of residential real property. A licensed residential leasing agent may not engage in any licensed activities described in Section 1-10 of the Act that do not relate to leasing residential real property or would otherwise require a broker license.

b) No person other than a licensed managing broker, broker or residential leasing agent or a person working under a residential leasing agent permit shall engage in leasing residential real property for another and for compensation.

c) No residential leasing agent licensee may accept compensation for the performance of leasing residential real property except from the sponsoring broker by whom the licensee is sponsored.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.205 Residential Leasing Agent Pre-License Education Requirements

An applicant for a residential leasing agent license must complete 15 credit hours of instruction recommended by the Board and approved by the Division, as set forth in Section 5-10(a)(5) of the Act. All education providers, pre-license instructors, and pre-license courses relating to residential leasing agent licensure must be approved by the Division and licensed pursuant to Subpart K.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.210 Residential Leasing Agent Examination

a) Each applicant for a residential leasing agent license shall submit an application for examination as determined by the Division or its designated testing service, including:

1. Certification that the applicant is at least 18 years of age;

2. Successful completion of high school or equivalency required under Section 5-10 of the Act;

3. The required fee set forth in Section 1450.130; and

4. Proof of completion of 15 hours of instruction in real estate courses recommended by the Board and approved (see Section 1450.205).

b) Approved pre-license education shall be valid for a period of 2 years after the date of satisfactory completion of all required pre-license education (see Section 5-35 of the Act).

c) If a person fails the examination four consecutive times, that person must repeat the pre-license education requirement prior to taking the examination again, and the applicant must complete a new application for examination.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.220 Application for Residential Leasing Agent License by Examination

a) Each applicant for a residential leasing agent license shall submit to the Division:

1. A signed and completed application, in a format provided by the Division;

2. The required fee set forth in Section 1450.130;

3. Proof of successful completion of the examination authorized by the Division;

4. Proof of sponsorship if the applicant is seeking an active license (see Section 1450.110); and

5. A transcript, if applicable.

b) Within 30 days after receipt and approval of required fees and other documentation, the Division shall issue a residential leasing agent license to the licensee or notify the applicant of the basis for denial.

c) An applicant shall have one year from the date of receipt of a passing examination score to submit an application to the Division and to meet the requirements for licensure.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.230 Leasing Agent Termination of Employment (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.240 Residential Leasing Agent Permit

a) Pursuant to Section 5-5(d) of the Act, a person engaging in leasing residential real estate may engage in residential leasing activities for a period of 120 consecutive days without being licensed if they first obtain a residential leasing agent permit, which shall be valid for a period of 120 days. A permit holder shall comply with all provisions of the Act and this Subpart as if the permit holder were a residential leasing agent licensee and shall be subject to standards of practice and disciplinary provisions as if the permit holder were a residential leasing agent licensee. A sponsoring broker for a permit holder shall be responsible for the activities and actions of a permit holder as if the permit holder were a residential leasing agent licensee. A permit holder may only be sponsored by one sponsoring broker during one 120 consecutive calendar day period.

b) Within 24 hours after employing, or associating with, by a written independent contract agreement with, a permit holder seeking a residential leasing agent license, a sponsoring broker shall submit the following information to the Division, in a format provided by the Division:

1. The name, address and other information requested by the Division to identify the permit holder and sponsoring broker; and

2. Certification by the permit holder and the sponsoring broker or designated managing broker that the permit holder:

A) Will not work for more than 120 consecutive calendar days without having been issued a residential leasing agent license;

B) Is pursuing licensure under Section 5-5(d) of the Act;

C) Is at least 18 years of age;

D) Has successfully completed a four-year course of study in a high school or secondary school or an equivalent course of study; and

E) Is at the time of association, or will be within a period of 60 days, enrolled in a residential leasing agent course of instruction approved by the Division.

c) Upon expiration of the 120 consecutive calendar day period, the permit holder shall immediately cease engaging in leasing residential real estate unless the person has been issued a residential leasing agent license and has valid sponsorship.

d) A person shall not practice under a residential leasing agent permit more than one time.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.250 Residential Leasing Agent Continuing Education

a) Each residential leasing agent licensee shall complete, during the current term of the license, a minimum of 8 CE hours from a single core curriculum recommended by the Board and approved by the Division. Approved courses shall, at a minimum, cover recent changes in the Act and other laws affecting the leasing of residential real estate, including fair housing and human rights issues related to residential leasing, advertising and marketing, leases, applications, credit reports and criminal history, handling of funds, ownership-tenant relationships, owner-tenant laws, environmental issues related to residential real estate, and sexual harassment prevention training (see Section 2105-15.5 of the Department of Professional Regulation Law [20 ILCS 2105]).

b) A licensee is not required to complete CE requirements for the first renewal following the issuance of the initial residential leasing agent license.

c) Education providers, instructors and courses must be approved by the Division as set forth in Sections 1450.1100, 1450.1105, 1450.1145 and 1450.1155.

d) Certification of Compliance with CE Requirements

1. Each licensee shall certify, on the renewal application, full compliance with the CE requirements of this Section.

2. The Division may, in the context of compliance audits, require additional evidence demonstrating compliance with the CE requirements. Each licensee shall retain proof of completed CE.

3. In the context of a compliance audit, the Division shall accept verification submitted directly from a licensed education provider on behalf of a licensee as proof of CE compliance.

4. Failure to comply with CE requirements is a violation of the Act and may subject a licensee to a citation or such other discipline as set forth in the Act and this Part.

e) The Division shall conduct audits to verify compliance with this Section in accordance with Section 1450.960.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.260 Approved Courses, Schools and Instructors for Leasing Agents (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.300 Salesperson Educational Requirements to Obtain a License (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.310 Salesperson Examination (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.320 Applications for Salesperson License by Examination (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.330 Application for Salesperson License by Reciprocity (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.340 Salesperson Continuing Education (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.400 Broker Pre-License Education Requirements

An applicant for a broker license must complete 75 credit hours of instruction (see Section 1450.1105). The pre-license education shall be valid for 2 years after the satisfactory completion of all required pre-license education.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.410 Broker Post-License Education Requirements

a) Brokers shall be required to complete 45 hours of post-license education consisting of three 15-hour courses covering applied brokerage principles, risk management/discipline, and transactional issues, as required by the Act. This education must address the practical application of pre-license topics to the practice of real estate (see Section 1450.1105(c)). Brokers shall also pass an education provider administered 50-question examination for each course. The education and examinations shall be completed prior to the first renewal of the license.

b) Brokers taking the 45-hour post-license education during their first license term shall not be required to complete any other CE during that license term. The 45-hour post-license education must be completed within the 2 years immediately preceding the broker's first renewal. However, those individuals who received their initial broker license within 180 days preceding the first broker renewal deadline must complete the 45-hour post-license education and pass each of the three 15-hour course final exams prior to the second broker renewal deadline.

c) The Division shall conduct audits to verify compliance with this Section.

d) The requirements of this Section do not apply to attorneys currently admitted to practice law by the Supreme Court of Illinois.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.420 Broker Examination

a) Each applicant for a broker license shall submit an application for examination as determined by the Division or its designated testing service, including:

1. Certification that the applicant is at least 18 years of age;

2. Successful completion of high school or equivalency required under Section 5-27 of the Act;

3. The required fee set forth in Section 1450.130; and

4. Proof of one of the following:

A) Currently admitted to practice law by the Supreme Court of Illinois; or

B) Completion of 75 hours of instruction in real estate courses recommended by the Board and approved by the Division (see Section 1450.1105).

b) If a person fails the examination four consecutive times, the person must repeat the pre-license education requirement set forth in Section 5-27(a)(5) of the Act prior to taking the examination again, in addition to the other requirements enumerated generally in Section 5-27 and must complete a new application for examination.

c) As set forth in Section 5-35 of the Act, the 2- year time period after the completion of pre-license education during which that education will be accepted applies to approved pre-license education.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.430 Application for Broker License by Examination

a) Each applicant for a broker license shall submit to the Division:

1. A signed and completed application in a format provided by the Division;

2. The required fee set forth in Section 1450.130;

3. Proof of successful completion of the examination authorized by the Division;

4. Proof of sponsorship if the applicant is seeking an active license (see Section 1450.110); and

5. A transcript, if applicable.

b) An applicant shall have one year from the date of receipt of a passing examination score to submit an application to the Division and to meet the requirements for licensure.

c) If an applicant for a broker license currently holds a residential leasing agent license, the residential leasing agent license must be in good standing.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.440 Application for Broker License by Reciprocity

a) Until December 31, 2025, an Illinois broker license shall be issued by reciprocity to a broker under the following conditions:

1. The broker holds an active broker license, or its equivalent, by examination in a state with a reciprocal agreement with the Department;

2. The broker licensing standards of that state are substantially equivalent to or greater than the minimum standards in Illinois;

3. The broker maintains a physical or virtual place of business, as permitted by law, in the broker's state of licensure; and

4. The broker submits:

A) An application, in a format provided by the Division;

B) The required fee set forth in Section 1450.130;

C) A certification, or a statement bearing the seal of the licensing authority, from each state of licensure, evidencing:

i) An active broker license in that state;

ii) That the license is in good standing; and

iii) Any disciplinary action taken against the broker;

D) Proof of passing an examination approved by the Division on Illinois specific real estate laws;

E) If the broker does not maintain a definite place of business within the State of Illinois, a written statement that:

i) appoints the Secretary to act as the broker's agent upon whom all judicial and other process may be served;

ii) acknowledges and agrees to abide by all of the provisions of the Act and this Part with respect to all of the broker's licensed activities within and relating to the State of Illinois; and

iii) assents to jurisdiction of the Department; and

F) Proof of sponsorship if the applicant is seeking an active license.

b) Any licensee who renews a license issued under a reciprocal agreement assents to jurisdiction of the Department without regard to the location of the licensee's domicile or principal place of business or office locations.

c) All requirements for licensure by reciprocity shall be met within one year after the date of original application, but no later than December 31, 2025, or the application shall be denied and the fee forfeited; and

d) No application for licensure as a broker pursuant to a reciprocal agreement and this Section shall be submitted or granted on or after January 1, 2026, regardless of whether the application is new or if it seeks reconsideration of a prior application. Licenses granted under reciprocal agreements prior to January 1, 2026, shall remain in force and may be renewed in the same manner as provided for a broker license in the Act and this Part.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.450 Broker Continuing Education

a) Continuing Education Hour Requirements

1. As set forth in Section 5-70 of the Act, each broker, except as otherwise provided in Section 5-70(b), is required to complete 12 CE hours during the current term of the license. The total of 12 CE hours of courses approved by the Division may be taken at any time during the current term of the license.

2. As set forth in Section 5-50(b) of the Act, brokers receiving their initial broker license are required to complete the 45-hour post-license education during their first license term and are not required to complete any other CE during that license term. If an individual receives the initial broker license within 180 days preceding the first broker renewal deadline, the broker must complete the 45-hour post-license education prior to the second broker renewal deadline.

3. Brokers licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section, unless they are exempt (see Section 5-70(b) of the Act).

4. The Division shall conduct audits to verify compliance with this Section.

b) Approved Continuing Education

1. CE credit may be earned for verified attendance at, participation in, or completion of a licensed course offered by a licensed education provider (see Sections 1450.1100 and 1450.1105).

2. CE credit may be earned by passing a proctored exam for a correspondence or home study course offered and verified by a licensed Education Provider (see Section 1450.1155).

3. As set forth in Section 5-70 of the Act, CE credit shall be obtained through completion of a single core curriculum and an elective curriculum recommended by the Board and approved by the Division. CE requirements shall be deemed satisfied upon the successful completion of the following:

A) Core Curriculum. A minimum of 6 CE credit hours per two year license term in a core curriculum course recommended by the Board and approved by the Division, which must include at least 2 credit hours of fair housing training. Pursuant to Section 5-70, the core curriculum may also cover subjects including, but not limited to, advertising, agency, agency disclosures, property disclosures, residential leasing agent management, escrow, fair housing, and license law.

B) Elective Curriculum. No fewer than 6 CE credit hours per 2-year license term in elective curriculum courses approved by the Division, which may cover subjects including, but not limited to, license law, escrow, antitrust, fair housing, agency, appraisal, property management, residential brokerage, farm property management, transaction management rights and duties of parties in a transaction, commercial brokerage and leasing, real estate financing, disclosures, residential leasing agent management, advertising, broker supervision and designated managing broker responsibility, professional conduct, diversity equity and inclusion, use of technology, and any training required by law (e.g., sexual harassment prevention training (see 20 ILCS 2105/2105-15.5)) may be credited toward elective hours.

4. As set forth in Section 5-70(g) of the Act, CE credit may be earned by a licensed pre-license or CE instructor for teaching a licensed CE course. Credit for teaching a licensed CE course may only be earned once for that course during a license term. One hour of instruction is equal to one CE hour.

5. As set forth in Section 5-75 of the Act, if licensees earn CE credit hours in another state or territory for which they will claim credit toward compliance in Illinois, the licensee shall submit an application and a $50 fee, within 90 days after completion of the CE course and prior to expiration of the license. The Division will review and may approve the course if the education provider, course, and delivery method of assessing participation and comprehension are substantially equivalent to those licensed in Illinois. In determining whether the education provider and course are substantially equivalent, the Division will use the criteria in Sections 5-70 through 5-80 of the Act and this Section.

6. CE credit will only be given for CE courses offered by education providers licensed by the Division.

7. Pursuant to Section 5-70(j) of the Act, no more than 12 hours of CE credit may be taken in one calendar day. If a proctored final exam is required for a licensee to receive credit for the CE course or courses, the exam may be given either at the end of each individual course or group of courses.

8. CE credit shall not be given for pre-license and post-license education courses, except as set forth in Section 5-70(1) of the Act.

c) Certification of Compliance with CE Requirements

1. Each licensee shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may, for purposes of compliance audits, require additional evidence demonstrating compliance with the CE requirements. Each licensee shall retain proof of CE completed.

3. For purposes of a compliance audit, the Division shall accept verification submitted directly from a licensed education provider on behalf of a licensee as proof of CE compliance.

4. Failure to comply with CE requirements is a violation of the Act and may subject a licensee to a citation or other discipline set forth in the Act or this Part.

d) The Division shall conduct audits to verify compliance with this Section (see Section 1450.960).

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.460 Application for Broker License by Endorsement

a) Each applicant for an Illinois broker license by endorsement shall submit to the Division:

1. An application, in a format provided by the Division;

2. The required fee as set forth in Section 1450.130;

3. An official statement from the licensing authority of each state or jurisdiction in which the broker is licensed certifying:

A) That the broker has an active license;

B) That the broker is in good standing; and

C) Any history of discipline against the broker in that state or jurisdiction of licensure;

4. Proof of passing an examination approved by the Division on Illinois-specific real estate brokerage laws;

5. Proof of successful completion of a 30-hour pre-license endorsement course recommended by the Board and approved by the Division in accordance with Section 5-60.5(b)(4) of the Act;

6. Proof of sponsorship if the applicant is seeking an active license;

7. The applicant's written designation appointing the Secretary to act as the broker's agent upon whom all judicial and other process or legal notices directed to the broker may be served in accordance with Sections 5-60.5(d) and (f) of the Act; and

8. A written attestation by the applicant in accordance with Section 5-60.5(c) of the Act that, upon licensure, the applicant will abide by all provisions of the Act with respect to their real estate activities within the State of Illinois and submit to the jurisdiction of the Department. [225 ILCS 454/5-60.5]

b) If the broker has been actively practicing as a broker or its license equivalent in any other state or jurisdiction for less than 2 years immediately prior to the date of application, the broker must complete the 45 hours of post-license education by the first renewal pursuant to the Act and Section 1450.410. [225 ILCS 454/5-60.5]

c) After review by the Division for compliance with the Act and the Department of Professional Regulation Law [20 ILCS 2105], the Division will issue an Illinois broker license.

History

• Source: Added at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.500 Managing Broker Pre-License Education Requirements

An applicant for a managing broker license must have completed a total of 165 credit hours of instruction as set forth in Section 1450.1105. The 45-hour managing broker pre-license education shall be valid for 2 years after satisfactory completion.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.510 Managing Broker Examination

a) Each applicant for a managing broker license shall submit an application for examination on Illinois-specific brokerage laws as determined by the Division or its designated testing service, including:

1. Certification that the applicant is at least 20 years of age;

2. Successful completion of high school or equivalency required under Section 5-28 of the Act;

3. The fee required by Section 1450.130; and

4. Proof of one of the following:

A) Currently admitted to practice law by the Supreme Court of Illinois; or

B) Completion of a total of 165 credit hours of instruction in real estate courses approved by the Division.

b) If a person fails the examination four consecutive times, the person must repeat the pre-license education requirement set forth in Section 5-28 of the Act prior to taking the examination again and must complete a new application for examination.

c) As set forth in Section 5-35 of the Act, the 2-year time period after the completion of pre-license education during which that education will be accepted applies to approved pre-license education.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.520 Application for Managing Broker License by Examination

a) Each applicant for a managing broker license shall submit to the Division:

1. A signed and completed application in a format provided by the Division;

2. The required fee set forth in Section 1450.130;

3. Proof of successful completion of the written examination on Illinois-specific brokerage laws authorized by the Division;

4. Proof of sponsorship or self-sponsorship if the applicant is seeking an active license (see Section 1450.110);

5. A transcript, if applicable;

6. If the applicant will be a self-sponsored managing broker, a completed consent to examine and audit special accounts form;

7. A certification that the applicant has been actively licensed and in good standing as a broker for 2 consecutive years out of the last 3 years; and

8. Any other documentation prescribed by the Division.

b) An applicant shall have one year from the date of receipt of a passing examination score to submit an application with the Division and to meet all of the requirements for licensure.

c) A self-sponsored managing broker shall comply with all the office requirements set forth in Section 1450.610.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.530 Application for Managing Broker License by Reciprocity

a) Until December 31, 2025, an Illinois managing broker license shall be issued by reciprocity to a managing broker under the following conditions:

1. The managing broker holds an active managing broker license, or its equivalent, by examination in a state with a reciprocal agreement with the Department;

2. The managing broker licensing standards of that state are substantially equivalent to or greater than the minimum standards in Illinois;

3. The managing broker maintains a physical or virtual place of business, as permitted by law, in the managing broker's state of licensure and has been actively engaging in licensed activities as a managing broker or broker during the immediately preceding 2 years; and

4. The managing broker submits:

A) An application, in a format provided by the Division;

B) The required fee set forth in Section 1450.130;

C) A certification, or a statement bearing the seal of the licensing authority, from each state of licensure, evidencing:

i) an active managing broker license in that state;

ii) that the license is in good standing; and

iii) any disciplinary action taken against the managing broker.

D) Proof of passing an examination approved by the Division on Illinois-specific real estate brokerage laws;

E) If the managing broker does not maintain a definite place of business within the State of Illinois, a written statement that:

i) appoints the Secretary to act as the managing broker's agent upon whom all judicial and other process may be served;

ii) acknowledges and agrees to abide by all of the provisions of the Act and this Part with respect to all of the managing broker's licensed activities within and relating to the State of Illinois; and

iii) assents to jurisdiction of the Department; and

F) If the managing broker is not self-sponsored, then proof of sponsorship if the applicant is seeking an active license.

b) Any licensee who renews a license issued under a reciprocal agreement assents to jurisdiction of the Department without regard to the location of the licensee's domicile or principal place of business or office locations.

c) All requirements for licensure by reciprocity shall be met within one year after the date of original application, but no later than December 31, 2025, or the application shall be denied, and the fee forfeited.

d) No applications for licensure as a managing broker pursuant to a reciprocal agreement and this Section shall be submitted or granted on or after January 1, 2026, regardless of whether the application is new or if it seeks reconsideration of a prior application. Licenses granted under reciprocal agreements prior to January 1, 2026, shall remain in force and may be renewed in the same manner as provided for a managing broker license in the Act and this Part.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.540 Managing Broker Continuing Education

a) Continuing Education Hour Requirements

1. As set forth in Section 5-70 of the Act, each managing broker, except as otherwise provided in Section 5-70(b), is required to complete 12 CE hours during the current term of the license. The total of 12 CE hours of courses approved by the Division may be taken at any time during the current term of the license.

2. In addition to the CE required in subsection (a)(1), all renewing managing brokers must complete a 12-hour broker management CE course, the content of which shall be recommended by the Board and approved by the Division. This 12-hour broker management CE course must be completed in the classroom, by interactive webinar, or by online distance education format. In order to promote uniformity and consistency, the Division, following the recommendation of the Board, may provide a standardized curriculum to be utilized by all licensed education providers.

3. Pursuant to Section 5-70(l) of the Act, a managing broker renewing their license for the first time may use the 45-hour managing broker pre-license brokerage administration and management course to satisfy the 12-hour broker management CE requirement.

4. If the current term of the managing broker license ends within the 90 days after the initial managing broker license is issued, a licensee is not required to complete CE for that managing broker license term but shall complete all CE requirements before the next managing broker renewal deadline.

5. Managing brokers licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section, unless they are exempt under Section 5-70(b) of the Act.

6. The Division shall conduct audits to verify compliance with this Section.

b) Approved Continuing Education

1. CE credit may be earned for verified attendance at, participation in, or completion of a licensed course offered by a licensed education provider that is approved pursuant to Sections 1450.1100 and 1450.1105.

2. CE credit, except broker management excluded pursuant to Section 5-70(b) of the Act, may be earned by passing a proctored exam for a correspondence or home study course offered and verified by a licensed education provider (see Section 1450.1155).

3. As set forth in Section 5-70 of the Act, CE credit shall be obtained through completion of a single core curriculum, an elective curriculum, and a 12-hour broker management CE curriculum recommended by the Board and approved by the Division. CE requirements shall be deemed satisfied upon successful completion of the following:

A) Core Curriculum. A minimum of 6 CE credit hours per license term in a core curriculum course recommended by the Board and approved by the Division, which must include at least 2 credit hours of fair housing training. Pursuant to Section 5-70, the core curriculum may also cover subjects including but not limited to advertising, agency, agency disclosures, property disclosures, escrow, fair housing, residential leasing agent management, and license law.

B) Elective Curriculum. No fewer than 6 CE credit hours per license term in elective curriculum courses approved by the Division, which may cover subjects including but not limited to license law, escrow, antitrust, fair housing, agency, appraisal, property management, residential brokerage, farm property management, transaction management rights and duties of parties in a transaction, commercial brokerage and leasing, real estate financing, disclosures, residential leasing agent management, advertising, broker supervision and designated managing broker responsibility, professional conduct, use of technology, diversity equity and inclusion, and any training required by law (e.g., sexual harassment prevention training (see 20 ILCS 2105/2105-15.5)) may be credited toward elective hours.

C) The 12-hour broker management CE course.

4. As set forth in Section 5-70(g) of the Act, CE credit may be earned by a licensed instructor for teaching a licensed CE course. Credit for teaching a licensed CE course may only be earned once for that course during a license term. One hour of instruction is equal to one CE hour.

5. As set forth in Section 5-75 of the Act, if licensees earn CE credit hours in another state or territory for which they will claim credit toward compliance in Illinois, the licensee shall submit an application and a $50 fee within 90 days after completing the CE course and prior to expiration of the license. The Division shall review and approve the CE course if the education provider, CE course, and delivery method of assessing participation and comprehension are substantially equivalent to those licensed in Illinois. In determining whether the education provider and CE course are substantially equivalent, the Division shall use the criteria in Sections 5-70 through 5-80 of the Act and this Section.

6. CE credit shall only be given for CE courses offered by education providers licensed by the Division.

7. Pursuant to Section 5-70(j) of the Act, no more than 12 hours of CE credit may be taken in one calendar day. If a proctored final exam is required for a licensee to receive credit for the CE course or courses, the exam may be given either at the end of each individual course or group of courses.

8. CE credit shall not be given for pre-license and post-license education courses, except as set forth in Section 5-70(1) of the Act.

c) Certification of Compliance with CE Requirements

1. Each licensee shall certify on the renewal application full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may, for purposes of compliance audits, require additional evidence demonstrating compliance with the CE requirements. Each licensee shall retain proof of CE completed.

3. For purposes of a compliance audit, the Division shall accept verification submitted directly from a licensed education provider on behalf of a licensee as proof of CE compliance.

4. Failure to comply with CE requirements is a violation of the Act and may subject a licensee to a citation or other discipline as set forth in the Act or this Part.

d) The Division shall conduct audits to verify compliance with this Section (see Section 1450.960).

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.550 Managing Broker License Transfer to Broker License

a) An individual licensee holding an active managing broker license may exchange the managing broker license for a broker license if the managing broker license is eligible for renewal. Upon issuance of the broker license, the licensee shall be subject to all CE requirements (see Section 1450.450).

b) To transfer a managing broker license to a broker license an applicant shall submit to the Division:

1. A signed and completed application in a format provided by the Division; and

2. The required fee set forth in Section 1450.130(b)(5).

c) Upon the transfer of a managing broker license to a broker license, the managing broker license shall be cancelled. Any prior discipline will be reflected in the new broker license record.

d) To obtain a managing broker license after transferring to a broker license, a transferee shall meet the requirements of a new applicant for a managing broker license as set forth in the Act and this Part.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.560 Managing Broker Self-Sponsorship

a) A self-sponsored managing broker may sponsor licensees if the self-sponsored managing broker meets all the requirements for a sponsoring broker.

b) A sole proprietor must be licensed as a real estate managing broker.

c) Temporary Practice

1. Within 15 days after the death or disability of a self-sponsored managing broker, a written request for authorization allowing the continued operation of the office may be submitted to the Division.

2. The Division will issue written authorization allowing the continued operation provided that:

A) A licensed managing broker assumes responsibility in writing and agrees to supervise the operation of the office; or

B) In the case of the death or disability of a self-sponsored managing broker, an authorized representative of the estate assumes responsibility in writing and agrees to supervise the operation of the office.

3. Written authorization under subsection (c)(2) shall be valid for no more than 60 days unless extended by the Division for good cause shown and upon written request by the broker or authorized representative.

4. The Division will honor the order of a court of competent jurisdiction or any other legal documentation appointing a representative of the estate for the sole purpose of closing out the affairs of a self-sponsored managing broker who is deceased or disable, but not for the purpose of actively engaging in licensed activities.

5. This subsection (c) applies to a self-sponsored managing broker licensee who sponsors other licensees.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.570 Application for Managing Broker License by Endorsement

a) Each applicant for an Illinois managing broker license by endorsement shall submit to the Division:

1. An application, in a format provided by the Division;

2. The required fee as set forth in Section 1450.130;

3. An official statement from the licensing authority of each state or jurisdiction in which the managing broker is licensed certifying:

A) That the managing broker has an active license;

B) That the managing broker is in good standing;

C) Any history of discipline against the managing broker in that state or jurisdiction of licensure; and

D) No less than 2 years of active practice immediately preceding the date of application.

4. Proof of passing an examination approved by the Division on Illinois-specific real estate brokerage laws;

5. Proof of successful completion of a 30-hour pre-license endorsement course recommended by the Board and approved by the Division in accordance with Section 5-60.5(a)(5) of the Act;

6. The applicant's written designation appointing the Secretary to act as the broker's agent upon whom all judicial and other process or legal notices directed to the broker may be served in accordance with Sections 5-60.5(d) and (f) of the Act; and

7. A written attestation by the applicant in accordance with Section 5-60.5(c) of the Act that, upon licensure, the applicant will abide by all provisions of the Act with respect to their real estate activities within the State of Illinois and submit to the jurisdiction of the Department. [225 ILCS 454/5-60.5]

b) After review by the Division for compliance with the Act and the Department of Professional Regulation Law [20 ILCS 2105], the Division will issue an Illinois managing broker license.

History

• Source: Added at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.600 Application for Corporations, Limited Liability Companies, Partnerships, Limited Partnerships and Limited Liability Partnerships Licenses

a) Each applicant for a corporation, limited liability company, partnership, limited partnership, or limited liability partnership license shall submit:

1. A signed and completed application in a format provided by the Division;

2. The required fee set forth in Section 1450.130;

3. A Federal Employer Identification Number (FEIN);

4. Consent for the Division to examine and audit special accounts;

5. The name and license number of the designated managing broker;

6. If an assumed name will be used, a copy of the certificate authorizing it to do business, as set forth in the Assumed Business Name Act [805 ILCS 405];

7. Proof of ownership that may, from time to time, be required by the Division; and

8. Physical or virtual address of principal place of business in Illinois.

b) All requirements for a licensee to engage in licensed activities as a corporation, limited liability company, partnership, limited partnership, or limited liability partnership shall be met within one year after the date of original application or the application shall be denied, and the fee forfeited. Thereafter, to be considered for licensure, the applicant shall submit a new application with the required fee.

c) Corporations, in addition to the items listed in subsection (a), shall submit the following:

1. A signed and completed application containing the name of the corporation, the address of its principal place of business, a list of all officers' names, and the license number for each officer who is licensed as a broker or managing broker in Illinois;

2. A copy of the Articles of Incorporation bearing the seal of the office, in the jurisdiction in which the corporation is organized, whose duty it is to register corporations under the laws of that jurisdiction. In addition, a foreign corporation must submit a copy of the certificate of authority to transact business in this State filed with the SOS;

3. All unlicensed officers shall submit affidavits of non-participation in a format provided by the Division;

4. A list of all shareholders, the number of shares of the corporation owned by each shareholder and the license number for each shareholder who is a licensee in Illinois; and

5. No corporation shall be granted a license if any non-participating owner or officer is currently barred from real estate practice because of a suspended or revoked license.

d) Limited liability companies, in addition to the items listed in subsection (a), shall submit the following:

1. A signed and completed application containing the name of the limited liability company and the address of its principal place of business; and

A) If member-managed, a list of all members' names and the license number for each member who is licensed as a broker or managing broker in Illinois; or

B) If manager-managed, a list of all managers' names and the license number for each manager who is licensed as a broker or managing broker in Illinois;

2. If a member or manager is an entity, the applicant shall provide a list of all members' or managers' names and the license number for each owner, officer, manager, member, or partner of the entity who is licensed as a broker or managing broker in Illinois;

3. A copy of the Articles of Organization filed with the SOS. In addition, a foreign limited liability company must submit a copy of the application for admission to transact business filed with the SOS;

4. All unlicensed members, including a member entity's owner, officer, member, or partner, shall submit affidavits of non-participation in a format provided by the Division; and

5. No limited liability company shall be granted a license if any non-participating member or manager is currently barred from real estate practice because of a suspended or revoked license.

e) Partnerships, in addition to the items listed in subsection (a), shall submit the following:

1. A signed and completed application containing the name of the partnership, the address of its principal place of business, a list of all general partners' names, and the license number for each general partner who is licensed as a broker or managing broker in Illinois;

2. An affidavit stating that the partnership has been legally formed;

3. If a sponsoring broker, acting as a partnership, operates under any name other than that appearing on the sponsoring broker's license, the sponsoring broker shall submit to the Division a copy of the filing or certificate authorizing it to do business under an assumed name from the SOS and a certified copy of the sponsoring broker's registration under the Assumed Business Name Act [805 ILCS 405]. The assumed business name registration shall be obtained in each county in which the assumed business name is used;

4. All unlicensed partners shall submit affidavits of non-participation in a format provided by the Division; and

5. No partnership shall be granted a license if any non-participating partner is currently barred from real estate practice because of a suspended or revoked license.

f) Limited partnerships or limited liability partnerships, in addition to the items listed in subsection (a), shall submit the following:

1. A signed and completed application containing the name of the limited partnership or limited liability partnership, the address of its principal place of business, a list of all partners' names, and the license number for each partner who is licensed as a broker or managing broker in Illinois. If a partner is an entity, the applicant shall provide a list of all partners' names and the license number for each owner, officer, manager, member, or partner of the entity who is licensed as a broker or managing broker in Illinois;

2. A letter of authority from the SOS or, if it is a foreign limited partnership or foreign limited liability partnership, a copy of the application for admission endorsed by the SOS;

3. All unlicensed partners shall submit affidavits of non-participation in a format provided by the Division; and

4. No limited partnership or limited liability partnership shall be granted a license if any non-participating partner is currently barred from real estate practice because of a suspended or revoked license.

g) After receipt and approval of the application, required fee and appropriate documentation, the Division shall issue a license to the corporation, limited liability company, partnership, limited partnership, or limited liability partnership, or shall notify the applicant of the basis for denial.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.610 Place of Business; Office and Virtual Office Requirements

A licensee's place of business shall be the physical office or virtual office of the licensee's sponsoring broker.

a) Each sponsoring broker shall register all physical or virtual office locations with the Division in a format provided by the Division.

b) Physical Offices

1. An office is any fixed business location or physical structure that is owned, controlled, operated, or maintained by a licensee who, at that business location or structure, is:

A) Engaging in licensed activities;

B) Offering real estate services to consumers;

C) Holding out to the public that the licensee is engaging in licensed activities;

D) Maintaining original real estate documents and records related to active or pending transactions;

E) Maintaining current escrow records;

F) Maintaining any record related to special accounts; or

G) Meeting consumers for the purpose of engaging in licensed activities.

2. The following places do not constitute a physical or fixed office. These places are provided as examples and are not intended to be inclusive or exclusive of other places:

A) A motor vehicle primarily used for transportation;

B) A place that is solely devoted to advertising real estate matters of a general nature or to making a sponsoring broker's business name generally known (e.g., trade show, expo);

C) A place that a licensee uses solely for storage or archiving of records;

D) A licensee's residence, unless it is held out to the public as a location where the person is engaging in licensed activities and satisfies all other requirements for an office; or

E) A post office box, mail drop location or other similar facility.

c) Virtual Offices

1. A virtual office is an office from which real estate brokerage services are provided, without a dedicated office space or fixed physical location, under the supervision of the designated managing broker, and that is owned, controlled, operated, or maintained by a licensee who is:

A) Engaging in licensed activities;

B) Offering real estate services to consumers;

C) Holding out to the public that the licensee is engaging in licensed activities;

D) Maintaining real estate documents and records related to active, pending and completed transactions, securely stored in the format in which they were originally created, sent, or received. Documents originally created in physical form may be converted to an electronic format only if the content is not altered;

E) Maintaining current escrow records that are securely stored in the format in which they were originally created, sent, or received;

F) Maintaining any record related to special accounts, securely stored in the format in which they were originally created, sent, or received;

2. A nonresident broker who is licensed in Illinois by examination or pursuant to the provisions of Section 5-60 or 5-60.6 of the Act may operate a virtual office in the State subject to all requirements of the Act and this Part.

3. A virtual office shall have a digital infrastructure facilitating the transaction of business, communications, advertising, and real estate services through a virtual office website, URL, or other digital platform. Through this website or digital platform, the general public is invited to transact business and it is utilized to conduct the communication, advertising, and real estate services related to that business. The virtual website, URL or digital platform shall be registered in a format provided by the Division and shall:

A) Display a current registry of all sponsored licensees and their corresponding license numbers registered with the Division as set forth in Section 1450.730;

B) Display the city or geographic location and state where real estate brokerage services are offered;

C) Display contact information for the designated managing broker, including name, license number, valid phone number and email address. If the sponsoring broker has multiple designated managing brokers, display each designated managing broker's contact information and the name and license number of the licensees they supervise;

D) Maintain a secure intranet or secure portal that is accessible by employees, independent contractors, licensees and, upon request, the Division. The intranet or portal shall include the following:

i) Electronic records, securely stored in the format they were originally created, sent, or received, and made accessible for inspection by the Division in a secure electronic format. Documents originally created in physical form may be converted to an electronic format only if the content is not altered;

ii) An updated registry of sponsored licensees, their designated managing brokers, identification of additional office locations registered with the Division, and the licensees associated with those offices; and

E) Comply with all advertising requirements under Section 1450.715 and 1450.720.

4. Service of Process. For those licensees who maintain a virtual office, a valid physical address in Illinois for the sponsoring broker must be provided to the Department for service of process. If licensees do not maintain a physical address in Illinois, an entity that is an applicant or licensee may utilize the same address provided to the SOS for its registered agent in Illinois.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.700 Sponsoring Broker Responsibilities

a) The sponsoring broker, other than a sole proprietor with no other sponsored licensees, shall establish a written company policy and remain ultimately responsible for compliance with Section 10-55 of the Act and Section 1450.705. The sponsoring broker shall name a designated managing broker who will be responsible for the oversight of every office. The designated managing broker shall have the authority to act on behalf of the sponsoring broker.

b) A sponsoring broker may delegate to unlicensed personnel, including but not limited to accountants, office managers, or unlicensed assistants (see Section 1450.740), activities or duties not prohibited by the Act or this Part. Any licensee who supervises unlicensed personnel shall be responsible for the unlicensed person's actions, in accordance with Sections 1450.705(b) and 1450.740(d).

c) The sponsoring broker shall inform the Division in writing of the name and license number of all designated managing brokers employed by the sponsoring broker and the offices each designated managing broker is responsible for managing.

d) The sponsoring broker is ultimately responsible for maintaining a registry of sponsored licensees. If the sponsoring broker maintains no physical office, the registry shall be included on a virtual office website or digital platform.

e) No fewer than 14 days prior to a sponsoring broker ceasing operations, the sponsoring broker shall provide written notice to all sponsored licensees to allow the sponsored licensees to secure new sponsoring brokers and shall provide written notice to all active clients to allow the clients to secure brokerage agreements with new sponsoring brokers.

f) Any violation of the Act by any licensees employed by or associated with a sponsoring broker, or by any unlicensed assistant or other unlicensed employee of a sponsoring broker, shall not be cause for suspension or revocation of a sponsoring broker's license, unless a sponsoring broker had knowledge of a violation of the Act. A sponsoring broker's failure to provide an appropriate written company policy or failure to properly supervise shall be cause for discipline, including suspension or revocation, of the sponsoring broker's license.

g) All provisions of this Section shall apply to self-sponsored managing broker licensees.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.705 Designated Managing Broker Responsibilities and Supervision

a) All designated managing brokers shall notify the Division, within 24 hours, in a format provided by the Division, of any change of business address of the offices they manage.

b) A designated managing broker shall supervise the activities of licensees and unlicensed assistants working in offices managed by the designated managing broker. Supervision of activities includes, but is not limited to:

1. Implementing and training on company policies and procedures established by the sponsoring broker;

2. Training of all sponsored licensees and unlicensed assistants;

3. Supervising and assisting licensees in real estate transactions;

4. Supervising special accounts over which the sponsoring broker has delegated responsibility to the designated managing broker in order to ensure compliance with the special account provisions of the Act and this Part;

5. Supervising all advertising, in any medium, of any service for which a license is required;

6. Familiarizing sponsored licensees with the requirements of federal and State laws and local ordinances relating to licensed activities; and

7. Compliance with this Part by licensees and unlicensed assistants supervised by the designated managing broker and by any offices under their management.

c) A designated managing broker shall have specific supervisory duties related to broker licensees who have received their initial broker's license but have not successfully completed their 45 hours of post-license education in accordance with the Act and Sections 1450.410 and 1450.460. These duties include:

1. Direct oversight and handling of all escrow moneys, including earnest money and security deposits.

A) The designated managing broker must have an established procedure for delivery of earnest money, in tangible form, directly from the new broker licensee to the designated managing broker for proper handling (see Section 1450.750); or

B) When payment of escrow moneys is being made electronically, the designated managing broker shall be directly responsible for the handling and oversight of electronically transferred funds (see Section 1450.750).

2. Direct involvement and oversight during contract negotiations involving the purchase, sale, or lease of real estate in conjunction with real estate activities for which a license is required. During an audit or an investigation, oversight must be provided in a manner that can be effectively demonstrated to the Division.

3. Direct supervision and approval of all advertising or marketing materials proposed by the new broker licensee.

d) Under the supervision of the designated managing broker, new broker licensees who have not successfully completed the 45-hour post-license education requirement shall have no authority to bind the sponsoring broker to any contract or agreement.

e) Any violation of the provisions of the Act by any licensees employed by or associated with the sponsoring broker, or any unlicensed assistant or other unlicensed employee of a sponsoring broker, shall not be cause for suspension or revocation of a designated managing broker's license, unless a designated managing broker had knowledge of a violation of the Act. The designated managing broker's failure to provide an appropriate written company policy or failure to properly supervise shall be cause for discipline, including suspension or revocation, of the designated managing broker's license.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.710 Discrimination

a) No licensee shall enter into a listing agreement that prohibits the sale or rental of real estate to any person because of race, color, religion, national origin, sex, ancestry, age, marital status, physical or mental disability, familial status, pregnancy, sexual orientation, including, but not limited to, gender identity, military status, unfavorable discharge from the military service, order of protection status, immigration status, source of income, arrest record, or any other class protected by Article 3 of the Illinois Human Rights Act [775 ILCS 5].

b) No licensee shall perform licensed activities with respect to any real estate for which disposition is prohibited to any person because of race, color, religion, national origin, sex, ancestry, age, marital status, physical or mental disability, familial status, pregnancy, sexual orientation, including, but not limited to, gender identity, military status, unfavorable discharge from the military service, order of protection status, immigration status, source of income, arrest record, or any other class protected by Article 3 of the Illinois Human Rights Act.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.715 Advertising

a) Deceptive and misleading advertising includes, but is not limited to, the following:

1. Advertising property subject to an exclusive listing agreement with a sponsoring broker, other than the licensee's sponsoring broker, without the permission and identification of the sponsoring broker with the exclusive listing;

2. Use of terms in a team name that are inherently misleading (e.g., company, realty, real estate, agency, associates, brokers, properties, property), unless the term is followed by the word "team".

3. Failing to remove advertising of a listed property within a reasonable time, considering the nature of the advertising, the licensee's control over the removal of the advertising, the ease of removing the advertising, knowledge that the advertising was continuing, and any other pertinent criteria, after the closing of a sale on the listed property or the expiration or termination of the listing agreement, whichever occurs first;

4. Advertising property at auction as an absolute auction or auction without reserve, when a minimum bid or opening bid is required;

5. Advertising property in a manner that creates a reasonable likelihood of confusion regarding the permitted use of the property; and

6. Engaging in:

A) Phishing;

B) Using URL, domain name, username, social media handle, metatag, keyword or other device or method intended to deceptively direct, drive or divert internet traffic; or

C) Misleading consumers.

b) All advertising must include the sponsoring broker's name and conform to the following requirements:

1. For purposes of this Part, a logo, emblem, label, trademarked image, or similar identification used by the sponsoring broker is not considered a part of the sponsoring broker's name unless it contains the sponsoring broker's name.

2. Any advertising that meets one of the following shall be considered in compliance with this Part:

A) The font size used for the letters in the sponsoring broker's name is as large or larger than the letters used in the team name or individual licensee name;

B) The area, in terms of the height and width containing the sponsoring broker's name, is as large or larger than the area, in terms of height and width, than that of the team name or individual licensee name; or

C) Any logo, emblem, label, trademarked image, or similar identification incorporating the sponsoring broker's name, is as large or larger than that of the team name or individual licensee name.

c) For the purposes of this Section and Section 1450.720, listing information available on a sponsoring broker's or other licensee's website, extranet or similar website, but behind a firewall or similar device requiring a password, registration, or other type of security clearance to access, shall not be considered advertising.

d) For the purposes of this Section and Section 1450.720, unsolicited marketing of licensed activities and prospecting for clients by licensees shall be considered advertising.

e) Nothing in Section 10-30 of the Act shall require a sponsoring broker to include the name of one of its sponsored licensees on the sponsoring broker's signs or other advertising.

f) Licensees registered with the Division as designated managing brokers shall indicate that status in any marketing or advertising that includes their name, except on "For Sale" or similar signs placed on real property, as set forth in Section 10-30(g) of the Act. Licensees holding a managing broker license and not named as the designated managing broker with the Division may represent or hold themselves out as a managing broker, but not as a designated managing broker.

g) Advertising for a real estate auction must contain, when applicable, the name and address of:

1. The licensed broker or managing broker;

2. The licensed auctioneer, as defined in Section 5-20(13) of the Act;

3. The licensed auctioneer and any individual holding a real estate auction certification; or

4. The licensed broker or managing broker and any individual holding a real estate auction certification, who is not otherwise exempt under Section 5-20(13) of the Act.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.720 Digital or Electronic Advertising and Communication

a) For purposes of this Section:

1. "Advertising" or "Marketing Real Property" means use of a website, digital platform, or any form of social media to disseminate:

A) Information regarding properties listed with a sponsoring broker;

B) The identity of that sponsoring broker or the individual licensee for each property; and

C) Information related to those properties.

2. "Advertising" or "Marketing of Licensed Activities" means a website, digital platform, or any form of social media that includes an offer or solicitation to provide licensed activities in connection with marketing or identifying real property for sale or lease.

3. "Scraping or Data Mining" means copying or extracting existing listing information or keywords from a website, digital platform, or any form of social media of another licensee and using or altering that material and posting or displaying it for the benefit of the general public on another digital platform, form of social media, or in front of a firewall on another website, without written or electronic permission and disclosure from the original listing licensee.

b) Sponsoring Broker's Advertising or Marketing Real Property

1. A sponsoring broker having permission to advertise or market real property must include the following information on the website, digital platform, or any type of social media where the sponsoring broker's advertisement or marketing appears:

A) The sponsoring broker's name;

B) The city or geographic area and state or country where the property being advertised or marketed is located;

C) The city and state where the sponsoring broker's physical principal office or other offices registered with the Division are located or a direct link that connects to the sponsoring broker's virtual office, website, or digital platform; and

D) If the sponsoring broker does not hold a real estate license for the jurisdiction where the property is located, the regulatory jurisdictions where the sponsoring broker does hold a real estate license.

2. When a sponsoring broker is advertising a property that is subject to an exclusive listing agreement with another sponsoring broker, the sponsoring broker seeking to advertise the property shall obtain permission from, and identify in the advertisement, the sponsoring broker with the exclusive listing.

c) Sponsoring Broker's Advertising or Marketing of Real Estate Services

A sponsoring broker advertising or marketing licensed activities or soliciting business in connection with licensed activities must include the following information:

1. The sponsoring broker's name; and

2. The city and state where the sponsoring broker's physical principal office or other offices registered with the Division are located or a direct link that connects to the sponsoring broker's virtual office, website, or digital platform.

d) Licensee's Advertising or Marketing Real Property

Any licensee with permission to advertise or market real property must include the following information on the electronic location where the licensee's advertisement or marketing appears:

1. The licensee's name as licensed with the Division or, if applicable, the name registered with the Division (see Section 1450.150(b)). If the licensee is part of a team, the team name may be substituted for the individual licensee's name;

2. The city or geographic area and state or country where the property being advertised or marketed is located;

3. The sponsoring broker's name;

4. The city and state where the sponsoring broker's physical office registered with the Division is located or, in the case of a virtual office, a direct link that connects to the sponsoring broker's virtual office website or digital platform; and

5. If the licensee does not hold a real estate license for the jurisdiction where the property is located, the regulatory jurisdictions where the licensee does hold a real estate license.

e) Licensee's Advertising or Marketing of Real Estate Services

A licensee advertising, marketing, or soliciting business in connection with licensed activities must include the following information:

1. The licensee's name as licensed with the Division or, if applicable, the name registered with the Division (see Section 1450.150(b)). If the licensee is part of a team, the team name may be substituted for the individual licensee's name;

2. The sponsoring broker's name; and

3. The city and state where the sponsoring broker's physical office registered with the Division is located or, in the case of a virtual office, a direct link that connects to the sponsoring broker's virtual office website or digital platform.

f) Sponsoring Broker − Electronic or Digital Communication

A sponsoring broker engaged in licensed activities using any electronic or digital means of communicating must include the following information in the initial communication with a member of the public or another licensee:

1. The sponsoring broker's name; and

2. The city and state where the sponsoring broker's principal physical office or other offices registered with the Division are located or a direct link that connects to the sponsoring broker's virtual office website or digital platform.

g) Licensee − Electronic or Digital Communication

A licensee engaged in licensed activities using any electronic or digital means of communication must include the following information in the initial communication with a member of the public or another licensee:

1. The licensee's name as licensed with the Division or, if applicable, the name registered with the Division (see Section 1450.150(b)). If the licensee is part of a team, the team name may be used in addition to the individual licensee's name;

2. The sponsoring broker's name; and

3. The city and state where the sponsoring broker's physical office registered with the Division is located or, in the case of a virtual office, a direct link that connects to the sponsoring broker's virtual office website or digital platform.

h) A sponsoring broker or other licensee may link to listing information from another electronic or digital location without approval unless the owner of that electronic or digital location specifically requires consent. Any link must not mislead or deceive the public as to the ownership of any listing information.

i) All licensees, including sponsoring brokers, shall periodically review advertising and marketing information on their websites or digital platforms and update the information as necessary to assure that the information is current and not misleading.

j) All licensees, including sponsoring brokers, using websites or digital platforms for advertising must provide a direct link:

1. To all required disclosures relating to the sponsoring broker's name and other relevant business information; and

2. All terms and conditions of any offers or inducements made pursuant to Section 10-15(c) and (d) of the Act.

k) A domain name, URL, username, or social media handle does not constitute advertising.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.725 Office Identification

a) An identification sign on the outside of any physical office shall be of a size and nature that is reasonably readable by the public, shall be affixed to the office, and shall contain the sponsoring broker's name. Building directory listings that contain this information fulfill the requirements of this Section.

b) The identification sign must be plainly visible from an area accessible to the public.

c) For a virtual office, the website or digital platform shall contain the sponsoring broker's name and satisfy all advertising requirements set forth in Sections 1450.715 and 1450.720.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.730 Office Registry Requirements

a) The license or copy of the license for all sponsored licensees must be readily available to the public in the sponsoring broker's physical office or available through some electronic means provided by the sponsoring broker.

b) For a virtual office, this requirement is met by prominently displaying a registry of all sponsored licensees on the sponsoring broker's virtual office website or digital platform. The registry shall include all sponsored licensees registered with the Division and their corresponding license numbers. Designated managing brokers must be identified as set forth in Section 1450.610(d)(2)(D).

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.735 Employment or Independent Contractor Agreements

a) Every sponsoring broker shall have a written employment or independent contractor agreement with each sponsored licensee. Self-sponsoring designated managing brokers shall not be required to have an employment agreement with themselves but shall have a written employment or independent contractor agreement with each sponsored licensee.

b) The written employment or independent contractor agreement shall be dated and signed by the parties. The employment or independent contractor agreement shall include, at a minimum, the terms of the employment or independent contractor relationship, including, but not limited to, the statutorily required supervision, duties, compensation, duration, and procedure for termination. The term "duration", as used in this subsection, is not intended to require a specific termination date, but rather to allow the parties to negotiate the terms of the employment agreement, such as "at will" or a specific length of time, and how the employment or independent contractor agreement is renewed or terminated. These terms shall be included in the employment or independent contractor agreement.

c) If a written agreement provides for an independent contractor relationship that clearly establishes the relationship, the specific provisions of the Act shall control for purposes of a licensee's conduct of brokerage activities.

d) The sponsoring broker shall provide, to each sponsored licensee, a physical or electronic copy of the fully signed employment or independent contractor agreement and any modifications to that document.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.740 Unlicensed Assistants

a) Licensees may utilize the services of unlicensed assistants to assist them with administrative, clerical, or personal activities for which a license under the Act is not required. Compensation for unlicensed assistants cannot be transaction based.

b) An unlicensed assistant, under the supervision of a licensee, may engage in the following activities. This list is not intended to increase or decrease the scope of licensed activities.

1. Answer the telephone, receive inquiries, and forward messages and inquiries to a licensee;

2. Submit listing data and changes to a multiple listing service;

3. Follow up on a transaction after a contract has been signed;

4. Assemble documents for a closing;

5. Obtain public information from any government source (e.g., a courthouse, sewer district, water district or other repository of public information);

6. Have keys made or secure entry codes for a listing;

7. Draft advertising copy and promotional materials for approval by a licensee or, in the case of a new broker licensee who has not successfully completed the 45-hour post-license education, with the approval of the designated managing broker;

8. Place advertising;

9. Record and deposit earnest money, security deposits and rents at the direction of, and with approval by, the designated managing broker;

10. Complete contract forms with business and factual information at the direction and approval of a licensee or, in the case of a new broker licensee who has not successfully completed the 45-hour post-license education, with the approval of the designated managing broker;

11. Monitor licenses and personnel files;

12. Compute commission checks and perform bookkeeping activities;

13. Place signs on property;

14. Prepare and distribute promotional information under the direction and approval of a licensee or, in the case of a new broker licensee who has not successfully completed the 45-hour post-license education, with the approval of the designated managing broker;

15. Schedule appointments for the licensee (this does not include making phone calls, telemarketing or performing other activities to solicit business on behalf of the licensee);

16. Respond to questions by quoting directly from published information;

17. Sit at a property for a broker tour that is not open to the public;

18. Gather feedback on showings; and

19. Provide concierge services and other similar amenities to existing tenants.

c) An unlicensed assistant of a licensee may not perform licensed activities, including, but not limited to:

1. Hosting open houses, kiosks, or home show booths or fairs;

2. Showing property;

3. Interpreting information regarding listings, titles, financing, contracts, closings, or other information relating to a transaction;

4. Explaining or interpreting a contract, listing, lease agreement or other real estate document for or with anyone; or

5. Negotiating or agreeing to any commission, commission split, management fee or referral fee on behalf of a licensee.

d) Any licensee who supervises an unlicensed assistant shall be responsible for the unlicensed assistant's acts or omissions. Any licensee who permits, aids, assists or allows an unlicensed assistant to perform any licensed activities shall be in violation of the Act.

e) A licensee is prohibited from acting as an assistant, as provided for in this Section, for any licensee other than the licensee's sponsoring broker or a licensee sponsored by the same sponsoring broker.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.745 Business Entity for Direct Payment of Compensation

a) Every sponsored licensee who forms a business entity as set forth in Section 10-20(e) of the Act, for the purpose of receiving the sponsored licensee's compensation, shall submit to the Division copies of the Articles of Incorporation or Organization or authority to conduct or transact business in Illinois issued by the SOS.

b) For purposes of this Section, a "business entity" must be owned solely by the licensee or together with the licensee's spouse, but only if the spouse and licensee are both licensed and sponsored by the same sponsoring broker, or the spouse is not also licensed.

c) A sponsoring broker, regardless of whether they have an employment or independent contractor agreement with a licensee, may pay compensation directly to a business entity formed pursuant to Section 10-20(e) of the Act.

d) The business entity that receives compensation from a sponsoring broker may not:

1. Be licensed under the Act;

2. Perform licensed activities;

3. Sponsor, employ or associate itself with other licensees; or

4. Hold itself out to the public, or advertise to the public, under the business entity's legal or assumed name.

e) The business entity formed pursuant to Section 10-20(e) of the Act, may receive compensation earned by the licensees arising out of activities unrelated to licensed activities.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.750 Special Accounts

a) Escrow Moneys Defined

1. "Escrow moneys" means all moneys, promissory notes or any other type or manner of legal tender or financial consideration deposited with any person for the mutual benefit of the parties to the transaction. A transaction exists once an agreement has been reached and an accepted real estate contract is signed, or a lease is agreed to by the parties. Escrow moneys include without limitation earnest moneys and security deposits, except those security deposits in which the person holding the security deposit is also the sole owner of the property being leased or sold and for which the security deposit is being held.

2. As set forth in the terms of a written agreement between a licensee and a client, such as a property management agreement, rent moneys paid to a licensee for transmittal to the licensee's client (e.g., the owner) shall not be considered to be "escrow moneys". In addition, other moneys held in a custodial account by a licensee for transmittal to a licensee's client, as set forth in the terms of a written agreement, such as a contract for deed, shall not be subject to this Section. For purposes of this Section, "in writing" or "written" can mean by physical or electronic means.

3. Earnest money constitutes escrow moneys whether in the form of personal checks, cashier's checks, money orders, cash, or any other forms of legal tender, including legally recognized cryptocurrencies.

b) Escrow Accounts. As set forth in Section 20-20(a)(17) of the Act, sponsoring brokers who accept escrow moneys shall maintain and deposit in a special account (hereinafter referred to as an escrow account), separate and apart from personal or other business accounts, all escrow moneys entrusted to the sponsoring broker while acting as a licensee, escrow agents or temporary custodians of the funds of others.

1. The escrow accounts shall be non-interest bearing, unless the character of the deposit is such that payment of interest on the escrow account is otherwise required by law or unless the principals to the transaction specifically require, in writing, that the deposit be placed in an interest bearing account.

2. If an interest bearing account is required, the recipient of the interest shall be specified, in writing, by the principals of the transaction.

3. A sponsoring broker may maintain more than one escrow account.

4. Every escrow account, whether interest bearing or non-interest bearing, shall be maintained at a federally insured depository.

5. Commingling Prohibited. Each sponsoring broker shall deposit only escrow moneys received in connection with real estate transactions in an escrow account. The sponsoring broker shall not deposit personal funds in an escrow account, except the sponsoring broker may deposit from the sponsoring broker's own personal funds, and keep in any escrow account, an amount sufficient to avoid incurring service charges relating to the escrow account. The sum shall be specifically documented as being for service charges and the sponsoring broker shall have proof available that the amount of the sponsoring broker's own funds in the escrow account does not exceed the minimum amount required by the depository to maintain the account without incurring service charges. Transfer of funds as set forth in subsection (i)(4) shall not constitute commingling.

c) The sponsoring broker shall provide a receipt to the payor of any cash constituting escrow funds and shall retain a physical or electronic copy of the receipt.

d) Time of Deposit of Escrow Moneys

1. All escrow moneys accepted by a sponsoring broker shall be placed in the sponsoring broker's escrow account no later than the next business day:

A) Following the transaction, as defined in Section 1450.100; or

B) After receipt of the escrow money, per the terms of the contract.

2. If the funds are received on a day prior to a bank holiday, or any other day on which the bank is closed, the funds shall then be deposited on the next business day the depository is open.

e) A sponsoring broker serving as escrow agent shall notify all principals in writing if:

1. A principal fails to tender escrow moneys;

2. A principal's payment of escrow moneys is dishonored by the financial institution on which it was drawn; or

3. It appears from the signed contract that the amount of escrow moneys deposited is deficient.

f) Maintenance of Escrow Moneys on Deposit in Escrow Account. The sponsoring broker shall keep all escrow moneys on deposit in an escrow account until a transaction is consummated or terminated, except to the extent that such escrow moneys, or any part of the escrow moneys, shall be disbursed according to the provisions set forth in subsection (g).

g) Disbursement of Escrow Moneys. Once the payor's depository has honored the deposit of escrow funds, the sponsoring broker shall disburse escrow moneys according to the following requirements, as set forth in Section 20-20(a)(17) of the Act:

1. The sponsoring broker must disburse escrow moneys upon consummation or termination of the transaction. The actual terms of the contract regarding the release of the escrow moneys shall be adhered to by the sponsoring broker holding these escrow moneys. The disbursement must be according to the terms of the contract and must be:

A) Made not later than the next business day following the sponsoring broker's receipt of notice of the consummation or termination of the transaction or

B) Otherwise disbursed in accordance with the written direction of all principals to the transaction or their duly authorized agents.

2. Commissions and/or fees earned by a sponsoring broker in any transaction shall be disbursed by that sponsoring broker from the funds deposited in an escrow account no earlier than the day the transaction is consummated or terminated and not later than the next business day after the transaction is consummated or terminated or otherwise in accordance with the written direction of all principals to the transaction or their duly authorized agents.

3. Authorized disbursements are those that are made on behalf of, and at the written direction of, all principals to the transaction or their duly authorized agents.

4. A sponsoring broker shall not withhold, for any period of time, an authorized disbursement of escrow moneys due to any claim for a commission or compensation to any licensee.

5. Transfer of escrow moneys to the closing agent for the transaction may be made up to 2 business days prior to the scheduled closing.

6. As set forth in Section 20-20(a)(17)(A)(i) of the Act, if, prior to the consummation or termination of the transaction, the sponsoring broker receives written direction from all of the principals to the transaction or their duly authorized agents agreeing to a disbursement of the escrow moneys, that sponsoring broker must disburse the escrow moneys according to the written directions. The disbursement must be made not later than the next business day following the sponsoring broker's receipt of the last required written direction.

7. The sponsoring broker may release escrow moneys as set forth in Section 20-20(a)(17)(A)(ii) of the Act that allows a sponsoring broker to disburse escrow moneys prior to the consummation or termination of the transaction in accordance with directions providing for the release, payment or distribution of escrow moneys contained in any written contract signed by the principals to the transaction or their duly authorized agents. The actual terms of the contract regarding the release of the escrow moneys shall be adhered to by the sponsoring broker holding these escrow moneys. For example, parties to a transaction sign a contract to purchase that includes language allowing the earnest money to be disbursed by the sponsoring broker if the transaction does not close as provided for in the contract if the sponsoring broker:

A) Provides written notice to the parties as required by the contract at least 14 days prior to the intended disbursement of the earnest moneys;

B) Indicates how the sponsoring broker intends to disburse the earnest money; and

C) Indicates the date that the sponsoring broker must receive the parties' written objections to the proposed disbursement.

8. As set forth in Section 20-20(a)(17)(A)(iii) of the Act and notwithstanding any other requirements or responsibilities in this Part, if the sponsoring broker receives an order from a court of competent jurisdiction providing for the disbursement of the escrow moneys, that sponsoring broker must disburse the escrow moneys according to the terms of the court order.

9. For the purposes of this Section, "duly authorized agent" shall mean an attorney-in-fact, attorney-at-law who represents one of the principals to the transaction, or any other person the licensee can demonstrate was authorized to act on behalf of a principal to the transaction.

h) Disputes Regarding Escrow Moneys

1. In the event of a dispute in writing over the return or forfeiture of any escrow moneys held by the sponsoring broker or if a sponsoring broker has actual knowledge that any party to a transaction contests or disagrees with an anticipated disbursement of escrow moneys held by that sponsoring broker, the sponsoring broker shall continue to hold the deposit in the sponsoring broker's escrow account until:

A) The sponsoring broker has a written release from all parties or their duly authorized agents consenting to the disposition, in which case the escrow moneys must be disbursed according to the terms of the written direction no later than the next business day after the sponsoring broker's receipt of the last required written release;

B) A civil action is filed, by either the sponsoring broker or one of the parties to the transaction, to determine its disposition, at which time the escrow money may be deposited with the court;

C) The funds are turned over to the State Treasurer or such other appropriate State agency or officer designated under the Act or the Revised Uniform Unclaimed Property Act [765 ILCS 1026], because of inactivity of the account, inability to locate the parties, or inability of the parties to reach a resolution.

2. If the sponsoring broker files an interpleader action and the real estate contract authorizes the sponsoring broker to withdraw from the escrow account amounts necessary to reimburse the sponsoring broker for costs and reasonable attorney's fees associated with the interpleader action, costs and attorney's fees associated with that sponsoring broker's attempt to collect a commission or fee are excluded.

i) Escrow Records. Each sponsoring broker who accepts escrow money shall maintain, in the sponsoring broker's office or place of business, a bookkeeping system in accordance with sound accounting principles, that shall consist of at least the following escrow records, whether physical or electronic:

1. Journal. A journal shall be maintained for each escrow account. The journal shall show the chronological sequence in which funds are received and disbursed by the sponsoring broker.

A) For funds received, the journal shall include the date the funds were received, the name of the person on whose behalf the funds are delivered to that sponsoring broker and the amount of the funds delivered.

B) For funds disbursed, the journal shall include the date of disbursement, the payee, the check number, if applicable, and the amount disbursed.

C) A running balance shall be shown after each entry for funds received or disbursed.

2. Ledger. A ledger shall be maintained for each transaction. The ledger shall show the receipt and the disbursement of funds affecting a single transaction, such as between buyer and seller or landlord and tenant, or among the respective parties. The ledger shall include the names of all parties to a transaction, the amount of funds received by the sponsoring broker and the date of receipt. The ledger shall show the date of any disbursement, the payee, the check number, if applicable, and the amount disbursed. The ledger shall segregate one transaction from another transaction. There shall be a separate ledger or separate section of each ledger, as the sponsoring broker elects, for each type of real estate transaction (e.g., lease). If the ledger and journal are computer generated from the same data entry, the sponsoring broker must maintain copies of the bank deposit slips, bank disbursement slips, other bank receipts, or electronic records to account for the data on the ledger.

3. Monthly Reconciliation Statement. Each sponsoring broker shall reconcile, within 10 days after receipt of the monthly bank statement, each escrow account maintained by the sponsoring broker, except when there has been no transactional activity during the previous month. Reconciliation shall include a written work sheet comparing the balances as shown on the bank statement, the journal, and the ledger, respectively, in order to insure agreement between the escrow account, the journal and the ledger entries for the escrow account. Each reconciliation shall be kept for at least 5 years from the last day of the month covered by the reconciliation.

4. If escrow moneys are transferred from an escrow account to another account for disbursement, the sponsoring broker must maintain a physical or electronic copy of all records reflecting a disbursement from the other account.

5. Master Escrow Account Log. Each sponsoring broker shall maintain a Master Escrow Account Log identifying all escrow bank account numbers and the name and address of the bank where the escrow accounts are located. The Master Escrow Account Log must specifically include all bank account numbers opened for individual transactions, even if account numbers fall under another umbrella account number.

6. A sponsoring broker may employ a more sophisticated bookkeeping system based on sound accounting principles, including a system utilizing electronic data. Any system must contain or produce printed records containing the information required by this Section, although it need not be in the same format as provided for in this Section.

7. As set forth in Section 20-20(a)(18) of the Act, the sponsoring broker shall make available to the Division, within 24 hours after a request, all escrow records and related documents maintained in connection with the practice of real estate and located in the physical or virtual office as set forth in Section 1450.755.

8. Copies of all Escrow Money Instruments. Except as otherwise provided by law, the sponsoring broker shall retain copies of all escrow money instruments received from a principal as part of a transaction, including copies of all personal checks, cashier's checks, certified checks, money orders, promissory notes, or other financial instruments. The sponsoring broker shall also retain copies and/or documentation of all funds disbursed from or transferred in or out of an escrow account.

9. If escrow records are lost, stolen, or destroyed, the sponsoring broker must:

A) Report the loss to the Division's enforcement division within 48 hours; and

B) Immediately obtain copies of monthly bank statements, deposit and disbursement receipts, and any other available records to reconstruct the escrow records.

10. A sponsoring broker may delegate the bookkeeping duties under this Part to another qualified person, including a designated managing broker, bookkeeper, accountant, unlicensed assistant, licensed assistant, or sponsored licensee. These duties must not be delegated to a new broker licensee who has not successfully completed the 45-hour post-license education. Compliance with bookkeeping duties remains the responsibility of the sponsoring broker. The sponsoring broker is ultimately responsible for the proper administration of the escrow account pursuant to this Part.

j) Sponsored Licensees. Sponsoring brokers shall institute a company policy to ensure that sponsored licensees tender escrow moneys received in compliance with this Part. Sponsored licensees, whether managing brokers, brokers, or residential leasing agents, may not maintain their own escrow accounts.

k) Offices. Physical or virtual offices may maintain escrow accounts in compliance with this Part or may transmit all escrow moneys received to the principal office, but not to another office.

1. If the office does maintain escrow accounts, all of the requirements of this Part apply, including maintaining all required escrow records and submitting all required escrow forms to the Division.

2. If the office does not maintain escrow accounts but instead transmits all escrow moneys received to the principal office, all escrow moneys must be transmitted by that office to the principal office no later than the next business day following the transaction. A transaction exists once an agreement has been reached and an accepted real estate contract is signed, or a lease is agreed to, by the parties. The office must maintain records showing the date the escrow moneys were transmitted to the principal office. Funds received by the principal office from another office shall be placed in the sponsoring broker's escrow account no later than the next business day following receipt of the funds from that office.

l) Escrow Requirements for Property Management Activities. Security deposits remitted to a sponsoring broker shall be maintained in an escrow account for the duration of the lease unless the tenant waives this requirement in writing and except if prohibited by State laws and local ordinances. The waiver, if included in the lease, shall appear in bold print.

m) Notice to the Division of the Identity of All Escrow Accounts and the Consent to Examine and Audit All Accounts

1. Each sponsoring broker shall, at the time of the original application for licensure, in a format provided by the Division, include the name of the banks or other recognized depositories in which each escrow account is maintained, the name of each account, and the names of the persons authorized to withdraw funds from those accounts, and shall, as a condition of licensure, consent to the examination and audit by the Division of all escrow accounts, whether or not the account is identified on the form.

2. Updated information shall be submitted by the sponsoring broker to the Division within 10 days after a change of depository, method of doing business, or persons authorized to make withdrawals.

3. Updated information shall not be required each time a new escrow account is opened for an individual transaction when the account falls under an umbrella account that has already been identified. The identity of each of these individual escrow accounts must be included in the Master Escrow Account Log required by subsection (i)(5).

n) If a licensee, serving as an escrow agent in a transaction, utilizes a third party service or business to collect, manage, transmit, or disburse earnest money, the licensee is still responsible for the requirements as stipulated by the Act and this Part.

o) Violations. Any licensee who violates this Part may be deemed to have endangered the public interest under Section 20-20(a)(21) of the Act and may be subject to a temporary suspension pursuant to Section 20-65 of the Act.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.755 Recordkeeping

a) A sponsoring broker shall keep, or cause to be kept, at the sponsoring broker's physical or virtual principal office, escrow records, transaction records, employment agreements and records reflecting the payment of compensation, as set forth in this Section.

1. Escrow Records for Each Interest Bearing and Non-Interest Bearing Escrow Account or Account Where Escrow Funds Have Been Deposited. These records shall include:

A) Journals required by Section 1450.750(i)(1);

B) Monthly bank statements;

C) Ledgers required by Section 1450.750(i)(2);

D) Monthly reconciliations required by Section 1450.750(i)(3); and

E) Master Log of Escrow Accounts required by Section 1450.750(i)(5).

2. The escrow records required by subsection (a)(1) shall be maintained for 5 years. The sponsoring broker shall ensure that the escrow records for the immediate prior 2 year period are maintained in the sponsoring broker's office or place of business and shall be produced within 24 hours after a request by the Division pursuant to Section 1450.750(i)(7). The balance of the records can be available at another location and is subject to request by the Division as set forth in Section 20-20(a)(27) of the Act. Any escrow records more than 2 years old and stored at a location other than the sponsoring broker's office, whether physical or virtual, shall be made available for inspection during normal business hours, through physical or secure electronic means, as soon as available, but within 30 days after the Division's request.

3. Records relating to transactions shall be retained by the sponsoring broker physically or electronically.

A) These records might include, but are not limited to, copies of the following:

i) Residential Property Transactions. Signed contracts, including offers and counteroffers, written release of escrow funds, written brokerage agreements whether exclusive or non-exclusive, consent to dual agency disclosure, notices of designated agency or no agency, written direction for deposit into interest bearing special account, power of attorney, disclosures (e.g., lead paint, radon, seller disclosure), closing statements and other transaction records required to be retained by the Act.

ii) Property Management/Leasing. Any rental finding agreement, property management agreements, leases, periodic accounting, or statement to the owner regarding the receipts and disbursements, and any other documents set forth in subsection (a)(3)(A)(i) that are relevant to the transaction.

iii) Commercial Representation. Tenant or owner representation agreement, letters of intent, leases, any written modifications to an executed lease and any other documents set forth in subsection (a)(3)(A)(i) that are relevant to the transaction.

B) The documents set forth in this subsection (a)(3) are not all inclusive and are examples of relevant documents to be retained. Any similar documents pertinent to a particular transaction shall also be retained. Any information contained on the outside of a physical transaction file shall be considered part of that file.

C) Transaction records shall be maintained for 5 years. The sponsoring broker shall ensure that any transaction records involving active or pending transactions or representation, or transactions in which escrow funds or moneys belonging to others were received and have not yet been disbursed for the immediate prior 2 years shall be maintained in the office or place of business. All transaction records maintained at the office shall be made available for inspection and audit during normal business hours by the Division staff no later than 24 hours after a request for escrow records and related documents. Any transaction records more than 2 years old and stored at a location other than the sponsoring broker's office, whether physical or virtual, shall be made available for inspection during normal business hours, through physical or electronic means, as soon as available but no later than 30 days after the request.

D) Sponsoring brokers may allow their sponsored licensees to maintain duplicate transaction records.

4. Employment or independent contractor agreements required by Section 10-20 of the Act shall be maintained for 5 years after the sponsored licensee is no longer associated with the sponsoring broker. The sponsoring broker shall maintain a written employment or independent contractor agreement for every licensee who is employed by or associated with the sponsoring broker. A copy of the employment or independent contractor agreement for each sponsored licensee shall be maintained at the sponsoring broker's office location registered with the Division.

5. Records reflecting the payment of compensation for the performance of licensed activities shall be maintained for 5 years.

b) All records may be kept in physical or electronic form. If the records are kept electronically, the sponsoring broker shall ensure that a back-up is made at reasonable intervals, but at least once a month, so as to protect the data. Back-ups can be kept either at the sponsoring broker's office or offsite.

c) Any disclosure required by the Act, or this Part may be provided in physical form or, if agreed to by both parties, in electronic format and may incorporate electronic signatures. Copies of all disclosures, whether in physical or electronic form, must be retained by the sponsoring broker.

d) If escrow records are lost, stolen, or destroyed, the sponsoring broker must:

1. Report the loss to the Division's enforcement division within 48 hours; and

2. Immediately obtain copies of monthly bank statements, deposit and disbursement receipts, and any other available records, to reconstruct the escrow records.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.760 Disclosure of Compensation

Pursuant to Section 10-10(c) of the Act, a licensee shall disclose, in writing, either physically or electronically, any compensation the licensee expects to receive or that the licensee's sponsoring broker will receive that arises out of a referral to any person or entity in which the licensee or licensee's sponsoring broker has any interest greater than 1%. This provision applies when the compensation is for the purpose of the client obtaining services related to the transaction, including any financial institution, insurance broker, mortgage broker, home inspector or any other third party services.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.765 Disclosure of Licensee Status

A licensee who sells, leases, or purchases any property or any interest in a property that is the subject of the transaction, whether directly or indirectly, for purposes of Section 10-27 of the Act, must disclose, in writing to all parties to the transaction, their licensure status prior to initiating a transaction when the licensee:

a) Is selling, leasing, or seeking to purchase real estate as sole owner, tenant in common, joint tenant, or tenant by the entirety;

b) Holds a beneficial interest in a land trust selling, leasing, or seeking to purchase an interest in the subject real estate;

c) Is a partner in a partnership, limited partnership or limited liability partnership selling, leasing, or seeking to purchase an interest in the subject real estate;

d) Is an officer, director and/or shareholder of a corporation, other than a publicly traded corporation, selling, leasing, or seeking to purchase an interest in the subject real estate;

e) Is a manager or member of a limited liability company selling, leasing, or seeking to purchase an interest in the subject real estate; or

f) Has any direct or indirect interest in the subject real estate.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.770 Brokerage Agreements and Property Management Agreements

a) A sponsoring broker entering into a brokerage relationship shall set forth the terms of that relationship in a written brokerage agreement pursuant to Section 15-50 of the Act.

b) Exclusive brokerage agreements, including exclusive listing agreements and exclusive buyer or tenant brokerage agreements, shall:

1. Be in writing and shall indicate the minimum services that must be provided as set forth in Section 15-75 of the Act. For purposes of this Section, "in writing" or "written" means physical or electronic writing.

2. Failure to include language in a brokerage agreement providing for minimum services as set forth in Section 15-75 of the Act or language waiving those minimum services will, under the definition of "exclusive brokerage agreement" in Section 1-10 of the Act, result in the brokerage agreement being considered to be non-exclusive.

3. A licensee may discuss a possible future brokerage agreement with a consumer whose property is exclusively listed with another sponsoring broker or who is subject to a written exclusive buyer or tenant brokerage agreement only if:

A) The consumer initiates the contact; or

B) The following occurs:

i) The licensee makes a request in writing, mailed or emailed, to the sponsoring broker who has the exclusive agreement for the expiration date of the agreement between the consumer and the sponsoring broker who has the exclusive brokerage agreement;

ii) The licensee who has the exclusive brokerage agreement fails to provide a response in writing, mailed or emailed, within 10 calendar days;

iii) The information from the broker or sponsoring broker who has the exclusive brokerage agreement is not received within 14 calendar days; and

iv) The requested information cannot be obtained by the licensee from another source of shared broker information.

c) Written buyer or tenant brokerage agreements, whether exclusive or non-exclusive, shall contain the following:

1. Agreed basis or amount of compensation and time of payment;

2. Name of the sponsoring broker, designated agents, and the buyers or tenants;

3. Signatures of the sponsoring broker, the buyers, tenants, or authorized signatories on behalf of the buyers or tenants;

4. Duties of the buyer or tenant's broker, or duties of the residential leasing agent; and

5. The duration of the brokerage agreement, including an automatic expiration date, or if longer than one year, the right to terminate the agreement annually with 30 days prior written notice; and

d) Written listing agreements, whether exclusive or non-exclusive, shall contain the following:

1. List price;

2. Agreed basis or amount of commission and the time of payment of the commission and any amounts paid to cooperating brokers who represent other parties to a transaction;

3. Name of the sponsoring broker, designated agents, and owners of the real property;

4. Identification of the real property involved (address and/or legal description);

5. Signatures of the sponsoring broker and owners or an authorized signatory on behalf of the owners;

6. Duties of the listing broker or residential leasing agent; and

7. The duration of the listing agreement, including an automatic expiration date, or if longer than one year, the right to terminate the agreement annually with 30 days prior written notice.

e) Written property management agreements shall be required if duties performed include licensed activity as defined by "broker" in Section 1-10 of the Act.

f) Written property management agreements shall at a minimum contain the following:

1. Identification of the real property involved (address and/or legal description);

2. Name of the sponsoring broker, designated agents, and owners of the real property;

3. Signatures of the sponsoring broker and owners or an authorized signatory on behalf of the owners;

4. Duties of the broker managing the property and of the owner;

5. List price;

6. Agreed payment or amount of compensation and the timing of payments, and any amounts paid to cooperating brokers, including those who represent other parties to the transaction;

7. The duration of the property management agreement, including an automatic expiration date, or if longer than one year, the right to terminate the agreement annually with 30 days prior written notice.

g) Licensees shall enter into a written brokerage agreement with a consumer who is a seller or owner prior to marketing or listing their real estate for sale or lease.

h) Licensees shall enter into a written brokerage agreement with a consumer who is a buyer or tenant prior to engaging in, or as soon as reasonably practical after performing any licensed activities intended to assist in the purchase or lease of real estate.

i) A licensee with an executed written brokerage agreement to market or list real estate for sale or lease on behalf of a seller or owner may:

1. Perform licensed activities on behalf of the seller or owner with an unrepresented buyer or tenant, after providing written disclosure to the buyer or tenant that the licensee is not acting as their agent; or

2. Act as a dual agent upon execution of a written brokerage agreement with the buyer or tenant and compliance with Section 15-45 of the Act, prior to performing any licensed activities on behalf of the buyer or tenant.

j) Written brokerage agreements shall expressly provide that no amendment or alteration to the terms, with respect to the amount of commission or with respect to the time of payment of commission, shall be valid or binding unless made in writing and signed by the parties.

k) No licensee shall use real estate contract forms to change previously agreed-upon commission payment terms.

l) If a listing agreement states that, in the event of a default by a buyer, the sponsoring broker's full commission or fees will be paid out of an earnest money deposit, with any remaining earnest money to be paid to the seller, the provision shall appear in the listing agreement in letters larger than those generally used in the listing agreement.

m) Each brokerage agreement shall clearly state that it is illegal for either the owner or any licensee to refuse to show, display, lease or sell to any person because of, race, color, religion, national origin, sex, ancestry, age, marital status, physical or mental disability, familial status, pregnancy, sexual orientation, including, but not limited to, gender identity, unfavorable discharge from the military service, military status, order of protection status, an arrest record, immigration status, source of income, or any other class protected by Article 3 of the Illinois Human Rights Act.

n) Each brokerage agreement for a residential property of 4 units or less that provides for a protection period subsequent to its termination date shall also provide that no commission or fee will be due and owing pursuant to the terms of the brokerage agreement if, during the protection period, a valid, written brokerage agreement is entered into with another sponsoring broker.

History

• Source: Amended at 50 Ill. Reg. 10875, effective July 13, 2026

68 Ill. Adm. Code 1450.775 Written Agreements

a) No licensee shall solicit, accept, or execute any contract or other document relating to a real estate transaction that contains any blanks with the intention of filling them in after the parties have signed or initialed the contract or other document. This shall not be construed to mean that there will never be a blank space on a contract or any other document.

b) No licensee shall make any addition to, deletion from or alteration of any signed contract or other document relating to a real estate transaction without the written consent or direction from all signatories. No licensee shall process any contract or other document that has been altered after being signed, unless each addition, deletion or alteration is signed or initialed by all signatories at the time of the addition, deletion, or alteration.

c) A true copy of the original or corrected contract or other document relating to a real estate transaction shall be delivered within 24 hours after the time of signing or initialing the original or correction to the person signing or initialing the contract or other document.

d) All forms used by licensees intended to become binding real estate contracts shall clearly state that fact in the heading in large bold type. No licensee shall use a form designated Offer to Purchase when it is intended that the form shall be a binding real estate contract.

e) This Section applies to all written agreements, whether physical or electronic.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.780 Referral Fees and Affinity Relationships

a) No licensee may pay a referral fee to an unlicensed person who is not a principal to the transaction. Any person receiving a referral fee must be duly licensed as a residential leasing agent, broker or managing broker in Illinois or hold an equivalent license of another state or country of domicile. If the person's country of domicile does not have a licensing statute for licensees, then in order to receive a referral fee, the person must comply with the laws, if any, of the country of domicile concerning the practice of real estate.

b) Request for Referral Fee

1. No licensee may request a referral fee unless reasonable cause for payment of the referral fee exists. Reasonable cause for payment of a referral fee means:

A) An actual introduction of a client was made to a licensee; or

B) A contractual referral fee relationship exists with the licensee.

2. No residential leasing agent licensee may request, or be paid, a referral fee, except for a referral fee from a lease or rental of residential real estate.

3. The fact that reasonable cause to demand a referral fee exists does not necessarily mean that a legal right to the referral fee exists.

4. A licensee is prohibited from interfering with the agency relationship of another licensee or attempting to induce a client to break an exclusive listing or an exclusive representation agreement with another licensee for the purpose of replacing that agreement with a new listing or representation agreement in order to obtain a referral fee. For purposes of this Section, an agency relationship shall be deemed to exist when a written, exclusive agency agreement (either a listing or buyer representation agreement) is entered into. Interfering with the agency relationship of another licensee includes, but is not limited to:

A) Demanding a referral fee from another licensee without reasonable cause;

B) Threatening to take harmful action against the client of another licensee because of their existing agency relationship and in order to obtain a referral fee; or

C) Counseling the client of another licensee on how to terminate or amend an existing agency agreement in order to obtain a referral fee.

5. Communicating corporate relocation policies or benefits to a transferring employee, as long as that communication does not involve advice or encouragement on how to terminate or amend an existing agency agreement, shall not be considered interference under subsection (b)(4).

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.785 Rental Finding Services

a) Definition and Application

1. A rental finding service is any business that finds, attempts to find or offers to find, for any person who pays or is obligated to pay a fee or other valuable consideration, a unit of rental real estate or a lessee to occupy a unit of rental real estate not owned or leased by the rental finding service.

2. Any person, corporation, limited liability company, partnership, limited partnership, or limited liability partnership that operates a rental finding service shall be considered a licensee, obtain the appropriate license, and comply with this Section.

3. This Section shall not apply to persons exempted by Section 5-20 of the Act.

b) Contract. A rental finding service shall, prior to accepting a fee or other valuable consideration for services, enter into a written contract with the person for whom services are to be performed and deliver to the person a physical or electronic copy of the contract. The contract shall include, in the case of a rental finding service that finds, offers, or attempts to find a unit of rental real estate for a person, at a minimum, the following:

1. The term of the contract;

2. The total amount to be paid for the services to be performed and a clear designation of the amount, if any, paid in advance of the performance of the services;

3. A statement regarding whether the fee paid in advance is refundable or non-refundable, including the following in uniform type of a size larger than that used for the balance of the contract:

A) Precise conditions, if any, upon which a refund is based;

B) The conditions shall occur within 90 days from the date of the contract; and

C) The refund shall be paid no later than 10 days after demand, provided the payment of the fee has been honored;

4. The type of rental unit desired, the geographical area requested, and the rent the prospective tenant is willing to pay;

5. A detailed statement of rental finding services to be performed by the licensee, which shall include, at a minimum, the delivery to the prospective tenant of all rental information set forth in subsection (c);

6. A statement that the contract shall be null and void if information concerning possible rental units or locations furnished by the licensee is not current or accurate with respect to the type of rental unit desired and as set forth in subsection (b)(4). A listing for a rental unit that has not been available for rent for over 2 days shall be prima facie proof of not being current;

7. A statement that information furnished by the licensee concerning possible rental units may be up to 2 days old; and

8. A statement requiring the licensee to refund all fees paid in connection with the contract if the contract is null and void for any reason. The licensee shall not impose any condition for the refund, and the contract shall state when the refund will be paid.

c) Disclosure. As required by subsection (b)(5), the following information for each rental unit the rental finding service is listing shall be provided, in writing, to the person with whom the contract is entered:

1. The name, address, email address, and telephone number of the owner of each rental unit or the owner's authorized agent;

2. A description of the rental unit;

3. The amount of rent requested;

4. The amount of security deposit required;

5. A statement describing utilities that are located in the rental unit and included in the rent;

6. The occupancy date and the term of lease;

7. A statement setting forth the source of the information disclosed (i.e., owner, owner's authorized agent); and

8. All other conditions that may reasonably be expected to be of concern to the prospective tenant.

d) Permission of Owner. A rental finding service shall not list or advertise any rental unit without the express written authority of the owner or owner's authorized agent of each unit.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.790 Broker Price Opinions and Comparative Market Analyses

a) An individual who is a licensed managing broker or broker and also a licensed appraiser as set forth in the Real Estate Appraiser Licensing Act of 2002 [225 ILCS 458] must include the broker's or managing broker's name and license number, not the appraiser's license number, on the initial page of the broker price opinion or comparative market analysis.

b) A broker or managing broker preparing a broker price opinion or comparative market analysis that does not comply with Section 10-45 of the Act is subject to discipline for:

1. False, untruthful, or misleading statements;

2. Inadequate or improper preparation of a broker price opinion or comparative market analysis; or

3. Any violation set forth in Section 20-20 of the Act.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.800 Confidentiality

Licensees in receipt of confidential information must take reasonable steps to safeguard that information from unauthorized disclosure.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.810 Failure to Disclose Information Not Affecting Physical Condition of Real Estate

This Section is intended to apply to actions taken by the Department under the Act and to all civil actions in Illinois. No cause of action shall arise against a licensee for the failure to disclose:

a) That an occupant of the real estate was afflicted with Human Immunodeficiency Virus (HIV) or any other medical condition;

b) That the real estate was the site of an act or occurrence that had no effect on the physical condition of the property or its environment or the structures located on that real estate, as set forth in Section 15-20 of the Act. These acts shall include, but are not limited to, murder or suicide;

c) Fact situations regarding real estate that is not the subject of the transaction; or

d) Physical conditions located on real estate that is not the subject of the transaction and do not have a substantial adverse effect on the value of the real estate that is the subject of the transaction.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.820 Dual Agency Prohibition

A licensee shall not serve as a dual agent in any transaction when the licensee, or an entity in which the licensee has or will have any ownership interest, directly or indirectly, is a party to the transaction.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.830 Disclosure of Contemporaneous Offers

"Contemporaneous offers" under Section 15-15(b) of the Act shall be offers to purchase or lease on behalf of 2 or more clients represented by the same designated agent for the same real estate parcel or unit that the designated agent knows or has reason to know will be taken under consideration by the owners or owners' representative at the same time. If there are contemporaneous offers from 2 or more clients of a designated agent, the designated agent shall provide written disclosure, physically or electronically, to those clients and, upon request by the clients, refer the clients to another designated agent.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.900 Unprofessional Conduct

Conduct that constitutes dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud or harm the public includes, but is not limited to:

a) Failure to act in the best interests of a client.

b) Deliberately misleading a client as to the market value of property.

c) Failing to advertise the property pursuant to the terms of the listing agreement.

d) Deliberately misrepresenting to prospective purchasers or their agents the condition of property or the availability of access to show the property.

e) Purchasing or transferring property through an intermediary in order to conceal the purchase by the licensee.

f) Inducing a seller to list property through false representations.

g) Inducing a seller through false representations or false promises to transfer property to the licensee.

h) Taking unfair advantage of a client's or customer's age, disability, or lack of understanding of the English language.

i) Engaging in licensed activities with the public or other real estate licensees in a manner that is abusive, harassing, or lewd.

j) Representing oneself as a sponsoring broker or designated managing broker without providing actual supervision and management of the real estate entity or licensees.

k) Failing to reasonably safeguard confidential information or improperly using confidential information.

l) Obstructing an inspection, audit, investigation, examination, or disciplinary proceeding.

m) Violation of Section 1450.750 (Special Accounts).

n) Assisting or inducing a licensee or unlicensed individual to violate the Act or this Part.

o) Any conduct constituting a breach of duty to the client causing harm to the client in the future. In establishing harm, the Department need not prove actual economic damage to the client.

p) Use of a managing broker license to permit or enable a broker, residential leasing agent, or other individual to operate or manage a licensed real estate entity without actual participation in and control of that entity by the designated managing broker.

q) Accessing a property or granting permission to access a property without proper authorization.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.905 Temporary Suspension

The Secretary may temporarily suspend a license without a hearing, simultaneously with the institution of proceedings for a hearing provided for in Section 20-60 of the Act, if the Secretary finds evidence indicating that the public interest, safety, or welfare imperatively requires emergency action. Emergency action is imperative when a licensee's conduct poses a threat that the public's or another licensee's money or other property will be stolen or embezzled or that continued licensure of a licensee will be a threat to the safety of the public or another licensee.

a) The Department may consider any one or more of the following acts committed by a licensee as cause for temporary suspension, including, but not limited to:

1. Failure to account for or to remit any moneys or documents that belong to others as set forth in Section 20-20(a)(16) of the Act;

2. Failure to maintain and deposit in a special or escrow account, separate and apart from personal and other business accounts, all escrow moneys belonging to others entrusted to a designated managing broker or sponsoring broker while acting as a licensee, escrow agent or temporary custodian of the funds of others, as set forth in Section 20-20(a)(17) of the Act;

3. Failure to make escrow records and related documents for the immediately preceding 2 years available, within 24 hours after request, to the Division during normal business hours pursuant to Section 20-20(a)(18) of the Act and Section 1450.755. This action alone may not be sufficient grounds for a temporary suspension;

4. Failure to make escrow records and related documents more than 2 years old available, within 30 days after request, to the Division during normal business hours, in physical or electronic form, as set forth in Section 20-20(a)(27) of the Act and Section 1450.755; or

5. Commingling money or property of others with the licensee's own money or property, as set forth in Section 20-20(a)(22) of the Act.

b) A petition for temporary suspension shall:

1. State the statutory basis for the action petitioned;

2. Allege facts, supported by sufficient evidence; and

3. Be presented to the Secretary.

c) An order for temporary suspension shall:

1. Contain sufficient notice regarding the basis for the action;

2. Recite the statutory basis for the action;

3. Demand immediate surrender of the license; and

4. Be signed by the Secretary.

d) A notice of temporary suspension shall accompany the order and shall:

1. Set a hearing date within 30 days after the date on which the order takes effect;

2. Identify the location where the hearing will take place; and

3. Provide information as to where the licensee may obtain the Department's Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110).

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.910 Non-Disciplinary Action

Non-disciplinary action may include, but is not limited to:

a) Issuance of a citation for failure to complete, or untimely completion of, required CE;

b) Restricting a licensee's access to escrow funds;

c) Requiring the successful completion of licensed real estate courses, including courses for those licensees who would otherwise not be required by Section 5-70 of the Act to complete CE;

d) Requiring the licensee to provide any report, record or document regarding licensed activities the Department deems relevant and appropriate; or

e) Imposition of an administrative fee.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.915 Suspension or Revocation of a Sponsoring Broker or Designated Managing Broker License

a) Suspension or Revocation of Sponsoring Broker

Upon the effective date of a suspension or revocation of the license of a sponsoring broker or sole proprietorship:

1. The licenses of all sponsored licensees automatically become inactive. Each managing broker licensee may resume licensed activities only upon securing a new sponsorship, either as a self-sponsored managing broker or by another sponsoring broker. Each broker or residential leasing agent may resume licensed activities only upon securing a sponsorship with another sponsoring broker.

2. Suspensions or revocations of a sponsoring broker shall not have an effect on the enforceability of any pending, executed real estate contracts.

A) The sponsoring broker whose license has been suspended or revoked shall send a written notice, in physical or electronic form, to all clients with a pending, executed real estate contract stating that the sponsoring broker's license has been suspended or revoked and that the suspension or revocation shall not have an effect on any pending, executed real estate contracts. The notice shall also identify the name, address, email, and telephone number of the person in control of the escrow money. To the extent clients require additional real estate services, the notice shall provide that the clients may seek real estate services from another sponsoring broker.

B) A suspension or revocation shall not preclude the receipt of any commission or other compensation earned by the suspended or revoked sponsoring broker or other formerly sponsored licensee prior to the effective date of the suspension or revocation of the sponsoring broker.

3. If a broker's suspension or revocation directly relates to a transaction for which compensation was earned, and the broker already received the compensation related to the transaction leading to the suspension or revocation of the license, the Department or Board may consider that fact when imposing discipline.

b) Suspension or Revocation of a Designated Managing Broker

In the event of a suspension or revocation of a designated managing broker license, offices may operate for 15 days without a replacement designated managing broker. Within 15 days after a suspension or revocation of a designated managing broker license, if a replacement designated managing broker has not been secured or a written request for authorization to continue operation has not been submitted to the Division, the offices must cease licensed activities.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.920 Inspections and Audits

a) Inspections

1. The Division is authorized to inspect areas of a sponsoring broker's office that are open and generally available to the public at any time during normal business hours, with or without the sponsoring broker's consent. The Division, with at least 24 hours' notice, may conduct a visual and physical inspection of the non-public areas of a sponsoring broker's office and interview any person, including any licensee or non-licensee, who may have knowledge or information about the licensee's real estate practice, with or without the consent of either the sponsoring broker or designated managing broker. The licensee may have an attorney present. The Division's action will not be postponed due to a licensee's attorney's unreasonable delay.

2. The Division is authorized to inspect a virtual office of the sponsoring broker, with or without the sponsoring broker's consent. The Division, with at least 24 hours' notice, may conduct an inspection of the digital infrastructure and all electronic records in the sponsoring broker's virtual office, and interview any person, including any licensee or non-licensee who may have knowledge or information about the licensee's real estate practice, with or without consent of either the sponsoring broker or designated managing broker. The licensee may have an attorney present. The Division's action will not be postponed due to a licensee's attorney's unreasonable delay.

3. Upon any written or oral request by the Division for documents in physical or electronic form, a licensee shall, except as otherwise allowed by subsection (b), produce the requested documents within 30 days after the request.

b) Escrow Audits

The Division is authorized to audit special accounts, escrow records and documents related to any escrow accounts maintained by the licensee. Any records or documents may be provided in physical or electronic form. Escrow audits may be conducted at any time with the sponsoring broker's consent or without consent with at least 24 hours' notice. The licensee may have an attorney present. The Division's action will not be postponed due to a licensee's attorney's unreasonable delay. Escrow audits may include:

1. A review and examination of all required, original escrow records as set forth in this Part.

2. A review and examination of any document, including physical or electronic originals, related to a licensee's escrow accounts.

3. Interviews of any person, including any licensee or non-licensee, who may have knowledge or information about the licensee's practices for maintaining and administering escrow accounts.

4. The Division may require audits of special accounts of sponsoring brokers by licensed certified public accountants as set forth in this Section.

A) The Division shall notify in writing the sponsoring broker responsible for the special accounts that an auditor has been retained to audit the special accounts, the identity of the auditor or auditing firm, and that the sponsoring broker shall submit all pertinent records for audit within 30 days after the written notice.

B) Any licensed certified public accountant performing an audit for the Division pursuant to the provisions of this Section or the Act shall provide a written report to the Division, with a copy to the sponsoring broker, detailing the findings of the auditor, with specific reference to compliance with the special account requirements of the Act and this Part.

C) The sponsoring broker shall be liable for the cost of the audit if an order is issued by the Department pursuant to Section 20-60 of the Act finding that escrow moneys were misappropriated by the sponsoring broker or the sponsoring broker's employees, independent contractors, agents, or designees.

c) Pursuant to Section 5-45(d) of the Act, the Division is authorized to obtain a licensee's original records, including physical or electronic records, for the purposes of inspection, audit, and reproduction. The Division shall promptly return all original documents or records to the licensee.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.925 Audits of Special Funds by Outside Auditors (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.930 Case File Review Committee

a) The Division and the Board may appoint a Case File Review Committee that shall be composed of at least 2 members of the Board, the Real Estate Coordinator, the Real Estate Chief of Investigations and the Real Estate Chief of Prosecutions or their designees. The Case File Review Committee members may take action set forth in this Section in person or through other means of communication.

b) The Case File Review Committee may exercise the following duties and responsibilities:

1. Recommend whether a complaint or case file be closed or refer the file to Investigations or Prosecutions for further review and action.

2. Review reports and files submitted to the Case File Review Committee; and

3. Request and review any investigation or prosecution files that the Department may have closed.

c) The Case File Review Committee shall report a summary of its actions and findings at each Board meeting.

d) In determining what action to recommend to the Department with regard to an investigation and/or prosecution of a complaint or case file, the Case File Review Committee shall consider factors including, but not limited to:

1. The effect on the public's health, safety, and welfare;

2. Any indication of fraud;

3. Any indication of commingling or embezzlement;

4. Evidence of escrow account shortages or discrepancies;

5. Refusal to provide escrow account records or related documents within the required time period;

6. Prosecutorial merit; or

7. Any alleged or potential violation of the Act or this Part.

e) Disqualification of a Case File Review Committee member. A Case File Review Committee member shall be recused from consideration of a case file when conflict of interest, or the appearance of a conflict of interest or bias or prejudice, would prevent that Case File Review Committee member from being fair and impartial.

f) Participation in the initial stages of the handling of a case file, including participation on the Case File Review Committee and in informal conferences, shall not bar a Case File Review Committee member from later participating in a formal hearing or in deliberating the case and making a recommendation to the Director.

g) Any meetings of the Case File Review Committee are an exception to the Open Meetings Act [5 ILCS 120] and shall be closed to the public, in accordance with Section 2(c)(15) of that Act.

h) Nothing in this Section shall require the Department to utilize the services of the Case File Review Committee to close any case file; however, the Department shall be required, as set forth in this Section, to advise the Case File Review Committee of such actions that are taken by the Department.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.935 Peer Review Advisor

a) In accordance with Section 25-21 of the Act, the Department may, in its discretion, contract with a licensee to act as an advisor to the Department regarding public complaints and alleged violations forwarded by the Department to the Peer Review Advisor.

b) The Department shall not be bound by any recommendation or advice provided by a Peer Review Advisor.

c) The Department shall only refer matters to the Peer Review Advisor that involve the actions of an unlicensed person or a licensee at the same or lower level of licensure held by the Peer Review Advisor.

d) The Peer Review Advisor shall issue any recommendation or findings to the Department in writing unless expressly waived by the Department.

History

• Source: Amended at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.940 Rules of Practice in Administrative Hearings

The Department of Financial and Professional Regulation Rules of Practice in Administrative Hearings (68 Ill. Adm. Code 1110) shall apply to all Department administrative hearings.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.945 Real Estate Recovery Fund

a) Necessity of Notice

When any person obtains a judgment in a circuit court that may result in collection from the Real Estate Recovery Fund, that person shall notify the Department of the judgment in writing within 30 days after the entry of the judgment and shall notify the Department in writing, within 20 days, notice of all supplementary proceedings to allow the Department to intervene pursuant to Section 20-90.

b) Aggrieved Person

"Aggrieved person", as used in Sections 20-85, 20-90 and 20-105 of the Act, means a person who has suffered harm or other injury as a result of the act or omission of a licensee or an unlicensed employee of a licensee in connection with licensed activities, including licensees who are a principal to the transaction but are not providing licensed activities in the transaction, as set forth in the Act.

c) Notice

The notice required by Section 20-90 of the Act or by this Section shall be sent by certified mail, return receipt requested, by a recognized overnight courier service, or shall be delivered by hand to the office of the Department in Chicago, Illinois, Attention: General Counsel.

d) Contents of Notice

Every notice required by Section 20-90 of the Act or by this Section shall include:

1. Copies of the following documents provided by the aggrieved parties:

A) The complaint and any amended complaints showing the "Filed" stamp of the Clerk of the Court in which the complaint was filed;

B) The judgment order and any post-judgment orders entered by the Court; and

C) Notice of all supplementary proceedings, which notice shall be provided to the Department at least 20 days prior to any such proceedings.

2. Copies of relevant documents available to the claimant, including:

A) Real estate sales contract, lease, closing statement, disbursement directions or other evidence of title to real property on which the claim is based. If the claimant does not possess title, evidence of the interest in real property on which the claim is based (evidence includes documents such as title policy, deed, or lease); and

B) Proof of any check, money order, or other method of payment regarding earnest money or security deposit, other negotiable instruments or dishonored checks issued by the licensee.

3. An itemized statement of losses of actual cash money that the claimant alleges occurred as a result of conduct identified in Section 20-85 of the Act by any licensees or the unlicensed employee of a licensee. When no itemized statement is possible, the claimant must state under oath that the claimant's losses are estimated, and the calculation of estimated losses is as accurate as circumstances permit.

e) Party Defendant

No notice of claim will be recognized or accepted when the underlying complaint and post-judgment order does not name at least one natural person or entity (a licensee, its employees or independent contractors) as a defendant and judgment debtor.

f) Amounts of Recovery and Attorney's Fees

By a post-judgement order of the circuit court of the county where the violation occurred in a proceeding described in Section 20-90 of the Act, the aggrieved person may recover an amount of not more than $50,000 from the Recovery Fund for damages sustained by any act, representation, transaction, or conduct described in Section 20-85 of the Act, together with costs of suit and attorney's fees in connection with the conduct leading to the claim.

1. The post-judgement order shall not include interest.

2. The maximum liability of damages arising out of the activities of any one licensee or one unlicensed employee of a licensee in any transaction or set of facts that formed the basis of a post-judgement order (including costs of suit and attorney's fees, when an attorney's affidavit as to their fees is sufficient proof) is $300,000.

3. The amount of any claim paid from the Fund will be spread equitably among all co-owners or otherwise aggrieved persons, if any.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.950 Automatic Revocation Upon Order for Payment from the Real Estate Recovery Fund (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.955 Nonbinding Advisory Opinions (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.960 Citations for Non-Compliance with Continuing Education and Post-License Education Requirements

The Division shall conduct audits to verify compliance with the CE and post-license education requirements of the Act and this Part. If, during an audit or compliance review, the Division determines that a licensee may be deficient in complying with CE or post-license education requirements, the Division will issue a citation to the licensee of the deficiency. Service of the citation shall be made in person, electronically or by mail to the licensee at the licensee's address or email address of record. The licensee shall have 60 days after the date of service of the citation to submit evidence of compliance with CE requirements to the Division and to pay the fine imposed.

a) The citation shall inform the licensee that they may provide the Division with proof that the licensee has completed the required CE or post-license education prior to the renewal deadline or deadlines associated with the audit. If satisfactory proof is provided within 60 days after the citation is served, the citation shall become null and void.

b) The citation shall set forth the fine imposed and inform the licensee that the licensee may request a hearing contesting the deficiency within 30 days after the citation is served.

c) The citation shall be non-public and become a final non-disciplinary order if the cited licensee does not request a hearing within 30 days after the citation is served or if the cited licensee does not provide the Division with proof of completing the required CE or post-license education, prior to the renewal deadline or deadlines associated with the audit. The fine shall be payable within 30 days after the date of the final order.

d) A fine in the amount of $500 shall be assessed for a first citation for noncompliance with CE or post-license education requirements. A fine in the amount of $1,000 shall be assessed for a second citation for noncompliance with CE or post-license education requirements. Pursuant to Section 20-20.1(c) of the Act, a third and each subsequent citation for noncompliance with CE or post-license education requirements shall result in publicly disclosed discipline and a fine in an amount not to exceed $2,000.

e) Payment of the fine does not absolve the person from the responsibility to complete the CE or post-license education requirements and correct the violation.

f) If the licensee fails to submit satisfactory evidence of compliance with CE or post-license education requirements and to pay the fine imposed pursuant to the final order, the Department may take further disciplinary action pursuant to the Act and this Part for violating the terms of the order. The licensee shall not engage in real estate activities for which a license is required under the Act until all required CE has been completed and payment is made for the fine imposed by the citation and for any fees required to reinstate or restore the license.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.1000 Granting Variances

The Director may grant variances from this Part in cases in which the Director finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) Application of the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.1100 Application for Education Provider License and Other Requirements

a) A person or entity seeking to provide pre-license education, the 45-hour post-license education, or CE shall submit:

1. A signed and completed education provider's application in a format provided by the Division;

2. The required fee set forth in Section 1450.130;

3. A course description, learning objectives, comprehensive timed outline and, when applicable, the final examination, answer key for each course, and final exam proctor policy; and any other information required by the Division. Education providers shall be responsible for any substantial misrepresentations made by the provider concerning the subject matter of a course;

4. Applications and fees for each course, as set forth in Sections 1450.1105(a) and 1450.1135(a); and

5. Authorization to conduct or transact business in Illinois issued by the SOS.

b) The Division shall notify the applicant in writing of its decision. In the event the Department intends to deny the application, then it shall include a clear statement of the acts or omissions alleged to violate the Act or this Part. The notice shall notify the applicant that they must request a hearing to contest the notice within 30 days after service and that if a request is not filed within that time, the Director may issue an order denying the license application (see Section 20-60 of the Act and Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100]).

c) The education program offered by an education provider shall:

1. Be approved by the education provider's governing and/or supervising body;

2. Only use instructors with a valid Illinois instructor license issued under the Act and Sections 1450.1115 and 1450.1145;

3. Have a curriculum that meets the requirements of Section 1450.1105 and/or Section 1450.1135; and

4. Include a proctored final examination, if a proctored examination is required, as outlined in Sections 1450.1105 and 1450.1135. Any remote proctoring must be conducted in accordance with the requirements of state and federal law.

d) Records and Facilities

1. Education providers must maintain all records, including, but not limited to, transcripts, attendance records, and certificates of completion, for a period of not less than 5 years regardless of whether the education provider's license is active. Those records may be maintained in physical or electronic form.

2. Education providers must provide customer service email or telephone contact information.

3. Education providers and their records are subject to inspection at any time after submitting an application to the Division. The inspection shall be made during regular business hours, with at least 24 hours advance notice of the inspection.

4. No education provider shall conduct in-person business in a private residence or retail establishment unless the education provider's business location within the retail establishment is a separate and distinct space solely occupied by the education provider.

5. Whenever an education provider intends to operate at a location other than the location of record, the education provider shall, no later than 10 days prior to that operation, notify the Division in a format provided by the Division.

6. Education providers may establish and operate virtual offices that do not have a fixed location. If the licensee conducts education provider services in or from the virtual office, the virtual office shall:

A) Display a current registry of all licensed instructors, courses, and their corresponding license numbers;

B) Display contact information for the education provider's owner or operator, including name, license number, valid phone number and email address;

C) Maintain a secure intranet or secure portal that is accessible by employees, instructors, students, and, upon request, the Division. The intranet portal shall include:

i) Electronic records, securely stored in the format they were originally created, sent, or received, and made accessible for inspection by the Division in a secure electronic format.

ii) Documents originally created in physical form may be converted to an electronic format only if the content is not altered.

D) Service of Process. For those education providers who maintain a virtual office, a valid physical address in Illinois must be provided to the Department for service of process. If an education provider does not maintain a physical address in Illinois, they may utilize the same address provided to the SOS for its registered agent in Illinois.

7. If an education provider and brokerage are under the same ownership structure or are affiliated entities, each shall be separately licensed with the Division. The education provider and brokerage's business operations must function independently and be distinct from one another.

e) Administration

1. No education provider shall advertise that it is endorsed, recommended or accredited by the Division. The education provider may indicate that the school is licensed by the Division.

2. Every education provider shall submit to the Division, upon the Division's request, a schedule including location, date, time and name of each licensed pre-license or CE instructor for each licensed pre-license, post-license or CE course offered. The education provider shall, upon the Division's request, notify the Division of any changes to that schedule.

3. Every education provider shall specify, in any advertising promoting pre-license, post-license or CE courses, the number of pre-license, post-license or CE credit hours that may be earned toward Illinois pre-license, post-license or CE requirements.

4. Prior to enrollment, the education provider shall provide a prospective student with information that specifies:

A) The course of study to be offered and the delivery method;

B) The tuition to be charged;

C) The education provider's policy regarding refund of unearned tuition when a student is dismissed or withdraws voluntarily or through hardship;

D) Any additional fee to be charged for supplies, materials or books that become the property of the student upon payment; and

E) Other matters that are material to the relationship between the education provider and the student.

5. Each education provider shall maintain for each student a record including the course of instruction undertaken, dates of attendance, areas of study satisfactorily completed, and, if applicable, the date on which the final exam was successfully passed. Each student's record shall be maintained by the education provider, regardless of whether the education provider's license is currently active, for a period of 5 years and shall be available to the student or for inspection by the Division during regular business hours.

6. An education provider shall issue a transcript or certificate of completion, in a format provided by the Division, upon a student's successful completion of any course. Each transcript or certificate of completion shall be authenticated and capable of being verified by the education provider.

7. The education provider shall certify on the initial application that sufficient financial resources are available to equip and maintain the school.

8. The education provider shall verify attendance at each pre-license course, post-license course, and CE course. A student may only receive credit for time actually spent attending the course or, if applicable, for achieving a passing score of at least 75% on the final examination to receive credit.

9. Each education provider shall provide time and facilities for conducting make-up classes for students absent from the regularly scheduled class. No more than 10% of the total credit hours may include make-up credit hours. A student missing any make-up credit hours shall fail the course.

10. The Division shall be reimbursed by any out-of-state education provider for all reasonable expenses incurred by an inspector to inspect its facilities or records.

11. An education provider shall submit proof of ownership as may, from time to time, be required by the Division.

12. Course Completion Records. Every licensed education provider shall submit to the Division, in a format provided by the Division, on or before the 15th of each month, a report of applicants or licensees passing education courses offered by the education provider during the preceding calendar month.

A) An administrative fee in the amount of $50 will be imposed on an education provider that fails to submit its monthly report on or before the 15th of the month.

B) If an education provider fails to submit monthly reports and/or to pay the required late fees for three or more successive months, the license of the education provider and the courses offered by that education provider may be subject to discipline as set forth in Section 1450.1165.

f) Education providers offering a 30-hour real estate auction certification course must comply with Section 1450.1300.

g) Each university, college, community college, or school that is a public institution of higher education, supported by public funds, and located in the State of Illinois shall be deemed to qualify as an education provider, as long as that university, college, community college, or school meets the following criteria and certifies to the Division that:

1. The facility is domiciled in the State of Illinois and supported by public funds;

2. The instructors are approved and licensed by the Division;

3. The courses offered are approved and licensed by the Division;

4. The program that offers pre-license or continuing education is a not-for-profit division of the university, college, community college, or school; and

5. The courses and curriculum meet the requirements of Section 1450.1105.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.1105 Application for Pre-License and Post-License Courses

a) A licensed education provider seeking to provide pre-license courses shall submit for each course:

1. A signed and completed pre-license course application in a format provided by the Division;

2. The fee required by Section 1450.130; and

3. A course description, comprehensive timed outline, and, when applicable, final examination, answer key for each course, final exam proctor policy, and any other information required by the Division. Each outline shall make reference to the textbook used and other material related to the course or subject matter and shall conform to the standardized curriculum provided by the Division. The applicant shall make any education material referenced in the outline available to the Division, upon request.

b) An education provider offering pre-license courses must provide the following pre-license broker courses as recommended by the Board and approved by the Division:

1. A 60 credit hour course including, but not limited to, the following topics: Introduction to License Law, Real Property, Current State and Federal Law, Real Estate Transactions, and Real Estate Career Paths.

2. A 15 credit hour Applied Real Estate Principles course, presented in the classroom, by interactive webinar, or by online distance education.

c) An education provider offering pre-license courses must provide the following 45-hour post-license broker courses:

1. A 15 credit hour course on Applied Brokerage Principles, recommended by the Board and approved by the Division, and presented in the classroom, by interactive webinar, or by online distance education.

2. A 15 credit hour course on Risk Management/Discipline, recommended by the Board and approved by the Division, and presented in the classroom, by interactive webinar, or by online distance education.

3. A 15 credit hour course on Transactional Issues, recommended by the Board and approved by the Division, and presented in the classroom, by interactive webinar, or by online distance education.

4. Each 15 credit hour post-license course must be followed by a 50 question examination administered by the education provider, for which the minimum passing score shall be no less than 75%. Education providers offering classroom-based courses may administer the exam online or in an electronic format.

d) An education provider offering pre-license courses must provide the following pre-license managing broker courses, recommended by the Board, and approved by the Division:

1. A 30 credit hour course including, but not limited to, Brokerage Administration and Management, Licensing, Escrow and Residential Leasing Agent Management.

2. A 15 credit hour Applied Management and Supervision course, presented in the classroom, by interactive webinar, or by online distance education.

e) Only those education providers that provide courses enumerated in subsections (b), (c) and (d) may provide CE core classes or the 30-hour pre-license endorsement courses.

f) A licensed real estate education provider may provide a 15 credit hour course as set forth in Section 5-10(a)(5) of the Act for pre-license residential leasing agents.

g) A licensed real estate education provider may provide a 30 credit hour real estate auction certification course as set forth in Section 5-32(b) of the Act for real estate auctioneers.

h) Examinations. Each correspondence or home study pre-license course shall require a mandatory proctored final examination (see Section 30-15(i)(6) of the Act) prepared and provided by the licensed education provider and consisting of at least 25 questions for every 15 credit hours. Any remote proctoring must be conducted in accordance with the requirements of state and federal law. The minimum passing score shall be no less than 75%. The proctored final examination shall be provided by the education provider at the completion of every 15 credit hours or the conclusion of the course. The education provider's registration material shall inform the student in writing whether the proctored final examination will be administered in electronic format, paper format, or both. Credit hours exclude any time devoted to taking the proctored final examination.

i) A licensed education provider must verify attendance for courses presented in a classroom, by interactive webinar, or by online distance education.

j) The Division may approve courses that incorporate additional real estate topics.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.1110 Application for Education Provider and Course License Renewal

a) Education provider and course licenses shall expire on June 30 of each odd-numbered year.

b) Licensed education providers shall be responsible for submitting:

1. A renewal application in a format provided by the Division;

2. The required fee set forth in Section 1450.130; and

3. A list of updated courses, course descriptions, comprehensive timed outlines, proctored final examinations, answer keys, and any other information required by the Division.

c) Failure to receive a renewal notice or failure to pay the renewal fee shall not constitute valid grounds for failing to renew a license.

d) Operating on an expired education provider license shall constitute unlicensed practice and may be grounds for discipline.

e) An education provider license expired for more than 2 years shall not be eligible for renewal. An education provider license expired for less than 2 years may be renewed after the education provider submits evidence that all requirements of Section 1450.1100 have been met and the fees required by Section 1450.130 have been paid.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1115 Application for Pre-License Instructor License

a) A person seeking a pre-license instructor license shall meet the following requirements:

1. Pass an examination, authorized by the Division, with a minimum score of 75%;

2. Demonstrate expertise by:

A) Holding an active broker or managing broker license for the immediately preceding 2 years;

B) Being admitted to the practice of law by the Supreme Court of Illinois;

C) Having prior teaching experience for a minimum period of 2 years; or

D) Professional background and experience.

3. Complete a 12-hour instructor training program approved by the Division and comprised of:

A) 6 hours devoted to instructor training and development; and

B) 6 hours devoted to teaching the content of the pre-license courses set forth in Section 1450.1105.

b) The Division shall notify the applicant in writing of its decision. The Division may restrict a pre-license instructor's license to teaching only certain courses or certain types of courses. In the event the application is denied, the basis for denial will be provided and the applicant advised that the applicant may request a hearing on the merits, as set forth in Section 20-60 of the Act and Article 10 of the Illinois Administrative Procedure Act.

c) A licensed pre-license instructor may teach pre-license, post-license, CE core or elective curriculum, or broker management CE curriculum without obtaining a CE instructor license.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.1120 Administration of Proficiency Examinations and Eligibility to Take the Proficiency Exam and Transition Courses (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.1125 Pre-License Instructor License Renewal and Restoration

a) Pre-license instructor licenses shall expire on June 30 of each odd-numbered year.

b) Licensed pre-license instructors shall be responsible for submitting:

1. A renewal application in a format provided by the Division;

2. The required fee set forth in Section 1450.130; and

3. Certification of:

A) Maintaining a valid pre-license instructor's license;

B) No lapse in licensure greater than 2 years; and

C) One of the following:

i) Teaching at least one pre-license, post-license, broker management CE or core CE course during the current term of licensure; or

ii) Successful completion, during the current term of licensure, of the 12-hour instructor training program set forth in Section 1450.1115(a)(3). The 12-hour instructor training program shall not count towards the required residential leasing agent, broker or managing broker CE requirements.

c) Failure to receive a renewal notice or failure to pay the renewal fee shall not constitute valid grounds for failing to renew a license.

d) Teaching courses on an expired pre-license instructor license shall constitute unlicensed practice and may be grounds for discipline.

e) Restoration

1. A pre-license instructor with an expired license may renew the license without paying any lapsed renewal fees provided that the license expired while the pre-license instructor was:

A) On active duty with the United States Army, United States Navy, United States Marine Corps, United States Air Force, United States Coast Guard or State Militia called into the service or training for the United States;

B) Engaged in training or education under the supervision of the United States prior to induction into military service; or

C) Serving as an employee of the Department.

2. A pre-license instructor renewing a license as set forth in this subsection (e) may renew the license within a period of 2 years following the termination of service and is not required to reapply or complete any examination or instructor training to renew.

f) Except as set forth in this Section, any pre-license instructor whose license has expired for more than 2 years shall meet the new applicant requirements as set forth in Section 1450.1115.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1130 Application for Continuing Education School License and Other Requirements (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1975, effective January 25, 2019

68 Ill. Adm. Code 1450.1135 Application for Continuing Education Courses and Curriculum

a) A licensed education provider seeking to provide CE courses shall submit:

1. A signed and completed CE course application in a format provided by the Division;

2. The required fee set forth in Section 1450.130; and

3. A course description, learning objectives, comprehensive timed outline, course objectives and, when required, the final examination and answer key for each course, as well as the exam proctor policy and written proctor agreement. Materials provided to the students and other information may also be required by the Division. Each outline shall make reference to the textbook used, if applicable, and other material related to the course or subject matter and shall conform to a standardized curriculum approved by the Division.

b) CE courses shall comply with a standardized curriculum provided by the Division.

c) A licensee may earn credit for a specific CE course only once during the current term of the license.

d) Each CE course shall include one or more subjects from either the core category, as set forth in Sections 1450.450(b)(3)(A) and 1450.540(b)(3)(A), or elective category, as set forth in Sections 1450.450(b)(3)(B) and 1450.540(b)(3)(B), regardless of whether students are in a classroom or are being taught by an interactive webinar or in an online distance education format. All CE courses shall be a minimum of 1 credit hour and shall be offered, at a minimum, in 1 hour increments. The education provider shall clearly indicate on the certificate of completion the number of credit hours earned from each CE course and identify whether the course was from the core or elective category.

e) All CE courses shall:

1. Contribute to the advancement, integrity, extension and enhancement of professional skills and knowledge in the practice of licensed activities; and

2. Provide experiences that contain subject matter and course materials relevant to that set forth in Section 5-70 of the Act.

f) Each CE course, except those offered in a classroom, by interactive webinar, or by online distance education, shall end in a mandatory proctored final exam prepared and provided by the licensed education provider consisting of at least 12 questions for every 1 credit hour and for which the minimum passing score shall be no less than 75%. The education provider's registration material shall inform the student in writing if the examination will be in electronic format, paper format, or both. Credit hours exclude any time devoted to taking the examination.

1. Pursuant to Section 5-70(j) of the Act, no more than 12 hours of CE credit may be taken in one calendar day. The proctored final exam for a CE course or courses may be given at the end of each individual course or group of courses. For example, a licensee who intends to take 12 hours of CE may complete the proctored final exam and earn CE credit for the courses at the end of each individual course or group of courses, provided that the licensee does not exceed the 12-hour limit of instruction per calendar day referenced in Section 5-70(j) of the Act.

2. All examinations shall be proctored pursuant to an exam proctor policy. Proctors must be impartial third parties (i.e., not a licensee's sponsoring broker, managing broker, relative, or colleague) as defined in Section 1450.100. Any remote proctoring must be conducted in accordance with the requirements of State and federal law.

3. If a student fails a CE examination twice, the student must successfully retake the CE course and pass the examination in order to receive credit.

4. The education provider shall provide a closed book examination when required.

g) A licensed education provider must verify student attendance for all courses presented in a classroom, by interactive webinar, or by online distance education.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.1137 Authorization for Third Party Designees to Review Courses

a) Pursuant to Section 30-15(j) of the Act, the Department may retain a third party to act as the Board's designee to review course materials submitted for approval.

b) The Department may consider the recommendation of the Board on the engagement of the third party.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1140 Application for Continuing Education School and Course License Renewal (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1975, effective January 25, 2019

68 Ill. Adm. Code 1450.1145 Application for Continuing Education Instructor License

a) A person seeking a CE instructor license shall submit:

1. A signed and completed application in a format provided by the Division;

2. The required fee set forth in Section 1450.130; and

3. A certification that the applicant has attended and successfully completed a 6-hour instructor development course. This course may be the same as the 6-hour instructor training and development course set forth in Section 1450.1115(a)(3)(A). The 6-hour instructor training and development course shall not count towards residential leasing agent, broker, managing broker CE or pre-license instructor renewal requirements.

b) Applicants for a CE instructor license shall meet at least one of the following criteria:

1. Be licensed and active as a broker or managing broker for the immediately preceding 3 years;

2. Be currently admitted to practice law and, for the immediately preceding 3 years, have been engaged in real estate related work as part of the active practice of law, or taught real estate pre-license courses;

3. Be a credentialed real estate course instructor engaged in teaching for the immediately preceding 3 years;

4. Hold a professional designation, including, but not limited to, a designated real estate instructor (DREI);

5. Be approved by a college or university to teach a real estate degree program;

6. Have been licensed or certified to engage in the business of certified real estate appraiser, certified mortgage loan originator, home inspector, auctioneer, or certified public accountant, or other related profession as established by the Division for the immediately preceding 3 years; or

7. Be qualified by experience or education as set forth in Section 30-25 of the Act. In determining whether a person is qualified to teach CE under that Section, the Division may consider:

A) Teaching experience;

B) Real estate experience; and

C) Any real estate, business, or legal education.

c) The Division shall notify the applicant in writing of its decision. The Division may restrict a CE instructor's license to teaching only certain CE courses or certain types of CE courses. In the event the application is denied, the reasons will be provided, and the applicant advised that the applicant may request a hearing on the merits pursuant to Section 20-60 of the Act and Article 10 of the Illinois Administrative Procedure Act.

d) A CE instructor who holds a CE instructor license may only teach CE elective courses. If the CE instructor wishes to teach any CE core curriculum or broker management CE courses, the instructor must also hold a valid pre-license instructor license.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.1150 Continuing Education Instructor License Renewal and Restoration

a) CE instructor licenses shall expire on June 30 of each odd-numbered year.

b) Licensed CE instructors shall be responsible for submitting:

1. A renewal application in a format provided by the Division;

2. The required fee set forth in Section 1450.130; and

3. One of the following:

A) Certification of having taught at least 1 elective CE course during the current term of licensure; or

B) Successful completion, during the current term of licensure, of the 6-hour instructor training and development course set forth in Section 1450.1145(a).

c) Failure to receive a renewal notice or failure to pay the renewal fee shall not constitute valid grounds for failing to renew a license.

d) Teaching CE elective courses on an expired license shall constitute unlicensed practice and may be grounds for discipline or non-disciplinary action.

e) Restoration

1. A CE instructor with an expired license may renew the license without paying any lapsed renewal fees provided that the CE license expired while the instructor was:

A) On active duty with the United States Army, United States Navy, United States Marine Corps, United States Air Force, United States Coast Guard or State Militia called into the service or training for the United States;

B) Engaged in training or education under the supervision of the United States prior to induction into military service; or

C) Serving as the Director or as an employee of the Department.

2. A CE instructor renewing a license as set forth in this subsection (e) may renew the license within a period of 2 years following the termination of service and is not required to reapply or complete any examination or instructor training to renew.

f) Except as set forth in this Section, any CE instructor whose license is expired for more than 2 years shall meet the new applicant requirements set forth in Section 1450.1145.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1155 Correspondence or Home Study Courses

The Division may consider the recommendation of the Board regarding correspondence or home study course curriculum. Correspondence or home study courses are non-interactive courses in which students review and learn material through self-study, without any mandatory interaction with a licensed instructor, and in which participation and attendance cannot be verified. Correspondence or home study courses shall not include classroom instruction.

a) The following may not be taught as correspondence or home study courses:

1. Core CE (see Section 30-15(i)(2) of the Act);

2. The 15-hour Broker Pre-license Applied Real Estate Principles course (see Section 5-27(a)(5) of the Act and Section 1450.1105(b)(2));

3. The 45-hour broker post-license education courses (see Section 5-50(b) of the Act);

4. The 12-hour broker management CE course (see Section 5-70(b) of the Act);

5. The 15-hour Managing Broker Pre-license Applied Management and Supervision course (see Section 5-28(a)(5) of the Act and Section 1450.1105(d)(2)); and

6. Sexual Harassment Prevention Training (see Section 2105-15.5 of the Department of Professional Regulation Law [20 ILCS 2105]).

b) Correspondence or home study courses shall be provided by a licensed education provider and meet the requirements set forth in Sections 1450.1100 and 1450.1105, as applicable, and any additional requirements established by the Act and this Part, except that:

1. The licensed education provider shall be responsible for ensuring that the proctor verifies attendance at the proctored final examination. The identity of each student must be verified by valid and unexpired photo identification (i.e., driver's license, state identification card, passport, etc.) prior to the start of the examination.

2. The examination site for correspondence or home study shall be determined by the education provider and shall be proctored by a representative of the education provider or by means of electronic proctoring. A licensed instructor is not required to proctor an examination. Proctors must be impartial third parties (i.e., not a licensee's sponsoring broker, managing broker, relative, or colleague).

c) Students must be provided with complete information on the nature and the content of the correspondence or home study course. A student enrolled in a correspondence or home study course shall receive the following prior to beginning the course, as applicable:

1. Education provider and instructor contact information (e.g., telephone, email, business address);

2. Homework assignments;

3. Testing information (e.g., sites, proctors);

4. Schedules and deadlines;

5. List of student materials and resources required (e.g., written materials, software);

6. Grading and course credit information;

7. Resource information;

8. Registration and withdrawal periods;

9. Fees;

10. Americans with Disabilities Act (42 USC 12101 et seq.) information, including special needs provisions;

11. Delivery procedures;

12. Technology support services available to students; and

13. The procedure for issuing certificates of completion.

d) No continuing education credit shall be awarded or earned for a correspondence or home study course that fails to meet the proctored final examination requirements (see Section 30-15(i)(6)).

e) Licensed education providers providing correspondence or home study courses shall establish written procedures for proctoring and grading examinations. There shall also be written objectives for each course and written procedures for the prompt return of materials, if required. Copies of these procedures shall be provided to the Division upon application.

f) Licensed education providers offering correspondence or home study courses shall provide for a licensed instructor and technical support to be available during normal business hours to answer student questions.

g) Correspondence or home study courses shall require at least the same amount of time to complete as a classroom course. For each correspondence or home study course, an education provider shall include in its initial application a comprehensive timed outline consistent with course hour requirements.

h) Licensed education providers shall not administer a correspondence or home study course proctored final examination to a student until the student has had adequate time to complete the course.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1160 Recruitment

a) Licensees shall not recruit exam takers to become associated with a licensee at test facilities where the Illinois Real Estate Licensing Examinations are conducted.

b) No licensed education providers shall allow the education provider's premises or classrooms to be used during class time by anyone to directly or indirectly recruit students to become associated with a licensee. Education providers and instructors shall promptly report any efforts to recruit students during class time to the Division.

c) The education provider and the testing vendor are prohibited from disclosing information about any student to anyone other than the Division, except as may be necessary for purposes of completing application or testing related and ministerial matters strictly for the benefit of the student.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1165 Discipline of Education Providers, Instructors and Courses

a) Upon written recommendation of the Board to the Director, the Department may refuse to issue or renew a license, reprimand, fine, place on probation, suspend or revoke any license or otherwise discipline any license of any education provider, pre-license instructor, pre-license course, CE instructor, CE course, post-license course, or an applicant for any license when:

1. The quality of the course, instruction or program fails to meet the established criteria as set forth in the Act and this Part;

2. The licensee commits fraud or misrepresentation in applying for a license;

3. Any other professional license, accreditation or certification of the instructor, school or course is suspended, revoked, or otherwise disciplined;

4. The licensee dismisses a student from a course, without good cause, and that dismissal results in required hours not being met;

5. The licensee fails to adhere to approved course materials;

6. The licensee conducts a course while the license is inactive, nonrenewed, expired, suspended, revoked, or surrendered, or an applicant conducts a course prior to being issued a license;

7. A licensee plagiarizes course material of another;

8. A course is not conducted in accordance with the delivery method represented to the Division at the time the application for licensure was submitted, or a course no longer complies with the criteria for the licensure;

9. The licensee does not enforce policies relating to courses, instructor qualifications, student attendance, or course scheduling;

10. The licensee or applicant misrepresents any material fact relating to a course;

11. The licensee fails to maintain, for a period of at least 5 years, accurate records of students' course completion or fulfill, within 14 days, student, or Division requests for course completion certificates;

12. The licensee assists a student, directly or indirectly, in cheating on an examination, including, but not limited to, providing a copy of the exam or questions and answers to the exam;

13. The licensee or applicant makes any substantial misrepresentation, or engages in misleading or untruthful advertising, including, but not limited to, guaranteeing success or a "passing score" on any examination or any course, or using any trade name or indicia of membership in any organization in which the applicant or licensee is not a member;

14. The licensee or applicant teaches courses without being licensed, assists an unlicensed individual in teaching a course, or teaches an unlicensed or unapproved course;

15. The licensee or applicant fails to provide information to the Division as required under any provision of the Act or this Part;

16. The licensee or applicant disregards or violates any provision of the Act or this Part; or

17. A licensed pre-license or CE instructor fails to notify an education provider that the instructor license is subject to a restriction set forth in Sections 1450.1115(b) and 1450.1145(d).

18. The licensed instructor provides materially false or misleading information concerning the subject of the course.

b) Disciplinary proceedings shall be conducted as set forth in the Act and this Part.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.1170 Real Estate Education Advisory Council (repealed)

History

• Source: Repealed at 43 Ill. Reg. 1975, effective January 25, 2019

68 Ill. Adm. Code 1450.1175 Waiver of Final Examination Requirements for Certain Education Delivery Methods

a) The option of not requiring a final examination (see Section 30-15(i)(5) of the Act) shall apply to CE and pre-license courses. This option shall not apply to the 45-hour broker post-license education (see Section 5-50(b) of the Act).

b) To qualify for the final examination exemption under Section 30-15(i)(5) of the Act, an education provider shall provide evidence, at the Division's request, that all students in a course offered in a classroom participate by:

1. Recording each student's attendance at the beginning of the class and at the end of each class; and

2. Retaining a record, either physically or electronically, of each student's participation, for a minimum of 5 years. Records required by this subsection (b) are subject to audit by the Division after 24 hours' notice.

c) To qualify for the final examination exemption under Section 30-15(i)(5) of the Act, an education provider shall, at the Division's request, provide evidence that all students in an interactive webinar course demonstrate their participation by recording each student's attendance once at the beginning of the class and at least once per 50 minutes of instruction (see Section 30-15(i)(3) of the Act). Students shall demonstrate their attendance by answering or responding to polling questions initiated by the instructor.

d) To qualify for the final examination exemption under Section 30-15(i)(5) of the Act, an education provider shall, at the Division's request, provide evidence that all students in an online distance education course demonstrated their participation and comprehension by:

1. Requiring and recording each student's responses and answers and verifying that the student satisfied the 75% minimum comprehension threshold. No more than 250 questions shall be required in any one course;

2. Retaining each student's responses and answers, either physically or electronically, for a minimum of 5 years. The records are subject to audit by the Division after 24 hours' notice;

3. Providing that, should a student fail to meet the 75% minimum comprehension requirement, the student will be given another opportunity to demonstrate comprehension within the same course, provided that the questions, response choices, and answers are randomized and not in the same order as first presented to the student; and

4. Verifying a student's identity at the beginning and conclusion of the course and maintaining that verification with date and time stamp, either physically or electronically, for 5 years. The records are subject to audit by the Division after 24 hours' notice.

e) Education providers, upon request of the Division, shall provide records of student attendance and/or performance.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

Chapter VIII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1450 Real Estate License Act of 2000

68 Ill. Adm. Code 1450.1180 Proctor Standards

The proctor shall authenticate the identity of the student taking the examination; monitor the student and the examination-taking process to ensure that the examination is completed without the aid of additional persons or resources, unless approved by the Division; and protect the confidentiality of educational materials. Proctors must be impartial third parties and may not be an applicant's or licensee's sponsoring broker, managing broker, relative, or colleague.

History

• Source: Amended at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1200 Continuing Education Requirements for Transitioned Licensees (repealed)

History

• Source: Repealed at 40 Ill. Reg. 12588, effective September 2, 2016

68 Ill. Adm. Code 1450.1205 Continuing Education Schools and Courses (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1210 Credit for Continuing Education Courses (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1215 Pre-License Schools and Courses (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1220 Education Provider, Course and Instructor Transition (repealed)

History

• Source: Repealed at 45 Ill. Reg. 2851, effective February 23, 2021

68 Ill. Adm. Code 1450.1225 Core Continuing Education Course Transition

a) The Division will accept applications for the broker 6-hour core continuing education courses and the 12-hour managing broker continuing education course that comply with the new requirements and curriculum established in this Part.

b) Effective July 1, 2025, all broker and managing broker continuing education courses that do not comply with the new requirements and curriculum approved by the Division will not be accepted and are ineligible for renewal.

c) Applicants for managing broker licenses that were up for renewal on April 30, 2025, are not required to fulfill their 24-hour continuing education hours with courses that include the updated requirements and curriculum. However, applicants for managing broker licenses that are up for renewal in the subsequent renewal terms will be required to only take courses that include the updated core hours and curriculum.

d) Applicants for broker licenses that are up for renewal on April 30, 2026, are required to fulfill their 12-hour continuing education hours with courses that include the updated 6-hour core curriculum. However, if applicants for broker licenses take and complete the previous 4-hour core curriculum between May 1, 2024, and June 30, 2025, they have fulfilled their core continuing education requirements and will need 8 hours of elective continuing education for the 2026 broker renewal.

History

• Source: Added at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.1300 Real Estate Auction Pre-Certification Education

a) The 30-hour real estate certification course set forth in Section 5-32 of the Act shall include the following:

1. 18 hours relating to real estate including the following topics:

A) Illinois and federal statutes and rules governing real estate;

B) Agency;

C) Real estate advertising; and

D) Any other subject matter recommended by the Division.

2. 12 hours relating to auctions including the following topics:

A) Illinois and federal statutes and rules governing auctions;

B) Auction advertising; and

C) Any other subject matter recommended by the Division.

b) The 30-hour real estate auction certification course may be completed in a classroom, by interactive webinar, or by an online distance education course.

c) The Board shall approve the 30-hour real estate auction course required by Section 25-110 of the Auction License Act [225 ILCS 407/25-110].

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.1310 Application for Real Estate Auction Certification

To obtain a real estate auction certification, an applicant must:

a) Submit a signed and completed real estate auction certification application in a format provided by the Division;

b) Hold a valid auctioneer license under the Auction License Act [225 ILCS 407];

c) Pay the fee required by Section 1450.130(d)(1); and

d) Complete a 30-hour real estate auction certification course set forth in Section 1450.130, including passing the mandatory proctored final course exam.

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1450.1320 Real Estate Auction Certification Activities

a) A licensed auctioneer with a real estate auction certification, who is not otherwise exempt from holding a broker or managing broker license under Section 5-20(13) of the Act, performing activities related to the auction of real estate shall be limited to:

1. Establishing the time of the real estate auction;

2. Establishing the place of the real estate auction;

3. Establishing the method of the real estate auction;

4. Placing proper advertisements regarding the real estate auction as set forth in Sections 1450.715 and 1450.720; and

5. Crying or calling the real estate auction.

b) A licensed auctioneer exempt from holding a broker or managing broker license under Section 5-20(13) of the Act who is performing activities related to the auction of real estate shall be limited to:

1. Establishing the time of the real estate auction;

2. Establishing the place of the real estate auction;

3. Establishing the method of the real estate auction;

4. Placing proper advertisements regarding the real estate auction as set forth in Sections 1450.715 and 1450.720;

5. Crying or calling the real estate auction; and

6. Selling or leasing real estate at auction.

c) As set forth in Section 5-32 of the Act, the Department may revoke, suspend, or otherwise discipline the real estate auction certification of a licensed auctioneer who violates Section 5-32 of the Act or Section 20-15 of the Auction License Act [225 ILCS 407].

History

• Source: Amended at 49 Ill. Reg. 9512, effective July 7, 2025

68 Ill. Adm. Code 1452.10 Definitions

Unless otherwise clarified by this Part, definitions set forth in the Act also apply for the purposes of this Part.

"AMC National Registry" means the national registry of appraisal management companies that are either registered with and subject to supervision of a State appraiser certifying and licensing agency or are operating subsidiaries of a federally regulated financial institution maintained by the Appraisal Subcommittee.

"Act" means the Appraisal Management Company Registration Act [225 ILCS 459].

"Applicant" means a person applying for registration under the Act and this Part as an appraisal management company. Any applicant or any person who holds themself out as an applicant is considered a registrant for purposes of enforcement, investigation, hearings and the Illinois Administrative Procedure Act [5 ILCS 100].

"Appraisal management company" or "AMC" means any corporation, limited liability company, partnership, sole proprietorship, subsidiary, unit, or other business entity that directly or indirectly:

provides appraisal management services to creditors or secondary mortgage market participants, including affiliates;

provides appraisal management services in connection with valuing the consumer's principal dwelling as security for a consumer credit transaction (including consumer credit transactions incorporated into securitizations); and

any appraisal management company that, within a given 12-month period, oversees an appraiser panel of 16 or more State-certified appraisers in Illinois or 25 or more State-certified or State-licensed appraisers in 2 or more jurisdictions.

"Appraisal management company" includes a hybrid entity. [225 ILCS 459/10]

"Appraisal management company national registry fee" means the fee implemented pursuant to Title XI of the federal Financial Institutions Reform, Recovery and Enforcement Act of 1989 for an appraiser management company's national registry. [225 ILCS 459/10]

"Appraisal practice service" means valuation services performed by an individual acting as an appraiser, including, but not limited to, appraisal or appraisal review. [225 ILCS 459/10]

"Appraisal Subcommittee" or "ASC" means the Appraisal Subcommittee of the Federal Financial Institutions Examination Council.

"Appraiser panel" means a network, list, or roster of licensed or certified appraisers approved by the appraisal management company or by the end-user client to perform appraisals as independent contractors for the appraisal management company. "Appraiser panel" includes both appraisers accepted by an appraisal management company for consideration for future appraisal assignments and appraisers engaged by an appraisal management company to perform one or more appraisals. For the purposes of determining the size of an appraiser panel, only independent contractors of hybrid entities shall be counted towards the appraiser panel. [225 ILCS 459/10]

"Appraiser panel fee" means the amount collected from a registrant that, where applicable, includes an appraisal management company's national registry fee. [225 ILCS 459/10]

"Business entity" means any entity doing business whether organized as a corporation, partnership, sole proprietorship, limited liability company or partnership, or otherwise.

"Client" means the party or parties who engage an appraiser, by employment or contract in a specific appraisal assignment, whether directly or through an agent. [225 ILCS 459/10]

"Controlling person" means:

an owner, officer, or director of an entity seeking to offer appraisal management services;

an individual employed, appointed, or authorized by an appraisal management company who has the authority to:

enter into a contractual relationship with a client for the performance of an appraisal management service or appraisal practice service; and

enter into an agreement with an appraiser for the performance of a real estate appraisal activity;

an individual who possesses, directly or indirectly, the power to direct or cause the direction of the management or policies of an appraisal management company; or

an individual who will act as the sole compliance officer with regard to this Act and any rules adopted under this Act. [225 ILCS 459/10]

"Covered transaction" means a consumer credit transaction secured by a consumer's principal dwelling. [225 ILCS 459/10]

"Department" means the Department of Financial and Professional Regulation.

"Designated controlling person" means a person who meets the definition of Controlling Person who will be the main contact for all communication between the Department and the appraisal management company and is responsible for ensuring that the AMC operates in compliance with state law.

"Director" means the Director of the Department of Financial and Professional Regulation-Division of Real Estate.

"Dissolution" means the voluntary or involuntary termination of the existence of a business entity consistent with the provisions of Illinois business organizations Acts including, but not limited to, 805 ILCS 5 and 805 ILCS 180.

"Division" means the Department of Financial and Professional Regulation-Division of Real Estate.

"Dodd-Frank Wall Street Reform and Consumer Protection Act" means the federal Act (PL 111-203, HR 4173) signed into law on July 22, 2010.

"Federally regulated appraisal management company" means an appraisal management company that is owned and controlled by an insured depository institution, as defined in 12 USC 1813, or an insured credit union, as defined in 12 USC 1752, and regulated by the Office of the Comptroller of the Currency, the Federal Reserve Board, the National Credit Union Association, or the Federal Deposit Insurance Corporation. [225 ILCS 459/10]

"Non-compete clause" or "covenant not to compete" means an agreement between an appraiser engaged by an appraisal management company and the appraisal management company that the appraiser will not provide appraisal services on behalf of themself or for a competing appraisal management company for a specified period of time or in a specific geographic location.

"Portal" means a single point of access for data delivery through the internet.

"Quality control review" means a review of an appraisal report for compliance and completeness, including grammatical, typographical, or other similar errors, unrelated to developing an opinion of value. [225 ILCS 459/10]

"Registrant" means a person who has been issued a registration under the Act and this Part. Anyone who holds themself out as a registrant or who is accused of unregistered practice is considered a registrant for purposes of enforcement, investigation, hearings, and the Illinois Administrative Procedure Act.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Service request" means any appraisal practice service.

"Turn time" means an established period of time between the appraiser's acceptance of an assignment and their final delivery of a completed assignment to the appraisal management company.

"USPAP" means the Uniform Standards of Professional Appraisal Practice as adopted by the Appraisal Standards Board under Title XI of the Federal Financial Institutions Reform, Recovery and Enforcement Act of 1989 (12 U.S.C. 3331 et seq.) and by rule (effective January 1, 2024, no later amendments or editions) [225 ILCS 459/10]

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.20 Application for Registration

a) An applicant for registration as an appraisal management company shall, in accordance with Sections 35 and 40 of the Act, file an application with the Division, in a manner provided by the Division, on which all questions have been answered, together with the following:

1. Business entity name, address, telephone number, e-mail address and other information required by the Division for the principal office in Illinois where services are provided. A post office box by itself is not acceptable;

2. If the business entity does not maintain a principal office in Illinois, the address, telephone number, e-mail address and other information required by the Division for the out-of-state office responsible for its Illinois operations (a post office box by itself is not acceptable), and the name of the agent for service of process;

3. A Federal Employer Identification Number (FEIN);

4. The legal form of the business entity.

A) If a sole proprietorship, the name of the sole proprietor;

B) If a partnership, a list of all partners, and an affidavit stating that the partnership has been legally formed, a letter of authority from the Illinois Secretary of State, or if foreign, a copy of the application for admission or authority to transact business in Illinois;

C) If a corporation organized in Illinois,

i) A copy of the Articles of Incorporation;

ii) Proof of Good Standing

• A certificate of good standing issued by the Illinois Secretary of State or obtained from the Illinois Secretary of State's website within the previous 60 days; or

• If the corporation is a foreign corporation, a copy of the Articles of Incorporation and proof of good standing issued by the state in which the corporation is domiciled, and a certificate of authority to transact business in Illinois; and

iii) A list of all persons or business entities and their contact information and Illinois appraisal license numbers, if applicable, that hold an ownership interest of 10% or more in the company;

D) If a limited liability company,

i) A copy of the Articles of Organization;

ii) Proof of Good Standing

• A certificate of good standing issued by the Illinois Secretary of State or obtained from the Illinois Secretary of State's website within the previous 60 days; or

• If the company is foreign corporation, proof of good standing issued by the state in which it is domiciled, and a certificate of authority to transact business in Illinois; and

iii) A list of the members of the limited liability company and their contact information and Illinois appraisal license numbers, if applicable, that hold an ownership interest of 10% or more in the company;

E) If an assumed name is to be used, a certified copy of the assumed name certificate pursuant to the Assumed Business Name Act [805 ILCS 405] is required;

F) If another type of business entity, the same or similar information, as applicable, to that listed in this subsection.

5. The name, address, and contact information for any business entity applicant that owns 10% or more of the appraisal management company and answers to questions concerning each such individual's history of convictions for criminal offenses, denial or discipline of professional licenses pursuant to Section 67 of the Act.

6. Any business entity that owns 10% or more of the appraisal management company shall report to the Division within 30 calendar days after any change related to criminal offenses or professional licensure status in any jurisdiction pursuant to Section 67 of the Act.

7. The name, address, telephone number, and e-mail address of the business entity's designated controlling person and answers to questions concerning that person's history of convictions for criminal offenses, denial or discipline of professional licenses, discharge from military or government service, and delinquency on any state taxes or child support payments;

8. A signed irrevocable Uniform Consent to Service of Process form provided by the Division;

9. A list of any other states where the business entity is registered, along with registration numbers;

10. The certifications required under Section 40 of the Act;

11. The bond required under Section 50 of the Act and this Part; and

12. The required fee specified in Section 1452.200.

b) The application shall be signed and dated by the designated controlling person.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.30 Registration Title and Display

a) Registrants shall include their Illinois appraisal management registration number and title within the body of every transmitted appraisal service request to an Illinois appraiser.

b) The registration title is "Illinois AMC Registration No. _______".

c) A registrant is not prohibited from requiring the appraiser to disclose the information required in subsection (a) in the body of the appraisal report.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.40 Renewal of a Registration; Reinstatement; Restoration; Expiration Date

a) Registrations set to expire on December 31, 2026, shall be extended and expire on June 30, 2027. Beginning July 1, 2027, all registrations shall expire on June 30 of each calendar year and must be renewed annually.

b) A registrant may renew its registration during the month preceding the expiration date by submitting to the Division a renewal application in a manner provided by the Division on which all questions have been answered and by paying the required renewal fee to the Division.

c) A registrant who fails to renew its registration by the expiration date may renew the registration for a period of no longer than 5 years following the expiration date by submitting an application for reinstatement in a manner provided by the Division. All questions must be answered, and the required reinstatement fees paid to the Department.

d) A registrant whose registration has been expired for more than 5 years may apply for restoration of the registration by submitting an application for restoration in a manner provided by the Division, paying the required restoration fees, and, if applicable, submitting proof that they have maintained a registration in good standing in one or more states other than Illinois for the preceding 5 years.

e) For the purposes of determining if a registration has expired under this Section, the Division shall consider the registration expired if the renewal application and fee are received by the Division on a date later than the expiration date.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.50 Address Change; Service by E-mail

a) All registrants shall notify the Division in writing of a change of mailing address or e-mail address within 14 calendar days after the change in a manner prescribed by the Division. The mailing address of record shall not be a post office mailbox.

b) The Department may provide service of documents by e-mail to an applicant's or registrant's e-mail address of record in accordance with the Act, the Department of Professional Regulation Law [20 ILCS 2105], or Section 10-75 of the Illinois Administrative Procedure Act [5 ILCS 100]. Service by e-mail shall be deemed complete on the day of transmission regardless of whether the documents are delivered to the applicant's or licensee's spam or junk e-mail folder.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.60 Designated Controlling Person

a) All registrants shall notify the Division in writing of a change of the designated controlling person within 30 calendar days after the change. A registrant shall report this change to the Division by submitting a new designated controlling person application in a manner provided by the Division on which all questions have been answered, in which the designated controlling person accepts responsibility for maintaining the registrant's compliance with the Act and this Part, and that is signed by the new designated controlling person.

b) Failure to notify the Division in writing of a change of the designated controlling person within 30 calendar days after the change may result in the initiation of disciplinary proceedings pursuant to Section 65 of the Act.

c) No person may be the designated controlling person for more than one appraisal management company.

d) Upon written request by a representative of an appraisal management company, and within 10 calendar days after the loss of a designated controlling person of an appraisal management company because of the incapacitation, death, or termination of employment of that individual, the Division may grant the authority to allow the continuing operation of the appraisal management company.

1. No authority shall be valid for more than 90 calendar days except that extensions of an additional 90 calendar days may be granted upon the written request of the representative of the appraisal management company and for just cause.

2. No authority shall be issued for a loss of the designated controlling person because of disciplinary action by the Department related to the designated controlling person's conduct on behalf of the appraisal management company.

e) A designated controlling person shall report to the Department within 30 calendar days after any change related to their criminal history, professional licensure, or delinquency regarding state taxes or child support payments as reported in the registrant's original application, subsequent renewal applications, or a new designated controlling person application.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.70 Change of Business Entity or Ownership

a) No later than 30 calendar days after the effective date of a change in the legal structure of ownership of an appraisal management company registered under the Act, a new application shall be filed with the Division in accordance with Section 1452.20. Pursuant to Section 37 of the Act, a registration is not transferable or assignable.

b) Change of ownership is defined as, but not limited to:

1. When a business entity acquires more than 50% ownership or ownership interest of the appraisal management company; or

2. The equity purchase of one AMC by another AMC in which the purchasing AMC acquires ownership of the business entity. The purchase can include assets and liabilities.

c) Change of legal structure is defined as, but is not limited to:

1. When the business entity changes organization type (e.g., from a sole proprietorship to a corporation); or

2. When a business entity is dissolved or terminated and the owners revert to an individual/sole proprietor or create a different legal business structure.

d) Failure to file a new application within 30 days after a change in the legal structure or ownership may result in the initiation of disciplinary proceedings pursuant to Section 65 of the Act.

e) Any entity that is not authorized to conduct business in Illinois shall be prohibited from engaging in any licensed activities until proof of authorization to conduct business in Illinois from the Secretary of State is provided.

f) An appraisal management company must submit a new application when there is a change in the legal structure or ownership of the business entity that may require a change in the Federal Employer Identification Number (FEIN).

g) If the appraisal management company changes only its legal name or its assumed name, it need not submit a new application but must notify the Division within 14 calendar days after the change, and, if applicable, provide their registration under the Assumed Business Name Act [805 ILCS 405].

h) Upon receipt of the required documents and review of the application, the Department shall issue a license authorizing the entity to practice or shall notify the applicant of the reason for any deficiency.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.80 Bonding Requirements (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.90 Record Retention

a) Registrants shall maintain a detailed record of each service request that it receives for an appraisal practice service to be performed within Illinois. Detailed records include, but are not limited to, a copy of:

1. The assignment order or service request identifying the end-user client.

2. Each assignment result, including revised reports, addenda, certifications and any related written communications.

3. Any and all correspondence between the appraisers, the registrant, and any other entity or party related to the assignment.

4. Any copy of any quality control review related to the assignment.

5. Any review not consistent with a quality control review.

6. All fee schedules maintained and used by the registrant for the purpose of compliance with the provisions of the Truth in Lending Act (15 U.S.C. 1601) relating to customary and reasonable fees. The fee schedules shall be definitive in nature.

7. Any roster of Illinois active and approved fee panel appraiser vendors, including the name of the appraiser, each appraiser's Illinois credential number, the date the appraiser was placed on the panel, and the date and reason an appraiser was removed from the panel.

b) Registrants shall maintain the records set forth in subsection (a) for a period of 5 years. This 5 year period shall commence on the date of final action for each individual transaction or, if the registrant is notified that the transaction is involved in litigation or is the subject of administrative action by the Division, on the date of final disposition of that action.

c) Registrants shall produce for the Department, upon its request, any record required to be maintained by this Section within 30 calendar days following the Department's request. Any information submitted by the registrant to the Department under this Section and shall be deemed confidential and shall not be publicly disclosed unless the disclosure is required by State or federal law.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026; expedited correction at 50 Ill. Reg. 5717, effective January 5, 2026

68 Ill. Adm. Code 1452.100 Payment Policies

a) The registrant shall provide a written, comprehensive and definitive payment policy to each approved appraiser vendor. The payment policy may be part of a vendor agreement, assignment order, or service request, and shall include, but is not limited to, the following:

1. The agreed date or period by which the appraiser should expect to receive compensation at the conclusion of an assignment;

2. Total completed assignment compensation;

3. Any conditions that delay or void payment, including sequential liability;

4. By what method compensation will be received by the appraiser;

5. Registrant's required turn time;

6. Partial compensation, if any, for the following:

A) Completed assignment;

B) Registrant's or client delays, holds and/or cancellations; or

C) Property owner or agent access delays and/or cancellations, including when an individual responsible for providing access to a property fails to appear at the scheduled time;

7. Any and all fees and charges charged to an Illinois appraiser, including but not limited to fees and charges for:

A) Portal and/or onboarding or maintenance;

B) Systems access;

C) Technology applications and proprietary software or cloud computing;

D) Background and/or credit checks;

E) Review of assignments or samples; and

F) Application for panel approval.

b) The registrant shall maintain records of all changes to written payment policies. The fee schedules shall be definitive in nature. All fee schedules must be in compliance with the provisions of the Truth in Lending Act (15 U.S.C. 1601) relating to customary and reasonable fees.

c) A registrant shall not prohibit an appraiser from including within the body of the appraisal report that is submitted as part of an assignment, the following:

1. The total fee that is collected by the AMC for the assignment;

2. The amount agreed to between the AMC and the appraiser at the time of the engagement for the performance of the appraisal; or

3. Disclosure of the total compensation paid to the appraiser for the performance of the appraisal assignment and to the AMC for the related appraisal assignment or activity.

d) If a registrant utilizes a third party service or business to disburse payment to the appraiser, the registrant is still responsible for the requirements as stipulated by the Act and this Part.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.110 Prior Written Notice (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.120 Assignment Guidelines and Policies; Engagement

a) The registrant shall provide written assignment guidelines and conditions for each assignment. Those guidelines and conditions shall not deviate from USPAP and cannot be considered a jurisdictional exception without citation of the specific law or regulation. These guidelines and conditions may be contained within a master agreement.

b) The registrant shall provide the appraiser with an engagement document that contains, but is not limited to, the following:

1. The registrant's Illinois registration number and expiration date;

2. The location of the property or properties that are the subject of the assignment and if obtainable, a legal description or plat of survey;

3. Property type (e.g., single-family residence, industrial condominium);

4. The total completed assignment compensation;

5. The turn time or date on which the completed assignment must be provided to registrant;

6. The name and contact information for the registrant's representative;

7. The name and contact information for any person whose assistance is required to gain access to the subject property (if applicable);

8. A legible copy of a fully executed and complete sales contract, along with all pertinent addenda (if the transaction involves a sale);

9. Registrant and/or client guidelines or changes in guidelines;

10. Information as to whether the owner of the property under appraisement has been advised that interior images may be required under the assignment criteria;

11. Identification of the client in any assignment or service request.

c) A registrant that is not owned and controlled by an insured depository institution and not regulated by a federal financial institution's regulatory agency shall establish and comply with processes and controls reasonably designed to ensure that the AMC, in engaging an appraiser, selects an appraiser who is independent of the transaction and who has the requisite education, expertise, and experience necessary to competently complete the appraisal assignment for the particular market and property type.

d) Appraisers hired by registrants must hold an appropriate Illinois appraisal license to develop and communicate any review that is not limited to a quality control review.

e) The registrant shall notify the appraiser, in writing, no later than 30 calendar days prior to removing the appraiser from the list of approved appraisers. The notice shall include any and all causes leading to the removal.

f) The registrant shall notify the Department within 30 calendar days after appraiser removals based upon a reasonable belief that the appraiser prepared an appraisal report in violation of the Real Estate Appraiser Licensing Act of 2002 [225 ILCS 458], 68 Ill. Adm. Code 1455, or USPAP.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.130 Appraisal Review; Quality Control Review (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.140 Uniform Standards of Professional Appraisal Practice (USPAP)

a) Pursuant to Section 160 of the Act, the 2024 USPAP, published by the Appraisal Standards Board of The Appraisal Foundation, 1155 15th Street, NW, Suite 1111, Washington DC 20005 (effective January 1, 2024), are hereby incorporated by reference with no later amendments or editions.

b) All investigators, coordinators, auditors, and examiners employed or retained by the Department are exempt from the requirements of USPAP Standard 3 and USPAP Standard 4 while performing an investigation, audit, or examination.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.150 Compliance Requirements

a) The Department may require a registrant, pursuant to an agreement or order, in connection with an investigation, or for the purpose of examination for compliance with State and federal regulations, to provide any reports, records or other documents pertaining to appraisal management activity that the Department may deem necessary to maintain standards of professional conduct, the competency of a registrant, and the protection of the public.

b) Pursuant to an agreement, order, disciplinary or non-disciplinary action, the Department may include requirements or conditions designed to maintain the standards of professional conduct, competency of a registrant, and protection of the public.

c) The Department may, in its discretion, issue an administrative warning letter. Administrative warning letters are non-disciplinary.

d) Pursuant to Section 65 of the Act, all registrants are required to fully cooperate with any audit, investigation, interrogatory, examination, or request for information regarding any aspect of the registrant's appraisal management practice or application for registration. Full cooperation includes, but is not necessarily limited to, providing to the Department, within 30 days after its request, a complete answer to any written interrogatory or request for clarification submitted to a registrant or employee of the registrant.

e) The bond required by Section 50 of the Act shall be maintained by each registrant and for each renewal thereafter. This provision does not prohibit the registrant from maintaining a continuing bond during any registration term. Failure to maintain the bond and to provide the Department with written proof of the bond, upon request, shall result in cancellation of the license without hearing.

f) All Department administrative hearings pursuant to this Act and Part shall be conducted in accordance with the Rules of Practice in Administrative Hearings as provided for in 68 Ill. Adm. Code 1110.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.160 Administrative Warning Letter (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.170 Cooperation Required with the Division (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.180 Felony Convictions; Discipline of Other Professional Registration; Notification (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.190 Unprofessional Conduct

Dishonorable, unethical, or unprofessional conduct includes, but is not limited to:

a) Failing to satisfy a material term of an order issued by the Department;

b) Altering, modifying or otherwise changing a completed appraisal report submitted by an independent appraiser;

c) Failure to retain records described in Section 1452.90;

d) Operating without a designated controlling person;

e) Operating without a current certificate of registration or authority to transact business in Illinois;

f) Failing to provide a written payment policy that complies with Section 1452.100;

g) Requesting or requiring an appraiser to transmit an unsigned assignment result;

h) Deliberately interfering with a licensed appraiser's ability to comply with USPAP;

i) Failing to deliver all information that supports a change in property value to a licensed Illinois appraiser without good cause;

j) Representing that client guidelines or assignment criteria are required by federal or state statute without proper citation to the statute or regulation.

k) Restricting the engagement of an Illinois licensed appraiser for an appraisal assignment solely on the licensee's level of licensure except as required or prohibited by the Real Estate Appraiser Licensing Act of 2002 [225 ILCS 458]; or

l) Aiding or assisting in the violation of the Act, this Part, or the Illinois Real Estate Appraiser Licensing Act of 2002 [225 ILCS 458].

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.200 Fees

a) All fees paid pursuant to the Act and this Part are non-refundable.

b) The application fee for an initial registration as an appraisal management company shall be $2,500.

c) Renewal Application Fee for Appraisal Management Company Registration

1. The application fee to renew a registration as an appraisal management company for the annual renewal period shall be $2,000 per year.

2. The fee to reinstate a registration that has expired shall be $500 plus the sum of all lapsed renewal fees.

3. The fee to restore a registration that has been expired for more than 5 years shall be $2,000 plus the sum of all lapsed renewal fees.

d) The fee for issuance of a temporary authority due to the loss of the designated controlling person shall be $100. The fee for a subsequent 90-day extension of the temporary authority shall be $50.

e) General

1. The fee for a certification of a registrant's record for any purpose shall be $35.

2. The fee for a copy of the transcript of any proceeding under the Act shall be the cost to produce the copy.

3. The fee for certifying any record (e.g., a copy of a disciplinary order or application) shall be $1 per page.

f) The AMC National Registry fee shall be payable on an annual basis at a time and in an amount set forth in Section 1452.220. The late fee for failure to comply with the requirements of Section 1452.220 shall be $250.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.210 Granting Variances

The Director may grant variances from this Part in individual cases when:

a) The provision from which the variance is granted is not statutorily mandated;

b) The granting of the variance would not be contrary to public welfare; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

68 Ill. Adm. Code 1452.220 AMC National Registry Fees

a) The Department will send notice, including a request for information, to each AMC regarding payment of AMC national registry fees on or before April 1 of each calendar year.

b) The notice described in subsection (a) will outline the reporting period and include instructions for the collection of those fees. The Department may also post the forms necessary to provide the required information on its website. Failure to receive notice from the Department regarding annual payment of AMC national registry fees does not relieve an AMC from submitting the required information and paying the applicable AMC national registry fee in a timely manner, as required by this Section.

c) Fees shall be calculated based upon each 12-month calendar period beginning May 1 and ending April 30. Fees shall be remitted and received by the Department no later than June 30 to ensure that the Department is able to include the AMC on the national registry submission sent to the Appraisal Subcommittee. Fees shall not be prorated and are nonrefundable.

d) Annually, no later than June 30, AMCs operating in Illinois, including registered AMCs and federally regulated AMCs operating in Illinois, shall:

1. Provide information to the Department necessary to support its calculation of the size of its appraiser panel and the determination of its applicable AMC national registry fee.

2. Submit fees in the following amounts to the Department:

A) In the case of an AMC that has been in existence for more than a year, and oversees an appraiser panel of 16 or more State-certified appraisers in Illinois or 25 or more State-certified or State-licensed appraisers in 2 or more jurisdictions, $25 multiplied by the number of appraisers who have performed an appraisal for the AMC in connection with a covered transaction in Illinois during the previous fee calculation period; or

B) In the case of an AMC that has not been in existence for more than a year, and oversees an appraiser panel of 16 or more State-certified appraisers in Illinois or 25 or more State-certified or State-licensed appraisers in 2 or more jurisdictions, $25 multiplied by the number of appraisers who have performed an appraisal for the AMC in connection with a covered transaction in Illinois since the AMC commenced doing business.

e) AMCs registered in Illinois with the qualifying panel size will be required to submit the information requested, and if active and in good standing be placed on the AMC national registry regardless of number of covered transactions.

f) Failure to submit the required information and pay the applicable AMC National Registry fee in a timely manner, as required in this Section, is a violation of this Section that may result in:

1. Either:

A) Assessment of a late fee; or

B) Disciplinary action, including revocation or suspension of a registration as provided for at 225 ILCS 459/65; or

C) Exclusion from the AMC National Registry.

g) The Department shall remit to the ASC the annual AMC National Registry fee received from each AMC in accordance with this Section.

h) An AMC shall be subject to the national registry fee in addition to the annual fee for renewal of registration in Illinois.

History

• Source: Amended at 50 Ill. Reg. 686, effective January 5, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1455 Real Estate Appraiser Licensing

68 Ill. Adm. Code 1455.10 Definitions

Unless otherwise clarified by this Part, definitions set forth in the Act also apply for the purposes of this Part.

"Act" means the Real Estate Appraiser Licensing Act of 2002 [225 ILCS 458].

"Applicant" means a person applying for licensure under this Act as a State Certified General Real Estate Appraiser, State Certified Residential Real Estate Appraiser, or Associate Real Estate Trainee Appraiser. Any applicant or any person who holds himself or herself out as an applicant is considered a licensee for purposes of enforcement, investigation, hearings, and the Illinois Administrative Procedure Act [5 ILCS 100].

"AQB" means the Appraiser Qualifications Board of the Appraisal Foundation.

"Asynchronous education" means a form of education, instruction, and learning where the instructor and student interaction is non-simultaneous; students progress at their own pace and follow a structured course content and quiz/exam schedule.

"Board" means the Real Estate Appraisal Administration and Disciplinary Board.

"Classroom hour" or " credit hour" as it pertains to the education requirements means 50 minutes of instruction out of each 60-minute segment of coursework.

"Client" means the party or parties who engage an appraiser by employment or contract in a specific appraisal assignment [225 ILCS 458/1-10], whether directly or through an agent.

"Continuing education" or "CE" means education that is creditable toward the education requirements that must be satisfied to renew licensure or certification, as set forth in Section 1455.160.

"Delivery mechanism approval" means the AQB's proprietary certification that validates the design and delivery of distance or asynchronous education courses.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Department of Financial and Professional Regulation-Division of Real Estate.

"Division" means the Department of Financial and Professional Regulation‑Division of Real Estate.

"Experience/work log" means the form described in Section 1455.190 that verifies an appraiser's experience and work history.

"Extraordinary assumption" means an assignment-specific assumption as of the effective date regarding uncertain information used in an analysis which, if found to be false, could alter the appraiser's opinion or conclusions.

"Hybrid education" means learning environments that allow for both in-person and online (synchronous or asynchronous) interaction.

"Hypothetical condition" means a condition, directly related to a specific assignment, which is contrary to what is known by the appraiser to exist on the effective date of the assignment results, but is used for the purpose of analysis.

"IDECC" means the International Distance Education Certification Center, which validates the design and delivery mechanism of distance or asynchronous education courses.

"Jurisdictional exception" means an assignment condition established by applicable law or regulation, which precludes an appraiser from complying with a part of USPAP.

"License" means the privilege conferred by the Department to a person that has fulfilled all requirements prerequisite to any type of licensure under this Act. [225 ILCS 458/1-10].

"Licensee" means any person licensed under this Act. [225 ILCS 458/1-10]

"Master agreement" means a written service agreement between a traditional client and a real estate appraiser, appraisal firm, appraisal management company or panel of approved appraisers.

"Non-traditional client" means the Division or an approved practicum course provider or an alternate experience provider.

"Practical Applications of Real Estate Appraisal" or "PAREA" means a program offered in accordance with the Real Property Appraiser Qualification Criteria approved by the AQB or federal law, that provides an alternate pathway to the traditional supervisor trainee experience model for applicants to obtain licensure.

"Practicum course instructor" means a Certified Residential Appraiser or a Certified General Appraiser with an active license and in good standing in all jurisdictions where licensed or credentialed and who is authorized to conduct an approved practicum course.

"Prerequisite education" means any education course that does not meet AQB requirements under qualifying education but is necessary prior to being issued an Illinois appraiser credential as an Associate Real Estate Trainee Appraiser.

"Qualifying education" means education that is creditable toward the requirements set forth in Section 1455.150.

"Quantitative experience" means actual time spent on the appraisal process.

"Real Property Appraiser Qualification Criteria" (effective June 1, 2022, no later amendments or editions), published by the Appraiser Qualifications Board of The Appraisal Foundation, 1155 15th Street, NW, Suite 1111, Washington DC 20005.

"Renewal deadline" means September 30 of each odd-numbered year.

"Required core curriculum" means a set of appraisal subject matter major headings known as modules that requires a specified number of educational hours at each credential level. (See 225 ILCS 458/5-10(a)(5).)

"Residential" means real property composed of one-to-four residential units without non-residential use.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation, or the Secretary's designee.

"Standard appraisal" means a standardized form or narrative appraisal report that addresses all three approaches to value and satisfies Standards 2 of USPAP.

"Synchronous education" means a form of education, instruction, and learning where the instructor and students interact simultaneously online, similar to a phone call, video chat, live webinar, or web-based meeting and the instruction and interaction is substantially the same as a classroom course.

"Traditional client" means a client who hires an appraiser to complete an assignment by employment or contract for business purposes.

"Traditional supervisory trainee experience" means appraisal experience obtained by a licensed trainee appraiser because of association or employment with a licensed supervising appraiser and not through an alternative program approved by the AQB such as PAREA or a practicum course.

"True copy" means a photocopy, or an electronic copy of the entire report transmitted to the client.

"USPAP" means the Uniform Standards of Professional Appraisal Practice as promulgated by the Appraisal Standards Board pursuant to Title XI of the Federal Financial Institutions Reform, Recovery and Enforcement Act of 1989 (12 U.S.C. 3331 et seq.) published by the Appraisal Standards Board of The Appraisal Foundation, 1325 G Street N.W., Suite 500, Washington DC 20005 (effective January 1, 2024, no later amendments or editions). [225 ILCS 458/1-10]

"Waiver valuation" means a specific valuation product utilized by the Illinois Department of Transportation, under Section 5-5(e-5) of the Act, to establish a basis for determining just compensation.

"Waiver valuator" means an employee of the Illinois Department of Transportation, a registered county or municipal engineer, or a municipal employee who is permitted to complete or co-sign a waiver valuation, not to exceed $20,000, prepared in accordance with the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601‑4655) or prepared pursuant to the federal Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-Assisted Programs regulations (49 CFR 24).

"Workfile" means documentation necessary to support an appraiser's analyses, opinions and conclusions, including, but not limited to, the name of the client and the identity, by name or type, of any other intended users; true copies of any written reports or digital image files, documented on any type of media; summaries of any oral reports or testimony, or a transcript of testimony, including the appraiser's signed and dated certification; and all other data, information to show compliance with USPAP, or references to the locations of other documentation. A work-file in support of a Restricted Use or Restricted Appraisal Report must be sufficient for the appraiser to produce an Appraisal Report.

"Written Engagement" means a written document defining a real estate appraiser client, which states the terms, conditions and scope of the appraisal service request, including but not limited to compensation.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.100 Application for Licensure as a Certified General Real Estate Appraiser, Certified Residential Real Estate Appraiser, Associate Real Estate Trainee Appraiser, and Application by Endorsement

a) Each applicant for a State Certified General Real Estate Appraiser License or a State Certified Residential Real Estate Appraiser License shall submit to the Division:

1. An application, in a manner prescribed by the Division and signed by the applicant, on which all questions have been answered;

2. The fee required by Section 1455.320;

3. Proof of successful completion of the qualifying education requirements as provided by Section 1455.150;

4. A score report/application that provides proof of successful completion of the qualifying education and experience requirements as provided in this Part;

5. Proof of successful completion of the examination authorized by the Division and endorsed by the AQB. The results for successful completion of an AQB-approved qualifying examination are valid for a period of 24 months immediately following issuance of the results; and

6. Satisfactory completion of a criminal history records check, as required by Section 5-22 of the Act.

b) Each applicant for an Associate Real Estate Trainee Appraiser License shall submit to the Division:

1. An application, in a manner prescribed by the Division and signed by the applicant, on which all questions have been answered;

2. The fee required by Section 1455.320;

3. Proof of successful completion of the qualifying education requirements within five years prior to initial application;

4. Proof of successful completion of any required prerequisite education offering; and

5. Satisfactory completion of a criminal history records check, as required by Section 5-22 of the Act.

c) Each non-resident applicant for a State Certified General Real Estate Appraiser license or a State Certified Residential Real Estate Appraiser license applying by endorsement shall submit to the Division:

1. An application, in a manner prescribed by the Division and signed by the applicant, on which all questions have been answered;

2. The fee required by Section 1455.320;

3. A certification of licensure from each jurisdiction where the applicant is licensed or by a search by the Division of the Appraisal Subcommittee's (ASC) National Registry history that may be obtained from the ASC at 1325 G Street N.W., Suite 500, Washington DC 20005 or at its website at www.asc.gov; and

4. Satisfactory completion of a criminal history records check, as required by Section 5-22 of the Act.

d) When applying for an initial license under subsections (a) through (c), applicants must submit a satisfactory completion of a criminal records check, as required by Section 5-22 of the Act, regardless of whether the applicant was previously or currently is licensed with the Division under this Act.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.110 Renewal and Expiration of Licensure

a) Each applicant for renewal of a State Certified General Real Estate Appraiser License, State Certified Residential Real Estate Appraiser License, or Associate Real Estate Trainee Appraiser License shall submit to the Division:

1. An application, provided by the Division and signed by the applicant, on which all questions have been answered;

2. The fee required by Section 1455.320; and

3. Proof of successful completion of the continuing education requirements as provided by Subpart C.

b) A State Certified General Real Estate Appraiser, State Certified Residential Real Estate Appraiser, or Associate Real Estate Trainee whose license has expired may renew the license for a period of no more than two years following the expiration date of their license by submitting to the Division:

1. An application, in a manner prescribed by the Division and signed by the applicant, on which all questions have been answered;

2. The fee and late fee required by Section 1455.320; and

3. Proof of successful completion of the continuing education requirements as provided by Subpart C.

c) For the purposes of this Section, all licenses shall expire on September 30 of odd numbered years.

d) Any person or licensee who fails to renew pursuant to subsection (a) or (b) or place their license into inactive status pursuant to Section 1455.115, shall not be eligible to renew their license, and must meet the requirements of a new applicant as required by the Act and Section 1455.100.

e) License renewals will be processed and considered final when proof of successful completion of all continuing education for the applicable renewal periods are submitted and awarded credit by the Division.

f) Licensees, upon returning from active military duty, related military education, training, or employment, within two years after termination of service or employment, shall submit to the Division:

1. A complete application, provided by the Division, signed by the applicant, and which includes an affidavit of engagement of service;

2. A copy of their DD 214 Certificate of Release or Discharge from Active Duty;

3. The fee required by Section 1455.320; and

4. Proof of successful completion of the continuing education requirements as provided by Subpart C.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.115 Inactive Status

a) A licensee desiring to place their license into inactive status shall notify the Division and provide any completed forms prescribed by the Department.

b) A licensee desiring to be reinstated from inactive to active status shall notify the Division and provide the following:

1. Forms prescribed by the Division;

2. The renewal fee as set forth in Section 1455.320; and

3. Proof of satisfying the continuing education requirements for the period of time during which the license was inactive, as provided by Subpart C.

c) The period of time during which a license may be in inactive status shall not exceed two consecutive renewal periods.

d) A licensee may not perform any licensed activities under the Act while their license or credential is placed on inactive status.

History

• Source: Added at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.120 Conversion of a State Licensed Real Estate Appraiser License to an Associate Real Estate Appraiser License; Late Conversion; No Issuance of State Licensed Real Estate Appraiser License (repealed)

History

• Source: Repealed at 31 Ill. Reg. 4741, effective March 9, 2007

68 Ill. Adm. Code 1455.130 Application for Temporary Practice Permit

a) Each non-resident applicant for a temporary practice permit issued pursuant to Section 5-50 of the Act shall submit to the Division:

1. An application, in a manner prescribed by the Division and signed by the applicant, on which all questions have been answered;

2. A certification of licensure from each jurisdiction where the applicant is licensed or verification obtained through a search of the Division of the ASC National Registry; and

3. The fee required by Section 1455.320.

b) A temporary practice permit shall have a term of six months from the date of issuance and may be extended for a period of an additional six months upon written request and in a manner prescribed by the Division. A non-resident applicant may be issued no more than four temporary practice permits in a calendar year. The duration of a temporary practice permit shall not extend beyond the expiration date of the license issued by the temporary practice permit holder's home licensure jurisdiction.

c) Any person issued a temporary practice permit shall be limited to a specific appraisal assignment. For the purposes of this Section, the term "assignment" shall mean one or more real estate appraisals and written appraisal reports that are covered by a contract to provide an appraisal. A copy of the master agreement, as defined in Section 1455.10, must be supplied to the Department in the absence of a specific engagement.

d) Any person issued a temporary practice permit shall be subject to the provisions of the Act and this Part, and the Department shall have regulatory responsibility for any person violating any provisions of the Act and this Part while the person is practicing in the State of Illinois.

e) If the Department takes any disciplinary action against an appraiser practicing in the State of Illinois under a temporary practice permit, it shall notify the jurisdictions in which the appraiser is actively licensed.

f) Persons issued a temporary practice permit shall affix the temporary practice permit number, issuance date, expiration date of the temporary practice permit, and permit title within the body of the appraisal report beneath the licensee's signature, on the certification page and wherever the signature appears.

g) The permit title is "Illinois Temporary Practice Permit". Temporary Practice Permit assignments covered by a master agreement, as defined in Section 1455.10, or by a written engagement, must include, at a minimum, the date of the master agreement, the intended user, the intended use, the property type, and the location of the Illinois property that is the subject of the report.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.140 Issuance of Certificate to Real Estate Appraisers and Temporary Practice Permits

a) The Division shall issue a certificate of licensure to all real estate appraisers approved for licensure under the Act and this Part. The certificate shall include at a minimum the name, credential type, license number, and the expiration date of licensure.

b) The Division shall issue a certificate for a temporary practice permit to all real estate appraisers approved to practice on a temporary permit. The certificate shall include at a minimum, the name temporary practice permit number, and the expiration date of the temporary practice permit.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.150 Qualifying Education and Experience Requirements

a) Associate Real Estate Trainee

1. Any person who makes application for an Associate Real Estate Trainee Appraiser License shall be required to successfully complete 75-classroom hours of qualifying education in subjects related to real estate appraisal, as set forth in this Part, which shall include 15 hours of instruction of USPAP or its AQB equivalent and taught by an AQB certified instructor.

2. All qualifying education credits shall be accepted only if the education providers and courses are approved by the Division. All 75 hours of qualifying education for the Associate Real Estate Trainee Appraiser credential must be completed within the five-year period immediately preceding the date of initial application for an Associate Real Estate Trainee Appraiser credential.

3. Effective January 1, 2026, a trainee applicant must complete a total of 83-classroom hours of qualifying education, which shall include the 15-hour national USPAP course or its AQB equivalent, with an additional eight-hour course and examination on valuation bias and fair housing laws and regulations approved by the AQB. The requirements of the remaining hours of qualifying education shall remain the same or as set forth by the AQB, and in federal and State law.

b) Certified Residential

An applicant for licensure as a State Certified Residential Real Estate Appraiser shall meet the following criteria:

1. 1,500 hours of experience obtained during no fewer than 12 months is required, of which, no less than 50% must be in residential one-to-four units, USPAP compliant, appraisal work. While the hours may be cumulative, the required number of months must accrue before an individual can be certified;

2. 200 hours of modular appraisal education as stated in the Guide Notes (GN-1) of the Real Property Appraiser Qualification Criteria;

3. Utilize one of the six formal education options, as follows:

Option 1

Bachelor's Degree or higher or equivalent in any field of study from a degree-granting college, community college or university; or

Option 2

Associate Degree in a field of study related to:

● Business Administration;

● Accounting;

● Finance;

● Economics; or

● Real Estate; or

Option 3

Successful completion of 30 semester hours of college-level courses in each of the following topic areas:

● English Composition – 3 hours;

● Microeconomics – 3 hours;

● Macroeconomics – 3 hours;

● Finance – 3 hours;

● Algebra, Geometry, or higher mathematics – 3 hours;

● Statistics – 3 hours;

● Computer Science – 3 hours;

● Business Law or Real Estate Law – 3 hours; and

● Two elective courses in any of the previous topics in Option 3 or in:

● Accounting, Geography, Agricultural Economics, Business Management, or

Real Estate – 3 hours each; or

Option 4

Successful completion of at least 30 semester hours of College Level Examination Program (CLEP) examinations that cover each of the specific topic areas in the CLEP Equivalency Table below; or

Option 5

Any combination of Option 3 and Option 4 that ensures coverage of the topics and hours identified; or

Option 6

No college-level education provided that the applicant held an active credential as a Licensed Residential Appraiser for a minimum of five years and has no record of any adverse, final, and non-appealable enforcement action affecting the Licensed Residential Appraiser's legal eligibility to engage in appraisal practice within the five years immediately preceding the date of application for a Certified Residential credential.

CLEP Equivalency Table

CLEP Exams

CLEP Semester

Hours Granted

Applicable College Courses

College Algebra

3

Algebra, Geometry, Statistics, or Higher Mathematics

College Composition

6

English Composition

College Composition Modular

3

English Composition

College Mathematics

6

Algebra, Geometry, Statistics, or Higher Mathematics

Principles of Macroeconomics

3

Macroeconomics or Finance

Principles of Microeconomics

3

Microeconomics or Finance

Introductory Business Law

3

Business Law or Real Estate Law

Information Systems

3

Computer Science

4. If an applicant for licensure submits integrated course credit for approval, the course must have been approved by the Course Approval Program of the AQB and a topic matrix revealing the exact number of hours for each section of course content must be provided for review. Only integrated course credit bundled together to equal a module approved by the AQB will be accepted. Partial credit toward a module will not be accepted. It is the applicant's responsibility to demonstrate compliance as part of the application.

c) Certified General

An applicant for licensure as a State Certified General Real Estate Appraiser shall meet the following criteria:

1. 3,000 hours of experience obtained during no fewer than 18 months is required, of which 1,500 hours must be in non-residential appraisal work. Experience used to obtain a State Certified Residential Real Estate Appraiser License may apply to this requirement. While the hours may be cumulative, the required number of months must accrue before an individual can be certified;

2. 300 hours of modular appraisal education as stated in the Required Core Curriculum of the Real Property Appraiser Qualification Criteria;

3. Bachelor's degree or higher from an accredited college or university or equivalent (see subsections (e) and (f)); and

4. If an individual applicant for licensure submits integrated course credit for approval, the course must have been approved by the Course Approval Program of the AQB and a topic matrix revealing the exact number of hours for each section of course content must be provided for review. Only integrated course credit bundled together to equal a module approved by the AQB will be accepted. Partial credit toward a module will not be accepted. It is the applicant's responsibility to demonstrate compliance as part of the application.

d) Qualifying Education from Other Jurisdictions

The Division may accept evidence of successful completion of qualifying education credit from another jurisdiction, if that jurisdiction's requirements are substantially the same as those of the State of Illinois and meet the minimum licensing requirements of the Real Property Appraiser Qualification Criteria. Any such credits may be in modular format for licensure. A real estate appraiser who wishes to obtain credit for qualifying education courses not licensed by the Division shall submit to the Division:

1. A completed application in a manner prescribed by the Division requesting approval for qualifying education credit which is signed by the applicant;

2. A certificate of successful completion provided by the education provider, a certification by the jurisdiction of the appraiser's licensure and successful completion of the requested qualifying education credit, or any other evidence to be considered by the Division; and

3. The fee required by Section 1455.320.

e) Credit toward qualifying education requirements may also be obtained by completing a graduate (masters or doctoral) degree in Real Estate from an accredited college or university approved by The Association to Advance Collegiate Schools of Business, or a regional or national accreditation agency recognized by the U.S. Secretary of Education, provided that the college or university has had its curriculum reviewed and approved by the AQB.

f) Applicants seeking credit for foreign degrees shall submit a completed evaluation of their education credentials by an evaluation agency to convert the credentials to American equivalent semester credits and courses. Only evaluation agencies recognized by the Illinois State Board of Education will be permitted to conduct the evaluations.

g) Alternative experience programs approved by the AQB, such as PAREA or a practicum course, may serve as a substitute to the traditional supervisor and trainee experience requirements as prescribed in this Part. An applicant who chooses alternative experience must comply with all AQB or federal requirements of that program and provide proof of compliance and successful completion as required by Section 1455.200 and this Subpart.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.160 Continuing Education Requirements

a) CE Credit

1. A State Certified General Real Estate Appraiser, State Certified Residential Real Estate Appraiser, or Associate Real Estate Trainee Appraiser who makes application to renew their real estate appraiser license shall successfully complete the equivalent of 14 hours of approved continuing education per year preceding the renewal, for a total of 28 hours of approved continuing education for each two-year renewal. An additional one credit hour per renewal period will be required pursuant to Section 2105-15.5 of the Department of Professional Regulation Law [20 ILCS 2105] and subsection (d). Continuing education credit will only be accepted from education providers and courses approved by the Division.

2. Effective January 1, 2026, licensees seeking to renew a license must successfully complete a valuation bias and fair housing laws and regulations course which meets the requirements of the AQB. Licensees can meet this initial requirement by either completing the eight-hour course as part of their qualifying education or completing an initial seven-hour course prior to their renewal after the effective date. The valuation bias and fair housing laws and regulations course for real estate appraisers who have satisfied the initial requirement shall be four hours of instruction and completed every two years within each renewal cycle. The course and hours may be a part of the 28 hours of approved continuing education required for renewal.

3. If a real estate appraiser was issued an initial license for any licensed credential under the Act, fewer than 185 days prior to the expiration of the license, then no continuing education is required for that renewal. If a real estate appraiser has held a license for 185 days or more prior to the expiration, then 14 hours of approved continuing education is required for that year. An additional 14 hours of CE is required for the following year, pursuant to subsection (a)(1).

4. A real estate appraiser must complete the seven-hour National USPAP Update Course or, effective January 1, 2026, the seven-hour National USPAP Continuing Education Course, or its AQB equivalent taught by an AQB certified instructor who also holds a current appraiser certification by a state during each pre-renewal period prior to renewing or converting their real estate appraiser license, unless the real estate appraiser was issued their initial license for a period of fewer than 185 days prior to the expiration date.

5. A licensee seeking renewal shall complete CE on or before the renewal deadline. The Division shall conduct audits pursuant to the Act and 1455.318 to verify compliance with this Section.

b) CE Credit from Another Jurisdiction

The Division may accept evidence of successful completion of continuing education credit from another jurisdiction if that jurisdiction's requirements are substantially the same as those of the State of Illinois and meet the recommendations of the AQB, and if the credit was earned and proof submitted on or before the renewal deadline. A real estate appraiser who wishes to obtain credit for continuing education courses not licensed by the Division shall submit to the Division:

1. A complete application provided to the Division requesting approval for continuing education credit which is signed by the applicant;

2. A certificate of successful completion provided by the education provider or a certification by the jurisdiction of successful completion of the requested continuing education credit; and

3. The fee required by Section 1455.320.

c) Prior to returning to active status, licensee is not authorized to practice until all required CE hours, that would have been required if the licensee was in an active status, are complete. The required hours must also include the current seven-hour National USPAP Update Course or, effective January 1, 2026, the seven-hour National USPAP Continuing Education Course, or its equivalent, as of the date of return to active status. The license will not be restored to active status unless and until all requirements of this Part are met.

d) The sexual harassment prevention training required of all licensees may not be counted by Certified Residential Real Estate Appraisers, Certified General Real Estate Appraisers, or Associate Real Estate Trainee Appraisers toward their CE hourly requirement for each renewal period. (See Section 2105-15.5 of the Department of Professional Regulation Law [20 ILCS 2105].) The sexual harassment prevention training may not be taken as a correspondence or home study course.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.170 Experience Requirements for a State Certified General Real Estate Appraiser License and State Certified Residential Real Estate Appraiser License

a) Any person who makes an application for a State Certified General Real Estate Appraiser License shall be required, as a pre-requisite to examination, to provide evidence of obtaining 3,000 hours of appraisal experience during no fewer than 18 months, of which 1,500 hours shall be in non‑residential appraisal work, and shall submit that evidence to the Division as required by Section 1455.190. Experience used to obtain a State Certified Residential Real Estate Appraiser License may apply to this requirement. The total number of submitted appraisal experience hours shall not exceed 4,000.

b) Any person who makes an application for a State Certified Residential Real Estate Appraiser License shall be required, as a pre-requisite to examination, to provide evidence of obtaining no fewer than 1,500 hours of appraisal experience during at least 12 months and shall submit that evidence to the Division as required by Section 1455.190. The total number of submitted appraisal experience hours shall not exceed 2,000.

c) Waiver valuations prepared in accordance with Section 5-5 of the Act shall not be counted toward appraisal experience credit for any credential classification.

d) Alternative experience programs approved by the AQB, such as PAREA or a practicum course, may serve as a substitute to the traditional supervisor trainee experience requirements as prescribed in this Part.

1. Alternative experience programs such as PAREA may fulfill the requirements for residential appraisal experience that is for both the Certified General and Certified Residential License.

2. Practicum courses approved by both the AQB, and the Division may fulfill all or part of the required appraisal experience and can be used in combination with the traditional supervisor trainee experience.

3. An applicant who chooses alternative experience must comply with all AQB or federal requirements of that program and provide proof of compliance and successful completion as required by Section 1455.200 and this Subpart.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.180 Experience Requirements for a State Certified Residential Real Estate Appraiser License (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.185 Supervisor and Trainee Requirements

a) Requirements of a Supervising Appraiser

1. A supervising appraiser shall provide to the Division in writing the name and address of each Associate Real Estate Trainee Appraiser within 10 days after engagement and notify the Division within 10 days after termination of the engagement, in a manner prescribed by the Division.

2. A supervising appraiser shall instruct and directly supervise an Associate Real Estate Trainee Appraiser for any classification of license in the entire preparation of each appraisal. A supervising appraiser shall provide training, guidance, direct control, and supervision until such time as the supervising appraiser determines the Associate Real Estate Trainee is competent within the meaning of the AQB's current Real Property Qualification Criteria.

3. If a State Certified General Real Estate Appraiser or a State Certified Residential Real Estate Appraiser is supervising an Associate Real Estate Trainee Appraiser, the supervising appraiser shall review and accept responsibility for the trainee appraisal reports, approve, and sign all final appraisal documents certifying that the appraisals reports are in compliance with USPAP.

4. A supervising appraiser shall personally inspect each appraised property with the Associate Real Estate Trainee Appraiser until a determination that the trainee is competent to inspect the property in accordance with the Competency Rule of USPAP. A determination of competence shall not be unreasonably withheld if the supervisor feels the Competency Rule has been satisfied.

5. A supervising appraiser shall hold an active valid license issued under the Act as a Certified General Real Estate Appraiser. The license held by the supervising appraiser shall be in good standing and shall not have been subject to any disciplinary action that affects the supervisory appraiser's legal eligibility to engage in appraisal practice within any jurisdiction within the last three years. A supervisory appraiser subject to a disciplinary action would be in " good standing" three years after the successful completion or termination of the sanction imposed against the appraiser.

6. Prior to being permitted to supervise any Associate Real Estate Trainee Appraisers, a licensed Illinois certified appraiser must complete the Supervisory Appraiser/Trainee Appraiser Course pursuant to AQB requirements. Once completed, the supervisory appraiser does not need to repeat the course for additional or subsequent trainees.

b) Requirements of an Associate Real Estate Trainee Appraiser under a Supervising Appraiser

1. An Associate Real Estate Trainee Appraiser shall provide the Division with the name and address of each supervising appraiser within 10 days after engagement and notify the Division within 10 days after termination of the engagement, in a manner prescribed by the Division.

2. An Associate Real Estate Trainee Appraiser shall maintain an appraisal log for each supervising appraiser. The supervising appraiser and the trainee shall be jointly responsible for maintaining the appraisal experience log. The log must, at a minimum, include the following for each appraisal:

A) Type of property;

B) Date of report;

C) Address of appraised property;

D) Description of work performed by the trainee and scope of review and supervision of the supervising appraiser;

E) Number of actual work hours by the trainee on the assignment; and

F) The signature and State license number of the supervising appraiser.

History

• Source: Added at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.190 Verification of Experience Credit

a) Traditional Experience Credit

1. All applicants submitting traditional supervisory trainee experience shall verify experience credit in a manner prescribed by the Division. This shall include information on the type of property, date of report, address of appraised property, description of work performed by the Associate Real Estate Trainee Appraiser, scope of the review and supervision of the Supervising Appraiser, and number of actual work hours by the Associate Real Estate Trainee Appraiser on the assignment.

2. The Division may audit such verification and, if requested, the applicant must provide experience documentation in the form of reports or workfile memoranda and must support the experience claimed.

3. The Division, at its discretion, will determine the validity of all appraisal experience credit in conformity with criteria recommended by the AQB. All experience must be USPAP compliant. An applicant's experience must be in appraisal work conforming to USPAP Standards 1, 2, 3, 4, 5 and/or 6 in which the appraiser demonstrates proficiency in appraisal principles, methodology, procedures (development), and reporting conclusions.

4. For applicants intending to upgrade to a State Certified Residential Real Estate Appraiser License:

A) Appraisal assignments submitted shall be a variety of standard appraisals. Demonstration appraisals may also be included but not constitute the majority of the assignments. 50% of the appraisals or more submitted for experience shall be standard appraisals.

B) Appraisal assignments submitted shall be of a variety of property types and include vacant land, residential of one-to-four units, and non-residential properties. 50% of the appraisals or more submitted for experience shall be of residential properties.

C) Appraisal assignments submitted shall demonstrate a variety of approaches in conformity with USPAP, including the sales comparison approach, income approach, and cost approach. Each approach to value shall be appropriate to the property type and based on the intended use of the assignment.

D) No less than 50% of the total experience submitted shall contain signed certifications by the applicant.

E) All experience logs must contain original or electronic signatures.

5. For applicants intending to upgrade to a State Certified General Real Estate Appraiser License:

A) Appraisal assignments submitted shall be a variety of standard appraisals and review appraisals. Demonstration appraisals may also be included but not constitute the majority of the assignments. 50% of the appraisals or more submitted for experience shall be standard appraisals.

B) Appraisal assignments submitted shall demonstrate a variety of property types and include vacant land, residential of one-to-four units, and non-residential properties. 50% of the appraisals or more submitted for experience shall be for non-residential properties.

C) Appraisal assignments submitted shall have a variety of approaches in conformity with USPAP, including the sales comparison approach, income approach, and cost approach. Each approach to value shall be appropriate to the property type and based on the intended use of the assignment.

D) No less than 50% of the total experience submitted shall contain signed certifications by the applicant.

E) All experience logs must contain original or electronic signatures.

b) Alternative experience programs approved by the AQB, such as PAREA or practicum courses, may serve as a substitute to the traditional supervisor trainee experience requirements as prescribed in this Part. An applicant who chooses to gain credit through alternative experience must comply with all the AQB requirements of that particular program and provide proof compliance and successful completion as required by Section 1455.200 and this Subpart.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.195 Acceptable Experience Credit and Request for Reconsideration (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.200 Traditional Experience Credit and Alternative Experience Credit

a) Traditional Experience Credit

1. Acceptable appraisal experience shall include, but is not limited to, independent fee and staff appraisal, ad valorem tax appraisal, condemnation appraisal, review appraisal, appraisal analysis, highest and best use analysis, and feasibility analysis/study. All appraisal experience shall conform to the version of USPAP that is effective on the date the report is signed and shall meet the requirements of the AQB. All experience credit must have been obtained after January 30, 1989.

2. A traditional client is not necessary for an appraisal to qualify for appraisal experience. An hour of appraisal experience is defined as verifiable time spent in performing tasks in accordance with acceptable appraisal experience as identified by the Real Property Appraiser Qualification Criteria.

3. Time spent in travel to and from the subject property and to other data sources shall not count toward appraisal experience.

b) Alternative AQB Approved Experience Credit

1. AQB approved, alternative experience programs, such as PAREA and practicum courses, that utilize simulated training or other training methods qualify as USPAP compliant experience and credit towards licensure.

2. The Division will accept and approve certification from programs approved by the AQB, such as PAREA and practicum courses, that serve as an alternative to the traditional experience requirements of supervisor and trainee or as prescribed in this Part.

3. Applicants who receive a valid certificate of completion from an AQB-approved, alternate experience program, will be considered to have met the allotted experience requirements as outlined in the AQB criteria for that specific program and pursuant to the experience requirements for licensure in this Part.

4. To qualify as credible experience for purposes of an application for licensure with the Division, the applicant must submit a certificate of completion from the AQB approved program that verifies the required experience hours and is signed by the education provider or entity that is approved to provide the alternate experience program.

5. Applicants claiming alternative experience credit pursuant to this subsection, may not receive partial credit hours for their experience received if they did not complete the alternative experience program in its entirety.

6. Applicants must still fulfill all the other prerequisites and requirements for licensure established by the AQB, the Act, and this Part prior to submission of an application.

7. Education providers approved to deliver alternative experience credit for PAREA, are exempt from the requirements of Subpart H but only as it relates to approval of the specific PAREA approved experience-related program or course. Education providers who only offer AQB approved PAREA courses are not required to be licensed with the Division.

8. Applicants who complete an AQB approved PAREA program can apply up to 100% of the required experience hours towards an application for certified residential credential, and up to 50% of the required experience hours towards an application for a certified general credential. The experience hours counted towards either credential are considered residential hours and not eligible for non-residential hours unless the AQB changes the type of experience hours to include non-residential.

9. Experience credit for practicum courses must include applicable methods of appraisal practice for the credential, the utilization of actual real properties, performance of market research and sales analysis, applying appraisal approaches in conformity with USPAP, and experience as further outlined in the practicum course requirements of Section 1455.365.

10. Experience credit for practicum courses shall also be granted for the actual classroom hours of instruction and hours of documented research and analysis as awarded and determined by the Department and the AQB in the practicum course approval process.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.201 Request for Reconsideration of Experience in an Application for Licensure

a) Applicants for licensure who are currently licensed Associate Real Estate Trainee Appraisers or licensed Certified Residential Real Estate Appraisers shall submit a copy of their complete experience appraisal log, appraisal reports, and any other workfile or supporting documentation of their appraisal work requested by the Division to demonstrate that they possess the amount, length, and quality of experience required in Section 1455.190, this Part, and the Real Property Appraiser Qualification Criteria.

b) If the Division, in consultation with one or more members of the Real Estate Appraisal Administration and Disciplinary Board, finds the experience log or work product does not comply with the requirements of subsection (a), then the Division will issue a letter of deficiency to the applicant.

c) If the applicant disagrees with the letter of deficiency, the applicant may request in writing that the Division reconsider its determination. The request for reconsideration shall be made within 14 days after the date of the Division's letter of deficiency and substantiate the sufficiency of the applicant's work product and its compliance with USPAP and AQB criteria.

d) Review of any such request for reconsideration will be performed by one or more members of the Real Estate Appraisal Administration and Disciplinary Board. The Board members shall then submit the results of their review to the Division for final action. Thereafter, the Division will send the applicant its written determination.

e) If the applicant disagrees with the Division's written determination, the Department may consider additional work from the applicant's current application and appraisal log or the applicant may submit alternative appraisal reports, workfiles, and a revised appraisal log to substitute for the experience or type of experience deficient in the current application. The work product shall conform to the requirements of this Part and shall be submitted within 30 days after the date of the Division's written determination.

f) If the Applicant fails to respond to the Division's determination, cure the deficiency, or satisfy the Division's objections, the Department may issue an Intent to Deny on the application. The hearing shall be conducted in accordance with the Rules of Practice in Administrative Hearings as provided for in 68 Ill. Adm. Code 1110.

History

• Source: Added at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.205 Record Keeping Requirements

Licensees must retain any and all communication with the client, including but not limited to the written, oral or electronic form of an appraisal, appraisal review or appraisal service, including digital images, that are transmitted to the client upon completion of an assignment, as well as their work-file, for a period of at least five years, or at least two years after final disposition of any administrative or judicial proceeding in which the appraiser provided testimony related to the assignment, whichever period expires last.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.210 Notification of Name Change

The licensee shall notify the Division, in a manner prescribed by the Division, within 14 days after any name change. The licensee shall provide a certified copy of those portions of a court order relating to the name change or a certified copy of a certificate and indicate under which name the license shall be issued.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.220 Assumed Name

If a licensee operates under any name other than that appearing on their license, they shall submit to the Division a certified copy of their registration under the Assumed Business Name Act [805 ILCS 405] at the time of application or within 30 days after the registration.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.230 Address of Record

a) The applicant or licensee shall notify the Division, in a manner prescribed by the Division, of a change of address, e-mail address, or website address or addresses within 14 days after the change. The licensee shall provide a valid street address of record that shall not be a Post Office Box or a mailbox located within a retail business.

b) The Division may provide service of documents by email to an applicant's or licensee's email address of record in accordance with the Act, the Department of Professional Regulation Law [20 ILCS 2105], and Section 10-75 of the Illinois Administrative Procedure Act [5 ILCS 100]. Service by email shall be deemed complete on the day of transmission regardless of whether the documents are delivered to the applicant's or licensee's spam or junk email folder.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.240 Uniform Standards of Professional Appraisal Practice (uspap)

a) Pursuant to Section 10-10 of the Act, the 2024 USPAP is hereby incorporated by reference with no later amendments or editions.

b) All real estate appraisers licensed under the Act shall practice in accordance with USPAP except where an assignment condition established by applicable law or regulation precludes an appraiser from complying with mandatory requirements of USPAP. If any laws or regulation precludes compliance with any part of USPAP, only that portion of USPAP becomes void for a particular appraisal assignment (USPAP, "Jurisdictional Exception Rule").

c) All investigators, board members, auditors and examiners employed or retained by the Department are exempt from the requirements of USPAP Standard 3 and Standard 4 while performing an investigation, audit, or examination.

d) If the Department files a formal complaint alleging practice-based violations of USPAP related to a written document, a USPAP Standard 3 and Standard 4 review shall be utilized by the Department at a formal hearing. The Department may limit the scope of the USPAP Standard 3 and Standard 4 reviews to exclude valuation. The Department may not require a Standard 3 or 4 review when there is an ethical violation unrelated to valuation.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.245 Scope of Property Condition Inspections by Real Estate Appraisers

a) Licensed real estate appraisers may include in an appraisal report comments on the condition of the property that affect property value, including physical deficiencies, adverse conditions, and renovations, based on observations by the licensed real estate appraiser during the appraisal of the property.

b) Licensed real estate appraisers may not provide these comments for compensation, or with the expectation of receiving compensation, directly or indirectly, as a substitute for a home inspection, or a home inspection report, prepared by a licensed home inspector.

c) All appraisal reports of a property that consists of one-to-four residential units prepared by licensed real estate appraisers must include the following statement: "The comments by the licensed real estate appraiser contained within this appraisal report on the condition of the property do not address 'standards of practice' as defined in the Home Inspector License Act [225 ILCS 441] and 68 Ill. Adm. Code 1410 and are not to be considered a home inspection or home inspection report."

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.250 Appraiser Responsibilities Relating to Appraisal Management Companies

Pursuant to Section 15-10(a) of the Act, failure to comply with any of the following, when engaged with an appraisal management company, shall be considered a violation, and may subject a licensee to discipline as provided for in the Act and this Part

a) An independent appraiser by employment or contract for a specific appraisal assignment shall prominently display the appraisal fee received from the appraisal management company in the certification as follows: "The compensation for this appraisal assignment is $_____."

b) An employee appraiser for a specific assignment shall prominently display the appraisal fee received from the appraisal management company in the certification as follows: "The compensation for this appraisal assignment is $_____."

c) An employee appraiser who receives a salary and does not receive a fee for the assignment shall prominently display the following language in the certification: "The appraiser is a salaried employee and received no appraisal fee for the assignment."

d) An appraiser for a specific assignment shall prominently display the appraisal management company's Illinois registration number and expiration date as follows: "The appraisal management company's Illinois registration number is ________ and it expires on (month/day/year)."

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.260 Suspension or Denial for Failure to Pay Taxes, Child Support or Any Illinois-Guaranteed Student Loan (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.270 Compliance Requirements

a) The Department may require a licensee, pursuant to any negotiated disciplinary or non-disciplinary order concerning any license issued under the Act to complete additional continuing education or qualifying education coursework; to provide any reports, records or other documents pertaining to appraisal activity that the Department may deem necessary to maintain standards of professional conduct, the competency of a licensee, and the protection of the public.

b) The Department may also, in its discretion, issue an administrative warning letter that is not considered public discipline.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.280 Administrative Warning Letter (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.290 Cooperation Required with the Department

Pursuant to Section 15-10(a) of the Act, all licensees are required to fully cooperate with any audit, investigation, interrogatory, examination, or request for information regarding any aspect of the licensee's appraisal practice or application for licensure. Full cooperation includes, but is not necessarily limited to providing to the Department, within 30 days after its request:

a) A complete copy of an appraisal or appraisal review assignment as it was transmitted to the client, including file memoranda, workfiles, and supporting and/or verification documentation that are required to be maintained by the Act and this Part;

b) Continuing education certificates or experience/work logs that are required to be maintained by the Act or this Part; or

c) A complete answer to any written interrogatory or request for clarification submitted to a licensee or applicant.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.300 Felony Convictions; Discipline of Other Professional License; Notification (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.310 Unprofessional Conduct

Dishonorable, unethical, or unprofessional conduct includes, but is not limited to, the commission of any one of the following:

a) Aiding or assisting another in the violation of the Act or this Part;

b) Failing to satisfy a material term of a consent to administrative supervision order or consent order;

c) Aiding, assisting, or facilitating another in using or appropriating credentials or a license for the purpose of preparing an appraisal report;

d) Delivering an appraisal report in a manner in which the appraiser knows, or should know, that a true copy of the report will not be delivered to all intended users;

e) Providing false information with regard to the completion of continuing education;

f) Failure of a supervisor to sign the Associate Real Estate Trainee Appraiser's log, without good cause;

g) Failing to exercise due care to prevent unauthorized use of their electronic signature;

h) Denying an employee or contracted appraiser reasonable access to their workfile contents and/or reports without good cause;

i) Failing to provide a completed report to a client for which the total agreed compensation has been received by the licensee, without good cause;

j) Transmitting an unsigned assignment result to a client;

k) Theft, misappropriation, or improper use of personal property unless permission is obtained by the property owner; or

l) Acting in a manner that violates or contributes to a violation of federal, State, or local antidiscrimination laws or regulations.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.315 Supervisor and Trainee Requirements (repealed)

History

• Source: Repealed at 37 Ill. Reg. 2668, effective April 1, 2013

68 Ill. Adm. Code 1455.316 Supervisor and Trainee Requirements (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.318 Citations for Non-Compliance with Continuing Education Requirements

The Division shall conduct audits to verify compliance with the CE requirements of the Act and this Part. If, during an audit or compliance review, the Division determines that a licensee may be deficient in complying with CE requirements, the Division will issue a citation to the licensee, with a copy to an Associate Real Estate Trainee Appraiser's supervisor if applicable, of the deficiency. Service of the citation shall be made in person, electronically or by mail to the licensee's address or email address of record. The licensee shall have 60 days after the date of service of the citation to submit evidence of compliance with CE requirements to the Division and to pay the fine imposed.

a) The citation shall inform the licensee that the licensee may provide the Division with proof that the licensee has completed the required CE prior to the renewal deadline or deadlines associated with the audit. If satisfactory proof is provided within 60 days after the citation is served, the citation shall become null and void.

b) The citation shall set forth the fine imposed and inform the licensee that the licensee may request a hearing contesting the deficiency within 30 days after the citation is served.

c) The citation shall be non-public and become a final non-disciplinary order or consent to administrative supervision order if the cited licensee does not request a hearing within 30 days after the citation is served or if the cited licensee does not provide the Division with proof of completing the required CE, prior to the renewal deadline associated with the audit. The fine shall be payable within 30 days after the date of the final order.

d) A non-public and non-disciplinary fine in the amount of $500 shall be assessed for a first citation for noncompliance with CE requirements. A non-public and non-disciplinary fine in the amount of $1,000 shall be assessed for a second citation for noncompliance with CE requirements. Pursuant to Section 15-10.1 of the Act, a third and subsequent citation for noncompliance with CE requirements shall result in publicly disclosed discipline and a fine in an amount not to exceed $2,000.

e) Payment of the non-public and non-disciplinary fine does not absolve the licensee from the responsibility to complete the CE requirements and correct the violation. If the licensee fails to submit satisfactory evidence of compliance with CE requirements and to pay the fine imposed pursuant to a non-public, final non-disciplinary order or consent to administrative supervision order, the Department shall take further disciplinary action pursuant to this Act and this Part for violation of the terms of the order.

History

• Source: Added at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.320 Fees

a) Initial Application Fee for Appraiser License

1. The application fee for an initial license as a State Certified General Real Estate Appraiser and a State Certified Residential Real Estate Appraiser shall be $315, which shall include the National Registry fee.

2. The application fee for an initial license as an Associate Real Estate Trainee Appraiser shall be $225.

b) Renewal Application Fee for Appraiser License

1. The renewal fee for a State Certified General Real Estate Appraiser or a State Certified Residential Real Estate Appraiser is $530 per renewal, which shall include the National Registry fees.

2. The renewal fee for an Associate Real Estate Trainee Appraiser License is $300 per renewal.

3. The application fee to renew a State Certified General Real Estate Appraiser, a State Certified Residential Real Estate Appraiser or an Associate Real Estate Trainee Appraiser license that has expired shall be the sum of all lapsed renewal fees plus a $75 late fee.

c) Application Fee for Temporary Practice Permit

The application fee for a temporary practice permit pursuant to the Act and this Part shall be $150. The additional fee required for an extension granted pursuant to the Act and this Part for a temporary practice permit shall be $75.

d) Initial Application Fee for a License as an Education Provider, a Qualifying Education Course, a Continuing Education Course, and a Practicum Course

1. The application fee for a license as an education provider shall be $550.

2. The application fee for a license for a qualifying education course shall be $150.

3. The application fee for a license for a continuing education course shall be $100.

4. The application fee for the 15-hour National USPAP Course or its equivalent shall be $150.

5. The fee to convert an Illinois licensed qualifying education course, except for the 15-hour National USPAP Course or its equivalent, to a continuing education course shall be $50.

6. The application fee for the seven-hour National USPAP Update Course or, effective January 1, 2026, the seven-hour National USPAP Continuing Education Course, or its equivalent shall be $100.

e) Renewal Application Fee for an Education Provider, a Qualifying Education Course, and a Continuing Education Course

1. The application fee to renew a license as an education provider shall be $550 per renewal.

2. The application fee to renew a license that has expired as an education provider shall be the sum of all lapsed renewal fees plus a $75 late fee.

3. The application fee to renew a license as a qualifying education course with no material changes shall be $150 per renewal.

4. The application fee to renew a license that has expired as a qualifying education course, with no material changes, shall be the sum of all lapsed renewal fees plus a $75 late fee.

5. The application fee to renew a license as a continuing education course with no material changes shall be $100 per renewal.

6. The application fee to renew a license that has expired as a continuing education course, with no material changes, shall be the sum of all lapsed renewal fees plus a $75 late fee.

f) For the purposes of determining if a license has expired under this Section, the Division shall consider the license expired if the renewal application is received by the Division on a date later than the expiration date.

g) General

1. All fees paid pursuant to the Act and this Part are non-refundable.

2. The fee for a certification of a licensee's record for any purpose shall be $35.

3. Applicants for an examination as a State Certified General Real Estate Appraiser or a State Certified Residential Real Estate Appraiser shall be required to pay a fee covering the cost of providing the examination. If a designated testing service is utilized for the examination, the fee shall be paid directly to the designated testing service. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged, may result in the forfeiture of the examination fee.

4. The fee for a copy of the transcript of any proceeding under the Act shall be the cost to produce the copy.

5. The fee for certifying any record, pursuant to Section 15-20 of the Act or otherwise, shall be $1 per page.

History

• Source: Amended at 49 Ill. Reg. 2423, effective February 21, 2025

68 Ill. Adm. Code 1455.330 Granting of Variances

The Director may grant variances in individual cases from this Part when:

a) The provision from which the variance is granted is not statutorily mandated;

b) The granting of the variance would not be contrary to the public welfare; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.335 Refusal to Issue an Appraiser License Based on Criminal History Record (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.340 Duties of the Secretary (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.345 Real Estate Appraisal Coordinator

The Real Estate Appraisal Coordinator appointed pursuant to Section 25-15 of the Act shall, during that person's tenure as Real Estate Appraisal Coordinator, complete and remain current with regard to all continuing education requirements of the Act and this Part as if their real estate appraiser license were active. Upon termination of that person's tenure as Real Estate Appraisal Coordinator, the license of that person shall not be restored to active status unless and until all requirements of this Part are met.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.350 Education Provider Application; Requirements

a) In accordance with Section 20-5 of the Act, any person or entity seeking approval to provide qualifying education and/or continuing education courses shall submit a completed application, no later than 45 days in advance of the first course offering date, in a manner prescribed by the Division, along with the appropriate fee required by Section 1455.320. In addition, course applications:

1. May be deferred by the Division for no more than 45 days, pending notification or return to the applicant of an incomplete or cancelled filing, which can be remedied within 14 days after notification. If not remedied within 14 days, the application will be rejected;

2. That are not approved for use by the Division can be resubmitted once all the deficiencies or objections identified by the Division are addressed and an explanation of how the applicant has satisfied each deficiency or objection is provided, along with the filing fee required by Section 1455.320.

b) If a course has been materially revised during the current license period, it must be resubmitted for review and approval along with the appropriate fee required by Section 1455.320. Revised material must be designated as "revised" to enable timely review.

c) The program of qualifying education and/or continuing education for a licensed education provider shall:

1. If applicable, be approved by the provider's governing and/or supervising body;

2. Utilize qualified instructors as follows:

A) To instruct such courses as, but not limited to:

i) Qualifying education courses for a State Certified General Real Estate Appraiser (the instructor shall be a State Certified General Real Estate Appraiser or its equivalent from another jurisdiction, or a full-time faculty member of a college or university);

ii) The instructor for a qualifying education course for a State Certified Residential Real Estate Appraiser or an Associate Real Estate Trainee Appraiser shall be a State Certified General Real Estate Appraiser, a State Certified Residential Real Estate Appraiser or its equivalent from another jurisdiction, or a full-time faculty member of a college or university;

iii) The instructors for continuing education courses shall have the appropriate education and experience in real estate appraisal or the subject matter being taught;

B) All instructors teaching USPAP courses shall be, at a minimum, AQB certified instructors who also hold a current appraiser certification from a state; and

C) All AQB Certified USPAP instructors who will be teaching asynchronous National USPAP offerings, whether QE or CE, must hold a current Certified Distance Education Instructor (CDEI) designation from the International Distance Education Certification Center (IDECC) or the equivalent delivery mechanism approved by the AQB;

3. Offer courses that are approved and licensed by the Division and conform to the standards established in this Subpart; and

4. All USPAP course offerings shall contain the effective dates and the USPAP version being used in the course title.

d) Business Practices and Recordkeeping

1. An education provider must maintain all records for a minimum of five years.

2. Course approval by the Division does not apply retroactively.

3. The education provider must have a written attendance policy that requires student attendance to be verified.

e) Administration

1. No licensed education provider shall advertise that it is endorsed, recommended, or accredited by the Department. The education provider may indicate that it is licensed, and the course of study has been approved and licensed by, the Department. Applicants may not state in any advertising or other materials that a course is being, or has been, submitted to the Department or to the Board for review.

2. Each education provider shall provide a prospective student, prior to enrollment, with information specifying the course of study to be offered, the tuition, the provider's policy regarding refunds, any additional fee for supplies, materials or books, and other matters that are material to the relationship between the provider and the student. Education providers are prohibited from sharing course materials in violation of copyright laws.

3. Each education provider shall maintain for each student a record including the course of study undertaken, dates of attendance, and a transcript of courses satisfactorily completed. All records shall be maintained by the education provider for a period of five years and shall be made available to the student or to the Department upon request during regular business hours. An education provider may charge a student the cost of reproducing copies of a transcript.

4. Each education provider shall upon request by the Division, provide evidence of financial resources available to equip and maintain its program.

5. Each education provider shall notify the Division, in a manner prescribed by the Division, of all proposed changes in ownership of the education provider at least 30 days prior to the change in ownership. Changes include, but are not limited to, a transfer of ownership, a change in the legal form of ownership, bankruptcy or dissolution of the entity.

6. An education provider shall not contract with an instructor who has been subject to disciplinary action that is in the public record in any jurisdiction in the three years prior to the course offering.

7. Education providers are responsible for false or erroneous information concerning the subject matter of a course by the instructor in their employment.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.355 Uspap Course Titles (repealed)

History

• Source: Repealed at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.360 Qualifying Education Course Requirements of Education Providers

a) For the purposes of this Section, a course shall be defined as a course of instruction that meets the curriculum requirements of this Subpart for each license category.

b) Each course shall meet the appropriate course curriculum prescribed in Section 1455.370 of this Subpart.

c) Each course shall include an examination of a minimum of 25 questions for each 15 hours of instruction, e.g., a 15-hour course would require a 25 question examination, a 30 hour course would require a 50 question examination. The questions shall be either multiple choice or true/false or a combination. Open book examinations shall not be accepted. No student shall be deemed to have successfully completed the course unless they have scored a minimum of 70% on the course examination.

d) Each education provider who seeks approval of a course shall submit in a manner prescribed by the Division, information which shall include, but is not limited to, an outline and course description for each course, materials to be used in instruction, an examination with answer key, the delivery method, the general plans for proctoring exams, if applicable, and the appropriate fee pursuant to Section 1455.320.

e) Course materials must be submitted or made available to the Division in unredacted form on media, such as on a USB drive or by means of access from a virtual platform.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.365 Practicum Course Requirements

a) A practicum course must include the generally applicable methods of appraisal practice for the credential category. Content includes but is not limited to requiring the student to produce credible appraisals that utilize an actual subject property; performing market research containing sales analysis; and applying and reporting the applicable appraisal approaches in conformity with USPAP. Assignments must require problem solving skills for a variety of property types for the credential category.

b) The practicum course approved by the Division, must be approved by the AQB, and shall include at a minimum the following requirements:

1. The student/instructor ratio for any practicum course shall be limited at the discretion of the Division.

2. The client and intended user for all practicum assignments shall be the course provider.

3. The intended use for all practicum assignments shall be "for experience credit".

4. There must be an identifiable subject property and the student should personally inspect it.

5. All data on comparable properties researched, analyzed, and used in the assignment should be actual and identifiable market data.

6. All data on comparable properties utilized should be verified with at least one market participant of the sale/rent (e.g., buyer, seller, or broker) and the student must inspect the exterior of each comparable property utilized.

7. The final assignment must be communicated in compliance with the Appraisal Report option of Standard 2 of USPAP.

8. Restricted Reports will not be accepted for practicum experience.

9. The final reports must be maintained by the student in accordance with the Record Keeping Section of the Ethics Rule of USPAP and with Section 10‑20 of the Act.

10. The practicum course shall result in an appraisal and appraisal report completed in accordance with the current version of USPAP.

11. Students may obtain experience hours equal to the classroom instruction, whether in-person, synchronous, or asynchronous and to the verifiable time spent on the assignment or assignments.

12. An instructor conducting a residential experience practicum course shall hold either a Certified Residential or Certified General credential in good standing, in any jurisdiction.

13. An instructor conducting a general experience practicum course shall hold a Certified General credential in good standing in any jurisdiction.

14. Any approved practicum instructor is exempt from obtaining a Temporary Practice permit in conjunction with a practicum assignment.

15. The instructor shall grade and correct all assignments and should assure USPAP compliance.

16. The instructor shall meet with the students a minimum of 50% of the course hours during the course. The remaining 50% of the course hours are practicum related experiences.

17. The course may be audited by the Division.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.370 Qualifying Course Curriculum

a) The overall content for qualifying education courses shall not be repetitive and shall represent a progression of instruction in which the appraiser's knowledge is increased. The core curriculum for qualifying education courses shall be the core curriculum as approved and revised by AQB.

b) Qualifying education course work to obtain a license as an Associate Real Estate Trainee Appraiser shall consist of 75-classroom hours of instruction, which must include the 15-hour national USPAP course or its AQB approved equivalent.

c) Effective January 1, 2026, a trainee applicant must complete a total of 83-classroom hours of qualifying education, which shall include the 15-hour national USPAP course or its AQB equivalent, with an additional eight-hour course and examination on valuation bias and fair housing laws and regulations approved by the AQB.

d) Subject to the AQB, federal, and State law requirements, the remaining 60-hours of instruction may include, but are not limited to, the following topics:

1. influences on real estate value;

2. legal considerations in appraisal;

3. types of value;

4. economic principles;

5. real estate markets and analysis;

6. valuation process;

7. property description;

8. highest and best use analysis;

9. appraisal statistical concepts;

10. sales comparison approach;

11. site value;

12. cost approach;

13. income approach;

14. valuation of partial interests;

15. appraisal standards and ethics;

16. valuation bias and fair housing laws and regulations;

17. other topics approved by the Division; and

18. any other topics required by the AQB.

e) Qualifying education course work to obtain a license as a State Certified Residential Real Estate Appraiser shall consist of a total of 200 classroom hours of instruction, which includes the 75-hour requirement for an Associate Real Estate Trainee Appraiser License within those hours. The 75-hour trainee course requirement shall contain the mandatory 15-hour national USPAP course or its approved AQB equivalent.

f) Qualifying education course work to obtain a license as a State Certified General Real Estate Appraiser shall consist of a total of 300 classroom hours of instruction, which can include the 200-hour requirement for a State Certified Residential Real Estate Appraiser License within those hours. The 75-hour requirement for an Associate Real Estate Trainee Appraiser License shall be included within the 300-hour requirement. The 75-hour trainee course requirement shall contain the mandatory 15-hour national USPAP course or its AQB approved equivalent.

g) Effective January 1, 2026, the 83-hour qualifying education requirement for a trainee shall contain the mandatory 15-hour national USPAP course or its AQB approved equivalent and will apply toward the 200 classroom hours required for a state certified residential real estate appraiser license and toward the 300 classroom hours required for a State Certified General Real Estate Appraiser License. The additional eight-hour course and examination on valuation bias and fair housing laws and regulations does not increase the total number of required hours for either credential.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.375 Supervisory Appraiser/Trainee Appraiser Prerequisite Education Course

Prior to issuance of the initial Associate Real Estate Trainee Appraiser credential, the applicant shall provide evidence to the Division that they have successfully completed the ILST-15 AQB Outline Supervisory Appraiser/Trainee Appraiser Course.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.380 Instructors for the Supervisory Appraiser/Trainee Appraiser Prerequisite Education Course

a) Instructors for the Supervisory Appraiser/Trainee Appraiser prerequisite education course shall be real estate appraisers who have held the certified residential or certified general credential in any jurisdiction for at least three years.

b) Instructors shall not have received any published disciplinary action against their license or certification from any jurisdiction within the three years prior to instructing education courses.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.390 Continuing Education Course Requirements of Education Providers

a) A continuing education course shall be at least two hours in length and shall meet the course curriculum prescribed in Section 1455.400 of this Subpart.

b) Each education provider who seeks approval of a continuing education course shall submit to the Division an application that shall include, but not limited to, an outline and description of the course and the number of hours sought and the appropriate fee pursuant to Section 1455.320.

c) An education provider who also offers qualifying education courses may submit qualifying education courses for continuing education courses by applying pursuant to subsection (b). Only those qualifying education courses that have been approved and licensed by the Division as continuing education courses shall be approved for continuing education credit.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.400 Continuing Education Course Curriculum and Credit

a) Continuing education courses for a State Certified General Real Estate Appraiser, State Certified Residential Real Estate Appraiser, or Associate Real Estate Trainee Appraiser shall include the seven-hour National USPAP Update Course or, effective January 1, 2026, the seven-hour National USPAP Continuing Education Course, or its equivalent as determined by the AQB or an alternate method established by the AQB taught by an AQB certified instructor who holds a current appraiser certification by a state during the pre-renewal period prior to renewal or conversion of a license.

b) The courses shall increase the licensee's skill, knowledge, and competency in real estate appraisal; and shall cover other real estate related appraisal topics, such as, but not limited to:

1. Ad valorem taxation;

2. Arbitration, dispute resolution;

3. Courses related to practice of real estate appraisal or consulting;

4. Development cost estimating;

5. Ethics and standards of professional practice, USPAP;

6. Valuation bias and fair housing laws and regulations;

7. Land use planning, zoning;

8. Management, leasing, timesharing;

9. Property development partial interests;

10. Real estate law, easements, and legal interests;

11. Real estate litigation, damages, condemnation;

12. Real estate financing and investment;

13. Real estate appraisal related computer applications;

14. Real estate securities and syndication;

15. Developing opinions of real property value in appraisals that also include personal property and/or business value;

16. Seller concessions and impact on value; and

17. Energy-efficient items and "green building" appraisals.

c) Up to 14 hours or one-half of an individual's continuing education requirement may also be granted by the Division for participation, other than as a student, in appraisal educational processes and programs. Examples of activities for which credit may be granted are teaching, program development, authorship of textbooks, or similar activities that are determined by the Division to be equivalent to obtaining continuing education.

d) AQB Certified USPAP Instructors, who have taught the seven-hour National USPAP Update Course or, effective January 1, 2026, the seven-hour National USPAP Continuing Education Course, or its equivalent, as qualifying education or continuing education, within the current renewal cycle, are exempt from taking the seven-hour National USPAP Update Course or, effective January 1, 2026, the seven-hour National USPAP Continuing Education Course, or its equivalent as a student. A real estate appraiser who wishes to obtain continuing education credit for these activities shall submit to the Division:

1. A complete application to request continuing education credit for participation other than as a student signed by the applicant; and

2. The fee provided by Section 1455.320.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.410 Synchronous and Asynchronous or Distance Education

Synchronous and asynchronous education courses shall be licensed to an approved education provider.

a) Synchronous and asynchronous education courses must meet the curriculum and approval requirements established by the Act, this Part, and AQB criteria. Synchronous courses have the same requirements as a classroom course that is instructed in person and do not require delivery mechanism approval.

b) Synchronous and asynchronous education courses shall be submitted to the Division for review and approval as provided for in this Part.

c) Approved education providers offering distance or asynchronous education courses shall submit for approval by the Division the general plans for proctoring exams for distance education courses, if applicable. Each provider shall be responsible for the security and integrity of course final examinations and the suitability of the sites and proctors utilized by the provider. Any remote proctoring must be conducted in accordance with the requirements of State and federal law.

d) Approved education providers offering asynchronous education courses shall establish written policies and procedures for grading examinations and lessons, which shall include provisions for instructor comments, interactions, suggestions, and written correction of errors. There shall also be written procedures for the prompt return of materials. Copies of these policies shall be provided to the Division upon request.

e) Approved education providers offering asynchronous education courses shall provide for a valid licensed instructor to be available during normal business hours to answer student questions.

f) Approved education providers offering asynchronous education courses shall establish performance objectives for each course and track student attendance.

g) Approved education providers offering asynchronous education shall provide appropriate technical support throughout the period the courses are offered.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.420 Expiration Date and Renewal for Education Providers and Courses

a) All education provider, qualifying education, and continuing education course licenses shall expire on December 31 of even numbered years.

b) Every education provider who wishes to renew their license and their qualifying education and continuing education course licenses shall submit to the Division:

1. An application, in a manner prescribed by the Division, in which all questions have been answered;

2. All course materials must be submitted to the Division for review during the renewal application process; and

3. The fees as required by Section 1455.320.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.430 Continuing Education Reporting

a) Each licensed education provider, pursuant to Section 20-5(e) of the Act, that is approved to offer licensed continuing education courses shall submit to the Division, on or before the 15th of each month, a report of those licensees completing the continuing education courses offered by the provider during the preceding calendar month.

b) The monthly reports shall include, but are not limited to, the following information for each licensee:

1. the licensee's name, address, and Illinois appraiser license number;

2. the education provider's name and active license number;

3. the continuing education course name as it appears on the Illinois license, and license number; and

4. other information as required by the Division.

c) The monthly reports shall be submitted in a manner prescribed by the Division.

d) If an education provider fails to submit monthly reports, the courses offered by that provider may be disqualified pursuant to the procedures set forth in Section 15-10 of the Act and this Part (Section 1455.445).

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.440 Transcript or Certificate of Completion

Within 14 days after completion of the course, each licensed education provider shall provide to each student who successfully completes an approved qualifying education or continuing education course a certified transcript or certificate of completion. The education provider must retain the certificates for no less than five years. The certified transcript or certificate of completion shall include, but is not limited to, the following information:

a) The student's name, address, and Illinois appraiser license number (if applicable);

b) The name, Illinois license number and license expiration date of the education provider;

c) The International Distance Education Certification Center, or AQB equivalent, expiration date, of an asynchronous course (if applicable);

d) The name, Illinois license number and expiration date of the course; and

e) The approved hours completed.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.445 Grounds for Education Provider Discipline

Pursuant to Section 15-10 of the Act, the following shall be considered a violation of the Act and this Part and may subject a licensee to discipline:

a) Dismissal of attendees, without good cause, from any course that results in approved hours not being met;

b) Failure to adhere to approved course materials;

c) Providing or offering a course while the education provider's license is non-renewed, expired, suspended, revoked, surrendered, or is in any other inoperative or inactive status;

d) Providing or offering a course that is not approved by the Department or is expired;

e) Plagiarism of course material;

f) Temporary loss or termination of the International Distance Education Certification Center or AQB approval;

g) Providing to the Division false or misleading information in connection with an application for course approval;

h) A course not conducted in the manner represented to the Division at the time approval was requested, or a course that no longer complies with the criteria for approval;

i) The education provider does not enforce policies relating to course prerequisites, instructor qualifications, student attendance, or course scheduling;

j) The education provider misrepresents any material fact relating to a course or false advertising;

k) The education provider has failed to maintain for a period of at least five years accurate records of students' course completion or to fulfill requests for course completion letters, certificates, or transcripts from former students who satisfactorily completed a course; or

l) The education provider fails to maintain audio or video files and presentations related to all synchronous courses for a period of five years from their approval dates.

History

• Source: Amended at 48 Ill. Reg. 14553, effective September 24, 2024

68 Ill. Adm. Code 1455.450 Appraiser Applicants - Transition Provisions (repealed)

History

• Source: Repealed at 35 Ill. Reg. 1967, effective January 20, 2011

68 Ill. Adm. Code 1455.460 Education Providers, Pre-License and Continuing Education Courses – Transition Provisions (repealed)

History

• Source: Repealed at 35 Ill. Reg. 1967, effective January 20, 2011

68 Ill. Adm. Code 1455.470 Applicability (repealed)

History

• Source: Repealed at 35 Ill. Reg. 1967, effective January 20, 2011

68 Ill. Adm. Code 1455.480 Administrative Law Judges (repealed)

History

• Source: Repealed at 35 Ill. Reg. 1967, effective January 20, 2011

68 Ill. Adm. Code 1455.490 Disqualification of an Administrative Law Judge (repealed)

History

• Source: Repealed at 35 Ill. Reg. 1967, effective January 20, 2011

68 Ill. Adm. Code 1455.APPENDIX A Caption for a Case Filed by the Agency (repealed)

History

• Source: Repealed at 37 Ill. Reg. 2668, effective April 1, 2013

68 Ill. Adm. Code 1455.APPENDIX B Caption for a Case Filed by the Petitioner (repealed)

History

• Source: Repealed at 37 Ill. Reg. 2668, effective April 1, 2013

Part 1456 Respiratory Care Practice Act

68 Ill. Adm. Code 1456.05 Application for Licensure as a Respiratory Care Practitioner Under Section 50(b) of the Act (grandfather) (repealed)

History

• Source: Repealed at 24 Ill. Reg. 606, effective December 31, 1999

68 Ill. Adm. Code 1456.09 Requirements for Licensure Under Section 50(b) of the Act (grandfather)

a) Any person seeking a license under Section 50(b) of the Respiratory Care Practice Act (the Act) shall file an application with the Division, on forms provided by the Division. The application shall be postmarked no later than December 31, 2006 and shall include the following:

1. Verification of experience as a respiratory care practitioner as defined in Section 10 of the Act for at least 3 years, with a minimum of 400 hours per year, during the 5 years preceding December 31, 2005 in all aspects of respiratory care as defined by the Act. Experience must be obtained under the supervision of a certified or licensed respiratory therapist, registered nurse or a licensed health care professional as defined by Section 50 of the Act;

2. Certification of experience, on forms provided by the Division, signed by a certified respiratory therapist, licensed registered nurse or a licensed health care professional as defined by Section 50 of the Act;

3. Certification, on forms provided by the Division, from a jurisdiction in which the applicant was originally licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license; and

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending;

4. The required fee set forth in Section 1456.75 of this Part.

b) When the accuracy of any submitted documentation or experience is questioned by the Division because of lack of information, discrepancies or conflicts in the information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Added at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.10 Definitions

"Act" means the Respiratory Care Practice Act.

"Board" means the Respiratory Care Board.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation.

"Respiratory care practitioner" means a person who is licensed by the Division and meets all of the following criteria:

the person is engaged in the practice of cardiorespiratory care and has the knowledge and skill necessary to administer respiratory care.

the person is capable of serving as a resource to the licensed physician in relation to the technical aspects of cardiorespiratory care and the safe and effective methods for administering cardiorespiratory care modalities.

the person is able to function in situations of unsupervised patient contact requiring great individual judgment.

the person is capable of supervising, directing, or teaching less skilled personnel in the provision of respiratory care services. (Section 10 of the Respiratory Care Practice Act [225 ILCS 106/10])

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.20 Approved Respiratory Care Training Program

a) The Department shall, upon the recommendation of the Respiratory Care Board (the Board), approve a respiratory care program if it meets the criteria set forth in this Section. The institution:

1. Is regionally accredited or legally recognized and authorized by the jurisdiction in which it is located to confer the appropriate degree or certificate;

2. Has a faculty that consists of a sufficient number of full-time instructors to ensure educational obligations to the students are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees or experience in their areas of teaching from professional colleges or institutions;

3. Has a program director, clinical coordinator and medical director; and

4. Has 62 semester hours or the equivalent of a 12 month course of study which includes, but not limited to, all of the following curriculum/subject areas with structured laboratory and clinical experience:

A) Basic Sciences:

Biology

Cardiopulmonary anatomy and physiology

Chemistry

Human anatomy and physiology

Computer science

Mathematics

Microbiology

Pharmacology

Physics

Psychology

B) Clinical Sciences:

Cardiopulmonary diseases

General medical and surgical specialties

Pathology

Pediatrics and perinatology

C) Respiratory Care Content Areas:

Aerosol therapy

Airway management

Assessment of patients' cardiopulmonary status

Cardiopulmonary diagnostics and interpretation

Cardiopulmonary monitoring and interpretation

Cardiopulmonary rehabilitation and home care

Cardiopulmonary resuscitation

Chest physiotherapy

Ethics of respiratory care and medical care

Gas therapy

General patient care

Humidity therapy

Hyperinflation therapy

Mechanical ventilation management

Oxygen therapy

Pediatrics and perinatology

b) Individuals applying for licensure who are deficient in any of the content areas set forth in subsection (a)(4) may complete any one or all of these courses in an approved respiratory care program. The applicant will be required to submit proof to the Division that he or she has passed the a courses. Proof shall include, but not be limited to, transcript, curriculum, program materials and course materials.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work is questioned by the Division or the Board, the applicant will be required to provide such information as may be necessary and/or appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

d) In determining whether a program should be approved, the Division, upon recommendation of the Board, shall take into consideration, but not be bound by, accreditation or approval by the Committee on Accreditation for Respiratory Care Education (CoARC), or its successor organization, or accreditation by the American Medical Association Committee on Allied Health Education and Accreditation (CAHEA), or its successor, the Commission on Accreditation of Allied Health Education Programs (CAAHEP).

e) The Division, upon recommendation of the Board, has determined that all respiratory therapy programs accredited or approved by CoARC, or its successor organization, or accredited by CAHEA, or its successor CAAHEP, meet the minimum criteria set forth in this Section and are, therefore, approved.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.30 Application for Licensure on the Basis of Examination

a) An applicant for a respiratory care practitioner license shall apply on forms approved by the Division. The application shall include:

1. Verification of successful completion of an approved respiratory therapy program as set forth in Section 1456.20(e) of this Part.

2. Proof of passage of the Entry Level Certified Respiratory Therapist (CRT) Examination or the Registered Respiratory Therapists (RRT) Examination (Written Registry Examination and Clinical Simulation Examination) of the National Board for Respiratory Care submitted directly from the testing entity within 5 years after making application.

3. The required fee specified in Section 1456.75 of this Part.

b) In lieu of the documents required in subsections (a)(1) and (2), an applicant may submit certification as a Certified Respiratory Therapist or as a Registered Respiratory Therapist from the National Board for Respiratory Care.

c) If the applicant has ever been licensed in another jurisdiction, he/she shall also submit a certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and in which the applicant is currently licensed, stating:

1. The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

2. A description of the examination in that jurisdiction; and

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

d) When the accuracy of any submitted documentation or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.40 Application for Licensure for Graduates from a Nonapproved Program

a) An applicant for a respiratory care practitioner license from a nonapproved program shall apply on forms approved by the Division. The application shall include:

1. Transcripts and verification of successful completion of a respiratory therapy program which shall meet the requirements set forth in Section 1456.20 of this Part. The applicant shall be responsible for submitting the program materials for evaluation. If the documentation is insufficient to evaluate the program, the applicant will be requested to submit additional materials; and

2. The required fee specified in Section 1456.75.

b) If the applicant has ever been licensed in another jurisdiction, he/she shall also submit a certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and in which the applicant is currently licensed, stating:

1. The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

2. A description of the examination in that jurisdiction; and

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

c) Upon approval of the applicant's program by the Division, the applicant may sit for the examination set forth in Section 1456.50 of this Part.

d) When the accuracy of any submitted documentation or experience is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking licensure shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.50 Examination

a) The examination for licensed respiratory care practitioners shall be the Certified Respiratory Therapist (CRT) of the National Board for Respiratory Care.

b) Candidates for the examination shall make application and pay the examination fee directly to the designated testing service.

c) Application to the testing services for purposes of the examination shall not constitute application to the Division for licensure.

d) In lieu of the Entry Level Certified Respiratory Therapist (CRT) Examination of the National Board for Respiratory Care, the Division will accept the Registered Respiratory Therapists (RRT) Examination (Written Registry Examination and Clinical Simulation Examination) of the National Board for Respiratory Care.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.60 Endorsement

a) An applicant who is licensed/registered under the laws of another state or territory of the United States who wishes to be licensed in Illinois as a respiratory care practitioner shall file an application with the Division, on forms provided by the Division, which includes:

1. Verification of meeting education requirements as set forth in Section 1456.20 of this Part;

2. Proof of passage of the Entry Level Certified Respiratory Therapist (CRT) Examination or Registered Respiratory Therapists (RRT) Examination (Written Registry Examination and Clinical Simulation Examination) of the National Board for Respiratory Care submitted directly from the testing reporting service;

3. Certification from the jurisdiction of original licensure and the jurisdiction in which the applicant is currently licensed and practicing, if other than original, stating the time during which the applicant was licensed in that state, whether the file on the applicant contains any disciplinary actions taken or pending, and the applicant's license number; and

4. The required fee specified in Section 1456.75.

b) In lieu of the documents required in subsections (a)(1) and (2), an applicant may submit certification from the National Board for Respiratory Care.

c) The Division shall examine each endorsement application to determine whether the requirements and examination in the jurisdiction at the date of licensing were substantially equivalent to the requirements and examination of the Act or the applicant possesses individual qualifications which were substantially equivalent to the requirements of the Act.

d) The Division shall either issue a license by endorsement to the applicant or notify the applicant in writing of the reasons for the denial of the application.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.70 Renewals

a) The first renewal period for licensure under the Act shall be October 31, 1999. Thereafter, every license issued under the Act shall expire on October 31 of odd numbered years. The holder of a license may renew such license during the month preceding the expiration date by paying the required fee. Beginning with the October 31, 2001 renewal and every renewal thereafter, a renewal applicant will be required to complete 24 hours of continuing education as set forth in Section 1456.110 of this Part.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline pursuant to Section 95 of the Act.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.75 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as a respiratory care practitioner is $100. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The fee for application for a continuing education sponsor is $500. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.)

b) Renewal Fees

1. The fee for the renewal of a license shall be calculated at the rate of $60 per year.

2. The fee for the renewal as a continuing education sponsor is $250 for the renewal period (see Section 1456.110(c)(3)).

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $20 plus payment of all lapsed renewal fees, but not to exceed $300.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

5. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

6. The fee for a roster of persons licensed as respiratory care practitioners in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.80 Inactive Status

a) Licensed respiratory care practitioners who notify the Division, on forms provided by the Division, may place their licenses on inactive status and shall be excused from paying renewal fees until they notify the Division in writing of the intention to resume active practice.

b) Any licensed respiratory care practitioner seeking restoration from inactive status shall do so in accordance with Section 1456.90 of this Part.

c) Any respiratory care practitioner whose license is on inactive status shall not use the title "licensed respiratory care practitioner" in the State of Illinois. Any person violating this subsection shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.90 Restoration

a) Any respiratory care practitioner whose license has expired or has been placed on inactive status for 5 years or less may have the license restored by paying the fees required by Section 1456.75. Individuals restoring a license after April 30, 2001 will be required to submit proof of 24 hours of continuing education as set forth in Section 1456.110 of this Part.

b) Any person seeking restoration of a license that has been expired or placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, for review by the Board, together with the fee required by Section 1456.75. Individuals restoring a license after April 30, 2001 will be required to submit proof of 24 hours of continuing education as set forth in Section 1456.110 of this Part. The applicant also shall submit:

1. Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice; or

2. An affidavit attesting to military service as provided in Section 65(d) of the Act; or

3. Proof of passage of a respiratory care examination set forth in Section 1456.50 of this Part during the period the registration was lapsed or on inactive status.

c) Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 65 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the continuing education requirements.

d) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

e) Upon recommendation of the Board and approval by the Director, an applicant shall have the license restored or be notified in writing of the reason for denying the application.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.100 Unprofessional Conduct

a) Pursuant to Section 95 of the Act, unprofessional conduct in the practice of respiratory care shall include but not be limited to:

1. Procuring, attempting to procure or renewing a license as provided by this Part by bribery, by fraudulent misrepresentation or through an error of the Board or the Division;

2. Willfully making or filing a false report or record, willfully failing to file a report or record required by State or federal law, or willfully impeding or obstructing such filing or inducing another person to do so. Such reports or records include only those reports or records which require the signature of a respiratory care practitioner licensed pursuant to this Part;

3. Circulating untruthful, fraudulent, deceptive or misleading advertising;

4. Engaging or attempting to engage in the possession, sale or distribution of controlled substances for any purpose other than a legitimate purpose;

5. Willfully failing to report any violation of this Part;

6. Willfully or repeatedly violating a lawful order of the Board or the Division previously entered in a disciplinary hearing;

7. Accepting and performing professional responsibilities which the licensee knows, or has reason to know, he/she is not competent to perform;

8. Delegating professional responsibilities to a person when the licensee delegating such responsibilities knows, or has reason to know, that such person is not qualified by training, experience or licensure to perform them;

9. Gross or repeated malpractice or the failure to deliver respiratory care services with that level of care, skill and treatment which is recognized by a reasonably prudent respiratory care practitioner with similar professional training as being acceptable under similar conditions and circumstances;

10. Paying or receiving any commission, bonus, kickback or rebate, to or from, or engaging in any split-fee arrangement in any form whatsoever with, a person, organization or agency, either directly or indirectly, for goods or services rendered to patients referred by or to providers of health care goods and services, including, but not limited to, hospitals, nursing homes, clinical laboratories, ambulatory surgical centers or pharmacies. The provisions of this subsection shall not be construed to prevent the licensee from receiving a fee for professional consultation services;

11. Failing to document in the medical records actions taken by the licensee and justification for those actions; and

12. Performing professional services which have not been duly ordered.

b) The Division hereby incorporates by reference the "Statement of Ethics and Professional Conduct" (July 2004) of the American Association for Respiratory Care, 1720 Regal Row, Dallas, Texas 75235, with no later amendments or editions.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.110 Continuing Education

a) Continuing Education Hour Requirements

1. Every renewal applicant shall complete 24 hours of Continuing Education (CE) relevant to the practice of respiratory care required during each prerenewal period. A prerenewal period is the 24 months preceding October 31 in the year of the renewal.

2. A CE hour equals 50 minutes. After completion of the initial CE hour, credit may be given in one-half hour increments.

3. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

4. A licensee who serves as an instructor, speaker or discussion leader of a CE program will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Preparation time shall not be allowed for presentations of the same course and will only be allowed for additional study or research. In no case shall credit for actual time of presentation and preparation be given for more than 12 hours during any renewal period.

5. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the license.

6. Respiratory Care Practitioners licensed in Illinois but residing and practicing in other states must comply with the CE requirements set forth in this Section.

7. A renewal applicant shall receive 6 continuing education hours for passage of the Advanced Practitioner, Clinical Simulation or any other NBRC examination beyond entry level. CE credit will not be granted for examinations taken more than once.

b) Approved Continuing Education

1. All continuing education hours must be earned by verified attendance at or participation in a program which is offered by an approved continuing education sponsor who meets the requirements set forth in subsection (c).

2. Continuing education credit hours used to satisfy the CE requirements of another state may be submitted for approval for fulfillment of the CE requirements of the State of Illinois.

3. Credit shall not be given for courses taken in Illinois from unapproved sponsors.

c) Continuing Education Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) The American Association for Respiratory Care or its affiliates;

B) The Illinois Society for Respiratory Care or its affiliates;

C) American Medical Association or the Illinois State Medical Society or its affiliates;

D) American Hospital Association or Illinois Hospital Association or its affiliates;

E) Illinois Nurses Association or the American Nursing Association or its affiliates;

F) American Lung Association or its affiliates;

G) The American Heart Association or its affiliates; or

H) Any other person, firm, association, corporation, or group that has been approved and authorized by the Division pursuant to subsection (c)(2) of this Section upon the recommendation of the Board to coordinate and present continuing education courses or programs.

2. Entities seeking a license as a CE sponsor pursuant to subsection (c)(1)(H) shall file a sponsor application, along with the required fee set forth in Section 1456.75. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The applicant shall certify to the following:

A) That all courses and programs offered by the sponsor for CE credit will comply with the criteria in subsection (c) of this Section and all other criteria in this Section. The applicant shall be required to submit a sample 3 hour CE program with course materials, presenter qualifications and course outline for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each course or program, and provide a certification of attendance as set forth in subsection (c)(8); and

C) That upon request by the Division, the sponsor will submit such evidence as is necessary to establish compliance with this Section. Such evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. Each sponsor shall submit by October 31 of each odd numbered year a sponsor application along with the renewal fee set forth in Section 1456.75. With the application the sponsor shall be required to submit to the Division a list of all courses and programs offered in the prerenewal period, which includes a description, location, date and time the course was offered.

4. Each CE program shall provide a mechanism for written evaluation of the program and instructor by the participants. Such evaluation forms shall be kept for 5 years and shall be made available to the Division upon written request.

5. All courses and programs shall:

A) Contribute to the advancement, extension and enhancement of professional clinical skills and scientific knowledge in the practice of respiratory care;

B) Provide experiences which contain scientific integrity, relevant subject matter and course materials; and

C) Be developed and presented by persons with education and/or experience in the subject matter of the program.

6. All programs given by approved sponsors shall be open to all licensed respiratory care practitioners and not be limited to the members of a single organization or a group and shall specify the number of CE hours that may be applied toward Illinois CE requirements for licensure renewal.

7. Certificate of Attendance

A) It shall be the responsibility of the sponsor to provide each participant in a program with a certificate of attendance signed by the sponsor. The sponsor's certificate of attendance shall contain:

i) The name and address of the sponsor;

ii) The name and address of the participant and his/her respiratory care practitioner license number;

iii) A detailed statement of the subject matter;

iv) The number of hours actually attended in each topic;

v) The date of the program;

vi) Signature of the sponsor.

B) The sponsor shall maintain these records for not less than 5 years.

8. The sponsor shall be responsible for assuring verified continued attendance at each program. No renewal applicant shall receive credit for time not actually spent attending the program.

9. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board pursuant to the Administrative Hearing Rules (see 68 Ill. Adm. Code 1110) shall thereafter refuse to accept CE credit for attendance at or participation in any of that sponsor's CE programs until such time as the Division receives reasonably satisfactory assurances of compliance with this Section.

d) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned CE hours in another jurisdiction from a nonapproved sponsor for which he or she will be claiming credit toward full compliance in Illinois, that applicant shall submit an application along with a $20 processing fee prior to taking the program or 90 days prior to the expiration date of the license. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

2. If a licensee fails to submit an out of state CE approval form within the required time, late approval may be obtained by submitting the application with the $20 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval or disapproval of this program using the criteria set forth in this Section.

e) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of such compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board, at which time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of his/her license without having fully complied with these CE requirements shall file with the Division a renewal application, the renewal fee set forth in Section 75(d) of the Act, a statement setting forth the facts concerning such non-compliance, and a request for waiver of the CE requirements on the basis of such facts. If the Division, upon the written recommendation of the Board, finds from such affidavit or any other evidence submitted that good cause has been shown for granting a waiver, the Division shall waive enforcement of such requirements for the renewal period for which the applicant has applied.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of such period; or

B) Extreme hardship, which shall be determined on an individual basis by the Board and shall be limited to documentation of:

i) An incapacitating illness documented by a currently licensed physician,

ii) A physical inability to travel to the sites of approved programs, or

iii) Any other similar extenuating circumstances.

3. If an interview with the Board is requested at the time the request for such waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of such interview by certified mail, return receipt requested.

4. Any renewal applicant who submits a request for waiver pursuant to subsection (f)(1) of this Section shall be deemed to be in good standing until the Division's final decision on the application has been made.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

68 Ill. Adm. Code 1456.120 Granting Variances

a) The Director may grant variances from this Part in individual cases when he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 30 Ill. Reg. 14455, effective August 28, 2006

Part 1460 Illinois Roofing Industry Licensing Act

68 Ill. Adm. Code 1460.5 Definitions

"Act" means the Illinois Roofing Industry Licensing Act [225 ILCS 335].

"Board" means the Roofing Advisory Board.

"Department" means the Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation with the authority delegated by the Secretary.

"Division" means the Department of Financial and Professional Regulation-Division of Professional Regulation with the authority delegated by the Secretary.

"Limited roofing license" means a license made available to contractors whose roofing business is limited to residential roofing, including residential properties consisting of 8 units or less.

"Qualifying party" means the individual filing as a sole proprietor, partner of a partnership, officer of a corporation, trustee of a business trust, or party of another legal entity, who is legally qualified to act for the business organization in all matters connected with its roofing contracting business, has the authority to supervise roofing installation operations, and is actively engaged in day to day activities of the business organization. A qualifying party does not apply to a seller of roofing materials or services when the construction, reconstruction, alteration, maintenance, or repair of roofing or waterproofing is to be performed by a person other than the seller or the seller's employees.

"Roofing" means to construct, reconstruct, alter, maintain and repair roofs and use materials and items used in the construction, reconstruction, alteration, maintenance and repair of all kinds of roofing and waterproofing. Nothing shall be construed to require sheet metal, electrical, plumbing, refrigeration or mason contractors or carpenters who perform chimney repairs or install soil pipes, electrical jacks, gutters, heating and cooling vents, wood roof decks, or any other kind of roof deck or television antenna to be licensed under the Act.

"Secretary" means the Secretary of the Department of Financial and Professional Regulation.

"Unlimited roofing license" means a license made available to contractors whose roofing business is unlimited in nature and includes roofing on residential, commercial, and industrial properties.

History

• Source: Amended at 38 Ill. Reg. 7910, effective March 25, 2014

68 Ill. Adm. Code 1460.10 Application for a Roofing License

a) Applications for a roofing license under the Act shall be submitted to the Division on forms provided by the Division, along with the following documentation:

1. Limited roofing license applicants must submit the following:

A) Proof of liability insurance acceptable to the Division as specified in Section 1460.20. Proof shall be a Certificate of Insurance;

B) Either:

i) Proof that the applicant has obtained Workers' Compensation Insurance or that the applicant is an approved self-insurer of Workers' Compensation. Proof shall be either the Certificate of Insurance from the insurance provider or the Certificate of Approval as a Self-Insurer issued by the Illinois Workers' Compensation Commission; or

ii) Certifying statement that the applicant has no employees. If an applicant is a sole proprietorship or partnership and the applicant has no employees, the applicant shall not be required to provide proof of Workers' Compensation Insurance or Illinois Unemployment Insurance.

C) Proof that the applicant has obtained an unemployment insurance employer account number issued by the Illinois Department of Employment Security and that he or she is not delinquent in the payment of any amount due under the Unemployment Insurance Act. Proof shall be a copy of the quarterly report issued to the applicant by the Department of Employment Security;

D) Proof of a bond in the amount of $10,000 pursuant to Section 1460.30;

E) Designation of a qualifying party; and

F) The required fee set forth in Section 1460.80.

2. Unlimited roofing license applicants must submit the following:

A) Proof of liability insurance acceptable to the Division as specified in Section 1460.20. Proof shall be a Certificate of Insurance;

B) Either:

i) Proof that the applicant has obtained Workers' Compensation Insurance or that the applicant is an approved self-insurer of Workers' Compensation. Proof shall be either the Certificate of Insurance from the insurance provider or the Certificate of Approval as a Self-Insurer issued by the Illinois Workers' Compensation Commission; or

ii) Certifying statement that the applicant has no employees. If an applicant is a sole proprietorship or partnership and the applicant has no employees, the applicant shall not be required to provide proof of Workers' Compensation Insurance or Illinois Unemployment Insurance;

C) Proof that the applicant has obtained an unemployment insurance employer account number issued by the Illinois Department of Employment Security and that he or she is not delinquent in the payment of any amount due under the Unemployment Insurance Act. Proof shall be a copy of the quarterly report issued to the applicant by the Department of Employment Security;

D) Proof of a bond in the amount of $25,000 pursuant to Section 1460.30;

E) Designation of a qualifying party; and

F) The required fee set forth in Section 1460.80.

b) Any applicant for a limited or unlimited roofing license that is a partnership, corporation, business trust, or other legal entity shall provide the following information with the application:

1. For Corporations:

A) The name of the corporation and its business address, and the names of all members of the board of directors and officers;

B) A copy of the Articles of Incorporation bearing the seal of the office, in the jurisdiction in which the corporation is organized, whose duty it is to register corporations under the laws of that jurisdiction. If it is a foreign corporation, a copy of the certificate of authority to transact business in this State issued by the Secretary of State is also required; and

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Secretary of State for any assumed names of the corporation, if applicable.

2. For Partnerships:

A) A copy of the signed and dated partnership agreement, the name of the partnership and its business address, and the names of all general partners; and

B) A letter or certificate from the county clerk where an assumed name has been filed, if applicable.

3. For Limited Liability Companies or Limited Liability Partnerships:

A) The name of the limited liability company or partnership, the business address and the members/partners of the company/ partnership; and

B) A copy of the authority to transact business under the Assumed Business Name Act issued by the Secretary of State for any assumed names of the limited liability company or partnership, if applicable.

4. For Sole Proprietorships with an Assumed Name: A letter or certificate from the county clerk where an assumed name has been filed.

c) No roofing license will be issued to any applicant without a designated qualifying party who has passed the examination set forth in Section 1460.12.

d) A holder of a limited license who wants an unlimited license will be required to submit an application for an unlimited license in accordance with subsection (a)(2).

History

• Source: Amended at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.11 Qualifying Party

a) All licensees shall have a designated qualifying party.

b) At renewal, all licensees will be required to designate a qualifying party. If a qualifying party was designated as a licensee's qualifying party on or before July 1, 2003, the qualifying party will not be required to take and pass the examination set forth in Section 1460.12. The licensee will be required to restore his or her license in accordance with Section 1460.50 if, at any time thereafter, one of the following occurs:

1. A licensee allows his or her license to lapse;

2. The qualifying party who was designated on or before July 1, 2003 terminates his or her designation as the licensee's qualifying party;

3. The qualifying party's status as the qualifying party is terminated by the licensee; or

4. The qualifying party's designation is terminated by the Division.

c) No person shall be named as a qualifying party for more than one licensee. However, the person may act in the capacity of the qualifying party for one additional licensee of the same type of licensure if one of the following conditions exists:

1. There is a common ownership of at least 25% of each licensed entity for which the person acts as a qualifying party; or

2. The same person acts as a qualifying party for one licensed entity and its licensed subsidiary. "Subsidiary" as used in this Section means a corporation of which at least 25% is owned by another licensee.

d) When a qualifying party is terminated or is terminating his or her status as a qualifying party of a licensee, the qualifying party and the licensee shall notify the Division in writing of the termination within 30 business days.

e) The licensee shall notify the Division in writing within 30 business days after the termination of a qualifying party and shall supply the name and address of the newly designated qualifying party. If the qualifying party has not taken and passed the examination set forth in Section 1460.12, or the party to be named was not named as a qualifying party on or before July 1, 2003 by some licensee, the new qualifying party shall apply for examination pursuant Section 1460.12. The qualifying party will have 7 months to pass the examination. If the qualifying party has not passed the examination in the 7 months, the licensee shall designate a qualifying party who has passed the examination.

History

• Source: Amended at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.12 Examination for Qualifying Party

a) An applicant for examination as a qualifying party shall file an application with the Division, or its designated testing service, on forms provided by the Division, and shall include any fee covering the cost of providing the examination. The application shall be submitted 60 days prior to examination, and shall include the name and license number of the roofing business for which he or she is the designated qualifying party, if applicable.

b) Examination Information

1. The Division shall administer 3 examinations:

A) Illinois Residential Roofing;

B) Illinois Commercial and Industrial Roofing; and

C) Illinois Residential, Commercial and Industrial Roofing.

2. The examinations shall be administered a minimum of 4 times a year.

3. An individual who has passed the Illinois Residential Roofing Examination who wants to be a qualifying party for an unlimited roofing contractor shall be required to take and pass the Illinois Commercial and Industrial Roofing Examination.

c) Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

d) An applicant shall be required to complete the examination process within 3 years from date of application or the fee will be forfeited, and the applicant will be required to submit a new application and meet the requirements in effect at the time of reapplication.

History

• Source: Amended at 38 Ill. Reg. 7910, effective March 25, 2014

68 Ill. Adm. Code 1460.20 Liability Insurance Requirements

a) Each applicant for a certification as a roofing contractor shall obtain, and maintain for the duration of such certification, public liability and property damage insurance in the minimum amount and form specified below:

1. $250,000 for each occurrence of property damage; and

2. $500,000 for each occurrence of personal injury or bodily harm.

b) This policy shall provide that it cannot be cancelled except upon written notification to the Division at least 30 days prior to the date of cancellation.

History

• Source: Amended at 38 Ill. Reg. 7910, effective March 25, 2014

68 Ill. Adm. Code 1460.30 Bonding Requirements

a) Each applicant for a limited roofing license shall obtain, and maintain in force for the duration of the license, a continuous surety bond in the minimum amount of $10,000. Each applicant for an unlimited roofing license shall obtain, and maintain in force for the duration of the license, a continuous surety bond in the minimum amount of $25,000. The bond shall be issued by an insurance company authorized to transact fidelity and surety business in the State of Illinois and shall be for the performance of all work undertaken by the applicant in the course of the applicant's roofing contracting business and for the payment of damages during the course of that work that may be sustained by reason of negligence, misconduct, or violation of any laws, ordinances, rules, regulations or building codes governing the work.

b) The bond shall be executed on a form provided by the Division or the bond provider.

c) The bond shall state that it cannot be cancelled except upon written notification to the Division at least 60 days prior to the date of cancellation.

History

• Source: Amended at 38 Ill. Reg. 7910, effective March 25, 2014

68 Ill. Adm. Code 1460.40 Renewals

Each limited or unlimited roofing license shall expire on December 31 of odd-numbered years and must be renewed prior to that date. Each application for renewal of a limited or unlimited roofing license shall be made on forms provided by the Division and shall be accompanied by:

a) A certifying statement that the holder of the license continues to comply with the requirements for insurance and bonding;

b) The required fee set forth in Section 1460.80; and

c) The name of the designated qualifying party.

History

• Source: Amended at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.50 Restoration

a) An applicant seeking restoration of a limited or unlimited roofing license that has expired or has been placed on inactive status for 5 years or less shall have the license restored upon filing an application, on forms supplied by the Division, together with payment of all lapsed renewal fees and shall include the following:

1. Designation as either a limited or unlimited roofing contractor;

2. Proof of insurance as required in Section 1460.20;

3. Proof of continuous surety bond as required in Section 1460.30;

4. The name of the designated qualifying party who has passed the examination set forth in Section 1460.12, except that those individuals who were designated as a qualifying party on or before July 1, 2003 are not required to take the examinations so long as the qualifying party is the same individual who was the designated qualifying party in 2003 for the applicant seeking restoration; and

5. The required fee set forth in Section 1460.80.

b) An applicant seeking restoration of a limited or unlimited roofing license that has expired or has been placed on inactive status for more than 5 years shall have the license restored upon filing an application, on forms supplied by the Division, together with all lapsed renewal fees and shall include the following:

1. Designation as either a limited or unlimited roofing contractor;

2. Proof of insurance as required in Section 1460.20;

3. Proof of continuous surety bond as required in Section 1460.30;

4. The name of the designated qualifying party who has passed the appropriate examination set forth in Section 1460.12(b), except that those individuals who were designated as a qualifying party on or before July 1, 2003 are not required to take the examinations so long as the designated qualifying party is the same individual who was the designated qualifying party in 2003 for the applicant seeking restoration;

5. The required fee set forth in Section 1460.80; and

6. One of the following, which also applies to individuals who were designated as a qualifying party on or before July 1, 2003:

A) Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the applicant was authorized to practice during the term of active practice; or

B) An affidavit attesting to military service as provided in Section 60 of the Act; or

C) Testing/Experience

i) Except as otherwise provided in subsection (b)(6)(C)(ii), proof of passage of one of the following examinations appropriate for the type of license being restored:

● The Illinois Residential Roofing;

● The Illinois Commercial and Industrial Roofing; and

● The Illinois Residential, Commercial and Industrial Roofing; or

ii) In lieu of submission of an examination referenced in subsection (b)(6)(C)(i), the person seeking restoration may submit proof of 6 months of lawful practice under the supervision of a licensed roofer. That practice shall be under a licensed roofer holding the same type of license, meaning unlimited or limited, as the person seeking restoration.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration of a license shall be requested to provide information as may be necessary.

History

• Source: Amended at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.60 Cancellation of License

a) A limited or unlimited roofing license shall be cancelled, without hearing, by the Division upon proof that the holder of the license has failed to maintain the insurance or bonding requirements. Proof shall be notice by the insurance company to the Division of insurance or bond cancellation.

b) The holder of a cancelled license shall have the license reissued upon application to the Division, on forms provided by the Division, and upon proof that he/she has satisfied all insurance and bond requirements.

History

• Source: Amended at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.70 Definition of Roofing (repealed)

History

• Source: Repealed at 27 Ill. Reg. 14347, effective August 25, 2003

68 Ill. Adm. Code 1460.75 Citations

a) Pursuant to Section 11.10 of the Act, the Division may issue citations for:

1. Unlicensed practice as set forth in Section 10a of the Act, including practicing on a nonrenewed license;

2. Use of a license to permit or enable an unlicensed person to provide roofing contractor services as set forth in Section 9.1(1)(gg) of the Act;

3. Aiding or assisting another person in violating any provision of the Act or this Part as set forth in Section 9.1(f) of the Act; or

4. Substandard work under Section 9.1 of the Act.

b) The citation will state:

1. The cited person's name and address;

2. The cited person's license number, if any;

3. A brief factual statement;

4. The Sections of the Act or rules allegedly violated; and

5. The fine or civil penalty imposed, which shall be as follows:

A) The civil penalty for unlicensed practice is $200 per violation and $400 per subsequent violations occurring within 12 months;

B) The fine for aiding and abetting unlicensed practice is $100 per violation and $200 per subsequent violations occurring within 12 months;

C) The fine for substandard work under Section 9.1 of the Act is $100 per violation.

c) A citation will be:

1. Issued within 6 months after the reporting of a violation that is the basis for the citation; and

2. Sent to the licensee at the licensee's address of record or email address of record, sent to an unlicensed person at his or her last known address or last known email address, or served via personal service.

d) If a cited person wishes to dispute the citation, the cited person may request in writing, within 30 days after the citation is served, a hearing before the Division. If the cited person requests a hearing within 30 days after the citation is served, the Division will afford the cited person a hearing conducted in the same manner as a hearing provided for in the Act and will determine whether the cited person committed the violation as charged and whether the fine or civil penalty as levied is warranted.

e) If the cited person does not request a hearing within 30 days after the citation is served, then the citation will become a final order and will constitute discipline and any fine or civil penalty imposed is due and payable.

f) Nothing in this Section limits the authority of the Division to take disciplinary action under the Act. Post-citation failure to correct the violation or a continuing violation will subject the cited person to further action by the Division, as authorized by the Act.

History

• Source: Added at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.80 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for an unlimited or limited roofing license is $125.

2. Applicants for an examination shall be required to pay, either to the Division or to the designated testing service, a fee covering the cost of providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

b) Renewal Fees

The fee for the renewal of an unlimited or limited license will be calculated at the rate of $62.50 per year.

c) General Fees

1. The fee for the restoration of a non-renewed license is $50 plus payment of all lapsed renewal fees, not to exceed $375.

2. The fee for the issuance of a duplicate/replacement license issued for a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for certification of a licensee's record for any purpose is $20.

4. The fee for a wall certificate showing licensure will be the actual cost of producing the certificate.

5. The fee for a roster of licensees will be the actual cost of producing the roster.

History

• Source: Amended at 45 Ill. Reg. 3009, effective March 12, 2021

68 Ill. Adm. Code 1460.90 Granting Variances

a) The Director may grant variances from this Part in individual cases where he or she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance and the reasons for the variance at the next meeting of the Board.

History

• Source: Amended at 38 Ill. Reg. 7910, effective March 25, 2014

Part 1465 The Illinois Speech-Language Pathology and Audiology Practice Act

68 Ill. Adm. Code 1465.10 Application for Licensure Under Section 7 of the Act (repealed)

History

• Source: Repealed at 18 Ill. Reg. 12794, effective August 4, 1994

68 Ill. Adm. Code 1465.20 Approved Programs

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) shall approve a speech-language pathology or audiology program if it meets the following minimum criteria:

1. The institution is legally recognized and authorized by the jurisdiction in which it is located to confer the appropriate degree.

2. The institution has a faculty that consists of a sufficient number of full-time instructors to ensure educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their areas of teaching from professional colleges or institutions.

3. The program director must be trained and hold a master's or doctoral degree in speech-language pathology, in audiology or in speech and hearing science.

4. The institution has an integrated curriculum plan that includes at least the following subject areas in professional education (60 semester hours required):

A) Basic Communication Processes

i) Anatomic and physiological bases

ii) Physical bases and processes of the production and perception of speech, language and hearing

iii) Linguistic and psycholinguistic variables related to normal development and use of speech, language and hearing

B) Speech-Language Pathology/Audiology

i) Speech and language disorders, which must include, at a minimum, didactic training in the following subject areas:

• articulation and fluency;

• voice and resonance;

• receptive and expressive language in speaking;

• listening, reading and writing;

• hearing;

• swallowing (oral, pharyngeal, esophageal and related functions (including oral function for feeding and orofacial myology));

• cognitive aspects of communication;

• social aspects of communication; and

• augmentative and alternative communication modalities

ii) Audiology

iii) Auditory and vestibular pathology

iv) Auditory and vestibular habilitation/rehabilitation

5. The institution has a clinical practicum that provides speech-language pathology students with 375 hours of clinical experience supervised in the subject areas in subsection(a)(4)(B)(i) that is by a licensed speech-language pathologist or a minimum of 1500 hours clinical practicum supervised by a licensed audiologist. The experience shall take place in at least 2 clinical settings (i.e., academic program, school setting, medical facility, community clinics).

b) The Division shall approve a speech-language pathology assistant program if it meets the following minimum criteria:

1. The institution is legally recognized and authorized by the jurisdiction in which it is located to confer the appropriate degree.

2. The institution has a faculty that consists of a sufficient number of full‑time instructors to ensure educational obligations to the student are fulfilled. The faculty must have demonstrated competence as evidenced by appropriate degrees in their areas of teaching from professional colleges or institutions.

3. The program director must be trained and hold a master's or doctoral degree in speech-language pathology, in audiology or in speech and hearing science.

4. The institution has an integrated curriculum plan that includes at least the following:

A) 24 semester credit hours or its equivalent in general education;

B) 36 semester credit hours or its equivalent in the following technical content areas:

i) an overview of normal processes of communication as relates to hearing, speech and language;

ii) an overview of communication disorders as relates to hearing, speech and language;

iii) instruction in speech-language pathology assistant-level service delivery practices, including basic audiometric screening;

iv) instruction in workplace behaviors to minimally include ethics, standards of employee conduct and speech-language pathology assistant duty restrictions;

v) cultural and linguistic factors in communication;

vi) observation; and

C) 100 hours of supervised field work experience supervised by a licensed speech-language pathologist at least 50% of the time when the student is engaged in contact with the patient or client.

c) The Division has determined that all speech-language pathology and audiology master's and doctoral degree programs accredited or approved by the Council on Academic Accreditation in Audiology and Speech-Language Pathology as of January 1, 2008 meet the minimum criteria set forth in this Section and are, therefore, approved.

d) The Division has determined that all audiology doctoral degree programs accredited or approved by the Accreditation Commission for Audiology Education meet the minimum criteria set forth in this Section and are, therefore, approved.

e) The Division has determined that foreign applicants can meet the speech-language pathology master's program requirement if an applicant provides a verifiable letter from the American Speech-Language-Hearing Association which states the applicant has met the academic and clinical experience requirements for the Certificate of Clinical Competence.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.30 Professional Experience

To meet the requirements of professional experience for licensure as a speech-language pathologist or audiologist as set forth in Section (8)(f) of the Act, the applicant's experience:

a) Shall be an equivalent of 9 months of full-time, supervised professional experience:

1. 30 hours or more per week over 9 months;

2. 25-29 hours per week over 12 months;

3. 20-24 hours per week over 15 months;

4. 15-19 hours per week over 18 months;

5. Less than 15 hours per week will not fulfill professional experience requirements;

b) Shall include direct client contact in at least 36 supervised activities, including but not limited to assessment/diagnosis/evaluation, screening, habilitation/ rehabilitation and activities related to client management as it pertains to the practice of speech-language pathology or audiology as defined in Section 3 of the Act.

1. At least 18 of the 36 activities shall be on-site observations or remote observation by the supervisor. One hour equals one on-site observation or remote observation; no more than 6 hours can be accrued in one day.

2. The other supervised activities may be accomplished through correspondence and include conferences, evaluation of written reports or evaluations by professional colleagues.

3. For the purpose of this subsection (b), remote observation means that the services are being provided remotely using video-conference technology tools while the supervisor observes;

c) Shall be part of an evaluation and therapy program located in a school, clinic, hospital, community hospital or other equivalent settings (e.g., nursing homes);

d) Shall be supervised by a licensed speech-language pathologist or licensed audiologist. For persons who obtain supervised experience in states or territories of the United States where licensure is not required, the supervisor may be a person who holds certification from the American Speech-Language-Hearing Association or the American Board of Audiology. The supervisor shall be responsible for direct and personal contact, and for monitoring, improving, evaluating and documenting the performance of the individual who is under his/her supervision; and

e) Shall begin after completion of the course work and clinical practicum education to meet the requirements for the master's or doctoral degree. In lieu of meeting the requirements set forth in subsections (a) through (d), the Division shall accept a Certificate of Clinical Competence from the American Speech-Language-Hearing Association or certification from the American Board of Audiology that the applicant has completed the Clinical Fellowship required for certification as a speech-language pathologist or audiologist.

History

• Source: Amended at 45 Ill. Reg. 1849, effective January 28, 2021

68 Ill. Adm. Code 1465.35 Supervision

a) Pursuant to Section 3.5(a) of the Act, supervision of students in speech-language pathology and audiology programs means that the supervisor is either on-site (but not necessarily in the same room as the student) or available remotely using video-conference technology tools whenever the student is performing practices normally done by a licensed speech-language pathologist or audiologist. Supervision of students requires that direct supervision must be done no less than 25% of the time for treatment and 25% of the time for diagnostics. The supervisor is directly responsible to the client for all actions of that student. For purposes of this Part, direct supervision means the student is on site and in view of the supervisor, or the supervisor remotely uses video-conference technology tools that are in view of the student. This Part does not apply to students in speech-language pathology assistant programs.

b) If a person has completed the academic and practicum work for a master's or doctoral degree in speech-language pathology and the individual is in the process of completing the equivalent of 9 months of supervised professional experience for his/her initial license, or the individual has finished that experience and is waiting for his/her application for licensure to be processed, supervision shall meet the requirements set forth in Section 1465.30.

c) Pursuant to Section 8.8 of the Act, a speech-language pathology assistant shall:

1. Practice only under the supervision of a licensed speech-language pathologist who has at least 2 years' experience in addition to the supervised professional experience required under Section 8(f) of the Act. A speech-language pathologist who supervises a speech-language pathology assistant must have completed at least 6 clock hours of training in supervision related to speech-language pathology and must complete at least 2 clock hours of continuing education in supervision related to speech-language pathology in each new licensing cycle after completion of the initial training required under Section 8(f) of the Act.

A) The supervision training requirement shall be satisfied by completion of 10 hours of continuing education as defined in Section 1465.85(b).

B) Documentation of prior supervisory experience may be submitted to the Board of Speech-Language Pathology and Audiology (Board) with a request for its acceptance in lieu of the supervision training requirement. The Board retains the discretion to approve or deny the request.

2. Be under the direct supervision of a licensed speech-language pathologist at least 30% of the speech-language pathology assistant's actual patient or client contact time per patient or client on a weekly basis during the first 90 days of initial employment as a speech-language pathology assistant. Thereafter, a speech-language pathology assistant must be under the direct supervision of a licensed speech-language pathologist at least 20% of the speech-language pathology assistant's actual patient or client contact time per patient or client on a weekly basis. Supervision of a speech-language pathology assistant beyond the minimum requirements of this subsection (c)(2) may be imposed at the discretion of the supervising speech-language pathologist. A supervising speech-language pathologist must be available to communicate with a speech-language pathology assistant whenever the assistant is in contact with a patient or client.

A) A speech-language pathologist who supervises a speech-language pathology assistant must document direct supervision activities. At a minimum, supervision documentation must provide:

i) information regarding the quality of the speech-language pathology assistant's performance of assigned duties; and

ii) verification that clinical activity is limited to duties specified in Section 8.7 of the Act.

B) A full-time speech-language pathologist may supervise no more than 2 speech-language pathology assistants. A speech-language pathologist who does not work full-time may supervise no more than one speech-language pathology assistant.

3. For purposes of this subsection (c), "direct supervision" means on-site, in-view observation and guidance by a speech-language pathologist while an assigned activity is performed by the speech-language pathology assistant.

History

• Source: Amended at 45 Ill. Reg. 1849, effective January 28, 2021

68 Ill. Adm. Code 1465.36 Evaluation and Management Related to Speech-Language Pathology and Audiology

For purposes of this Part, evaluation and management related to the practice of speech-language pathology and audiology shall be defined as follows:

a) Speech-Language Pathology

1. Evaluation under speech-language pathology means the application of nonmedical methods and procedures for the identification, measurement, testing and appraisal of communication development, disorders or disabilities of speech, language, voice, swallowing and other speech, language and voice related disorders.

2. Management under speech-language pathology means habilitation, rehabilitation, counseling, consulting, directing or conducting programs that are designed to modify disorders related to communication development, and disorders or disabilities of speech, language, voice or swallowing. This may also include training in the use of augmentative communication systems, communication variation, cognitive rehabilitation, nonspoken language production, comprehension, performance of hearing screening test consistent with speech-language pathology training, and basic health screenings in accordance with Section 8.3 of the Act.

b) Audiology

1. Evaluation under audiology means the application of nonmedical methods and procedures for the identification, measurement, testing and appraisal of hearing or vestibular function.

2. Management under audiology means the application of nonsurgical methods and procedures for the screening, identification, measurement, monitoring, testing, appraisal, prediction, interpretation, habilitation, rehabilitation, or instruction related to audiologic or vestibular disorders, including hearing, tinnitus and disorders of hearing and balance. This also includes intraoperative neurophysiological monitoring of the seventh and eighth cranial nerves, as well as basic speech and language screening tests consistent with audiology training and basic health screenings in accordance with Section 8.3 of the Act.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.40 Application for Licensure

a) Each applicant for a speech-language pathology or audiology license shall file an application with the Department of Financial and Professional Regulation-Division of Professional Regulation (Division), on forms provided by the Division. The application shall include:

1. Certification, on forms provided by the Division, of a master's or doctoral degree from a program approved by the Division in accordance with Section 1465.20(a). An applicant for licensure as a speech-language pathologist who received education and training at a speech-language pathology program located outside of the United States must meet the requirements of Section 8 of the Act, including, but not limited to, substantially complying with the minimum requirements of an approved program as set forth in Section 1465.20(a)(4)(B)(i); [225 ILCS 110/8]

2. Passage of the PRAXIS examination or a national examination recognized by the Department set forth in Section 1465.50 or certification from the American Speech-Language-Hearing Association or pursuant to Section 8(e) of the Act. Exam scores shall be submitted directly to the Division from the testing service;

3. Certification, on forms provided by the Division, of completion of the equivalent of 9 months of full-time supervised professional experience as set forth in Section 1465.30;

4. The required fee as set forth in Section 1465.75.

b) The Division, upon recommendation of the Board, will accept a Certificate of Clinical Competence in Speech-Language Pathology or Audiology awarded by the American Speech-Language-Hearing Association's Clinical Certification Board in lieu of the documents required in subsections (a)(2) and (3).

c) Each applicant for a speech-language pathology assistant license shall file an application with the Division on forms provided by the Division. The application shall include:

1. Certification, on forms provided by the Division, of completion of either an associate's degree from a speech-language pathology assistant program approved by the Division or a bachelor's degree with proof that the applicant has completed course work from an accredited college or university that meets the minimum requirements in accordance with Section 1465.20(b);

2. The required fee as set forth in Section 1465.75.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.41 Temporary License

On or after July 1, 2005, an applicant pursuing licensure as a speech language pathologist shall obtain a temporary license prior to beginning the supervised professional experience as specified in Section 1465.30.

a) The application shall include:

1. Certification, on forms provided by the Division, of a master's or doctoral degree from a program approved by the Division in accordance with Section 1465.20(a);

2. Passage of the PRAXIS or a national examination recognized by the Department as set forth in Section 1465.50 or certification from the American Speech-Language-Hearing Association pursuant to Section 8(e) of the Act. Exam scores shall be submitted directly to the Division from the testing service;

3. Certification on forms provided by the Division demonstrating that a licensed speech-language pathologist has agreed to supervise the professional experience of the applicant; and

4. The required fee set forth in Section 1465.75.

b) The temporary license may be renewed one time only for a 12-month period in the following situations:

1. Serving full-time in the Armed Forces;

2. An incapacitating illness documented by a currently licensed physician; or

3. Any other similar extenuating circumstances.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.45 Jurisdiction

Any individual who holds a speech-language pathology assistant license issued by the Division must abide by the Speech-Language Pathology and Audiology Practice Act and this Part regardless of employment setting.

History

• Source: Amended at 35 Ill. Reg. 2002, effective January 20, 2011

68 Ill. Adm. Code 1465.50 Examination

a) The examination for licensure as a licensed speech-language pathologist and/or licensed audiologist is the PRAXIS examination or a national examination recognized by the Department that tests the theory and practice of the profession.

b) Candidates for the examination shall make application and pay the examination fee directly to the designated testing service.

c) Application to the testing services for purposes of the examination shall not constitute application to the Division for licensure.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.60 Endorsement

a) An applicant for a license as a speech-language pathologist or audiologist who is licensed under the laws of another state or territory of the United States shall file an application with the Division, on forms provided by the Division, that includes:

1. Certification, on forms provided by the Division, of a master's or doctoral degree from a program approved by the Division in accordance with Section 1465.20;

2. Certification, on forms provided by the Division, of completion of the equivalent of 9 months of full-time supervised professional experience as set forth in Section 1465.30;

3. Proof of successful completion of the examination set forth in Section 1465.50;

4. The Division, upon recommendation of the Board, will accept a Certificate of Clinical Competence in Speech-Language Pathology or Audiology awarded by the American Speech-Language-Hearing Association's Clinical Certification Board in lieu of the documents required in subsections (a)(2) and (3);

5. Certification, on forms provided by the Division, from the state or territory of the United States in which the applicant was originally licensed and any state in which the applicant is currently licensed, stating:

A) The time during which the applicant was licensed; and

B) Whether the file of the applicant contains any record of any disciplinary actions taken or pending;

6. The required fee set forth in Section 1465.75.

b) The Division may require additional information to determine if the requirements in the state or territory of original licensure were substantially equivalent to the requirements then in effect in Illinois at the time of original licensure or to determine whether the requirements of another state or territory together with education and professional experience qualifications of the applicant are substantially equivalent to the requirements in Illinois at the time of application. The Division, upon recommendation of the Board, shall determine substantial equivalency based on, but not limited to, certification in speech-language pathology from the American Speech-Language-Hearing Association; education, training, and experience, including, but not limited to, whether he/she has achieved special honors or awards, has had articles published in professional journals, has written textbooks relating to speech-language-hearing; and any other attribute the Director of the Department of Financial and Professional Regulation-Division of Professional Regulation with the authority delegated by the Secretary (Director) accepts as evidence that the applicant has outstanding and proven ability in speech-language-hearing. The Division shall either issue a license by endorsement to the applicant or notify him/her of the reasons for the denial of the application.

c) A person licensed as a speech-language pathologist or audiologist under the laws of another state, who has made application to the Division for a license to practice, may practice speech-language pathology or audiology without a license for 90 days from the date of application or until disposition of the license application by the Division, whichever is sooner. The person must hold a Certificate of Clinical Competence from the American Speech-Language-Hearing Association in speech-language pathology or audiology. In order to qualify under this subsection, there shall be no discipline or pending discipline against the applicant from the state or territory of the United States in which the applicant was originally licensed or any state in which the applicant is currently licensed.

d) Application

1. An applicant for a license as a speech-language pathology assistant who is licensed under the laws of another state or territory of the United States shall file an application with the Division, on forms provided by the Division, that includes:

A) Certification, on forms provided by the Division, of completion of either an associate's degree from a speech-language pathology assistant program approved by the Division or a bachelor's degree with proof that the applicant has completed course work from an accredited college or university that meets the minimum requirements in accordance with Section 1465.20(b);

B) The required fee set forth in Section 1465.75; and

C) Certification, on forms provided by the Division, from the state or territory of the United States in which the applicant was originally licensed and any state in which the applicant is currently licensed, stating:

i) The time during which the applicant was licensed; and

ii) Whether the file of the applicant contains any record of any disciplinary actions taken or pending.

2. The Division may require additional information to determine if the requirements in the state or territory of original licensure were substantially equivalent to the requirements then in effect in Illinois at the time of original licensure or to determine whether the requirements of another state or territory, together with education and professional experience qualifications of the applicant, are substantially equivalent to the requirements in Illinois at the time of application. The Division shall either issue a license by endorsement to the applicant or notify him/her of the reasons for the denial of the application.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.70 Renewal

a) Every license issued under the Act shall expire on October 31 of odd numbered years. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee. In order to renew a license, a speech-language pathology or audiology licensee will be required to complete 20 hours of continuing education in accordance with Section 1465.85. Beginning with the October 31, 2007 renewal, in order to renew a speech-language pathology assistant license, a licensee will be required to complete 10 hours of continuing education in accordance with Section1465.85.

b) It is the responsibility of each licensee to notify the Division of any change of address or email address.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.75 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

1. The fee for application for initial speech-language pathologist or audiologist license by examination is $90.

2. The fee for application as a speech-language pathology assistant is $45.

3. The fee for application for a person licensed as a speech-language pathologist or audiologist under the laws of another state or territory of the United States or of a foreign country or province is $100.

4. The fee for a temporary license as a speech-language pathologist is $75.

b) Renewal Fees

1. The fee for the renewal of a speech-language pathologist or audiologist license shall be calculated at the rate of $50 per year. In addition to the renewal fee, an audiologist shall, at renewal, pay a Hearing Instrument Consumer Protection Fee of $45 as provided in Section 14(b-5) of the Act.

2. The fee for the renewal of a speech-language pathology assistant license shall be calculated at the rate of $25 per year.

3. The fee for the renewal of a temporary license as a speech-language pathologist shall be $50.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license, for a license that has been lost or destroyed or for the issuance of a license with a change of name or address other than during the renewal period is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.80 Restoration

a) A person seeking restoration of a license that has expired for 5 years or less shall have the license restored upon payment of the fees pursuant to Section 1465.75 of this Part. In order to restore a speech-language pathology or audiology license, a licensee will be required to complete 20 hours of continuing education in accordance with Section 1465.85. In order to restore a speech-language pathology assistant license, a licensee will be required to complete 10 hours of continuing education in accordance with Section 1465.85.

b) A person seeking restoration of a license that has been placed on inactive status for 5 years or less shall have the license restored upon payment of the fee pursuant to Section 1465.75. In order to restore a speech-language pathology or audiology license, a licensee will be required to complete 20 hours of continuing education in accordance with Section 1465.85. In order to restore a speech-language pathology assistant license, a licensee will be required to complete 10 hours of continuing education in accordance with Section 1465.85.

c) A person seeking restoration of a speech-language pathology or audiology license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fee required by Section 1465.75 and be scheduled for an interview before the Board. In order to restore a license, a licensee will be required to complete 20 hours of continuing education in accordance with Section 1465.85. The person shall also submit either:

1. Sworn evidence of active practice in another United States jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to practice during the term of said active practice; or

2. An affidavit attesting to military service as provided in Section 11(f) of the Act; or

3. Proof of successful completion of the PRAXIS examination or a national examination recognized by the Department in accordance with Section 1465.50 within one year prior to application for restoration of a speech-language pathology or audiology license.

d) A person seeking restoration of a speech-language pathology assistant license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fee required by Section 1465.75 and be scheduled for an interview before the Board. In order to restore a license, a licensee will be required to complete 10 hours of continuing education in accordance with Section 1465.85. The person shall also submit either:

1. Sworn evidence of active employment as a speech-language pathology assistant in another United States jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the registrant was authorized to be employed during the term of active employment as a speech-language pathology assistant; or

2. An affidavit attesting to military service as provided in Section 11(f) of the Act.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division because of lack of information, discrepancies or conflicts in information given or a need for clarification, the person seeking restoration of a license shall be required to:

1. Provide information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information. Upon recommendation of the Board and approval by the Division, an applicant shall have the license restored.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.85 Continuing Education

a) Continuing Education (CE) Hours Requirements

1. In order to renew a speech-language pathology or audiology license, a licensee will be required to complete 20 hours of CE in accordance with this Section. In order to renew a speech-language pathology assistant license, a licensee will be required to complete 10 hours of CE in accordance with this Section.

2. A prerenewal period is the 24 months preceding October 31 of each odd-numbered year.

3. Except as otherwise provided, CE requirements shall be the same for licensed speech-language pathologists and licensed audiologists. Individuals who hold a license as a speech pathologist and as an audiologist will be required to complete 20 hours of CE for each license held.

4. An audiologist may not obtain more than 10 clock hours of CE during the 2-year licensing cycle through programs sponsored by hearing instrument or auditory prosthetic manufacturers.

5. An audiologist must provide proof that at least 2 clock hours of training in ethics or legal requirements pertaining to the practice of audiology was completed during the 2-year licensing cycle for which he or she is currently licensed.

6. A speech-language pathologist must provide proof that at least one clock hour of ethics training was completed during the 2-year licensing cycle for which he or she is currently licensed.

7. One CE hour shall equal one clock hour of attendance. Credit may be given in one-half hour increments.

8. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

9. Speech-language pathologists and audiologists licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

b) Approved Continuing Education

1. CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at, or participation in, a program or course (program) that is offered or sponsored by an approved CEsponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3) and (4).

2. CE credits may be earned for completion of a distance learning course that is offered by an approved sponsor who meets the requirements set forth in subsection (c). Each distance learning course shall include an examination.

3. CE credit may be earned through postgraduate training programs in speech-language pathology or audiology (e.g., extern, residency or fellowship programs) or completion of speech-language pathology or audiology related courses that are a part of the curriculum of a college, university or graduate school. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

4. CE credit may be earned for authoring papers, publications, dissertations or books and for preparing presentations and exhibits in the field of speech-language pathology and audiology. The preparation of each published paper, book chapter or professional presentation dealing with speech-language pathology or audiology may be claimed for a maximum of 5 hours of CE credit. A presentation must be before an audience of speech-language pathologists, audiologists or related professionals. Five credit hours may be claimed for only the first time the information is published or presented.

c) Approved CE Sponsors and Programs

1. Sponsor, as used in this Section, shall mean:

A) American Speech-Language-Hearing Association and its affiliates;

B) American Academy of Audiology and its affiliates;

C) Illinois Speech-Language-Hearing Association and its affiliates.

D) Illinois Academy of Audiology and its affiliates;

E) Any other accredited college or university, State agency, or any other person, firm, or association that has been approved and authorized by the Division in accordance with subsection (c)(2) to coordinate and present CE courses and programs in conjunction with this Section.

2. An entity, not listed in subsection (c)(1), seeking approval as a CE sponsor shall submit an application, on forms supplied by the Division, along with a $500 application fee. (State agencies, State colleges and State universities in Illinois shall be exempt from paying this fee.) The application shall include:

A) Certification:

i) That all programs offered by the sponsor for CE credit shall comply with the criteria in subsection (c)(3) and all other criteria in this Section;

ii) That the sponsor shall be responsible for verifying full-time continuous attendance at each program and shall provide a certificate of attendance as set forth in subsection (c)(9);

iii) That, upon request by the Division, the sponsor shall submit evidence (e.g., certificate of attendance or course material) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance;

iv) That each sponsor shall submit to the Division written notice of program offerings, including program offerings of subcontractors, 30 days prior to course dates. Notice shall include the description, location, date and time of the program to be offered;

B) A copy of a sample program with faculty, course materials and syllabi.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in the practice of speech-language pathology or audiology;

B) Foster the enhancement of general or specialized speech-language pathology or audiology practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE program shall provide a mechanism for evaluation of the program and instructor by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs. All advertising, promotional materials, and certificates of attendance must identify the approved sponsor. The presenter of the program may also be identified but should be identified as a presenter. When an approved sponsor subcontracts with a presenter, the approved sponsor retains all responsibility for monitoring attendance, providing certificates of attendance and ensuring the program meets all the criteria established by the Act and this Part, including the maintenance of records.

6. All programs given by approved sponsors shall be open to all licensed speech-language pathologists, licensed audiologists and licensed speech-language pathology assistants and not be limited to members of a single organization or group.

7. To maintain approval as a sponsor, each shall submit to the Division by October 31 of each odd-numbered year a renewal application, a $250 fee and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given by the sponsor and by any subcontractor.

8. Certification of Attendance. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The sponsor's certificate of attendance shall contain:

A) The name, address and license number, if applicable, of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

9. The sponsor shall maintain attendance records for not less than 5 years.

10. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending the program.

11. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until the Division receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) CE Earned in Other Jurisdictions

1. If a licensee has earned CE hours offered in another jurisdiction not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out of state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $10 per hour late fee not to exceed $150. The Board shall review and recommend approval and disapproval of the program using the criteria set forth in subsection (c)(3).

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements shall file with the Division a renewal application along with the required fee set forth in Section 1465.75 of this Part, a statement setting forth the facts concerning non-compliance and request for waiver of the CE requirements on the basis of these facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, finds from the affidavit or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician;

C) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section, shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.90 Granting Variances

a) The Director may grant variances from this Part in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 35 Ill. Reg. 2002, effective January 20, 2011

68 Ill. Adm. Code 1465.95 Professional Conduct Standards

The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its finding of "unethical, unauthorized, or unprofessional conduct" within the meaning of Section 16 of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

a) Practicing, condoning, facilitating, or otherwise being involved in, any form of discrimination. The licensee should act to prevent and eliminate discrimination against any person or group on the basis of race, color, sex, sexual orientation, age, religion, national origin, marital status, political belief, mental or physical handicap, or any other preference or personal characteristic, condition or status;

b) Engaging in any action that violates or diminishes the civil or legal rights of clients;

c) Engaging in the sexual exploitation of clients, students or supervisees;

d) Engaging in or condoning sexual harassment, which is defined as unwelcome deliberate or repeated comments, gestures or physical contacts of a sexual nature;

e) Failing to offer all pertinent facts regarding services rendered to the client prior to administration of professional services. The purpose of informed consent is to insure a client's complete access to information pertaining to professional services. Examples include, but are not limited to, fees for services, length of treatment and utilization of consultants. The client's signature indicating receipt of pertinent information is strongly encouraged;

f) Failing to take appropriate steps to protect the privacy of a client and avoid unnecessary disclosures of confidential information;

g) Performing, or pretending to be able to perform, professional services beyond one's scope of practice and one's competency;

h) Failing to inform clients of the use of all experimental methods of treatment; safety precautions shall be adhered to by the licensee;

i) Failing to establish and maintain client records;

j) Deceptive, misleading or false representation. Licensees must assert and imply only credentials possessed and are responsible for correcting any misrepresentations of their credentials by others. Credentials include highest relevant degrees, accreditation of graduate programs, national voluntary certifications, government-issued certifications or licenses, professional membership, or any other credential that might indicate to the public specialized knowledge or expertise in speech-language pathology or audiology;

k) Submission of fraudulent claims for services to any person or entity including, but not limited to, health insurance companies or health service plans or third party payors;

l) Knowingly providing services to a client when the licensee's ability to practice is impaired. Causes of impairment may include, but are not limited to, the abuse of mood altering chemicals and physical or mental problems;

m) Permitting a student or supervisee under his/her supervision or control to perform, or permitting the student or supervisee to hold himself or herself out as competent to perform, services beyond the trainee's, intern's, or assistant's level of education, training and/or experience;

n) Allowing the student or supervisee to violate the rights of clients, permitting a trainee to violate confidentiality standards or failing to ensure that the client is informed that he/she is being treated by a student or supervisee;

o) Failing to inform prospective research subjects or their authorized representative fully of potential serious after effects of the research or failing to remove the after effects as soon as the design of the research permits;

p) The Division hereby incorporates by reference the "Code of Ethics" of the American Speech-Language-Hearing Association (2016), 2200 Research Boulevard, Rockville, MD 20850, and the "Code of Ethics" of the American Academy of Audiology (2018), 11730 Plaza American Dr., Suite 300, Reston, VA 20190, with no later amendments or editions.

History

• Source: Amended at 44 Ill. Reg. 13072, effective August 7, 2020

68 Ill. Adm. Code 1465.100 Basic Health Screenings

a) A speech-language pathologist or audiologist may perform basic health screenings as authorized in Section 8.3 of the Act.

b) The speech-language pathologist or audiologist must receive training appropriate to the screenings he or she performs from one of the following:

1. as part of the curriculum of an approved program;

2. through worksite training; or

3. through CE.

History

• Source: Added at 44 Ill. Reg. 13072, effective August 7, 2020

Part 1470 Clinical Social Work and Social Work Practice Act

68 Ill. Adm. Code 1470.5 Grandfather Provisions (repealed)

History

• Source: Repealed at 18 Ill. Reg. 2370, effective January 28, 1994

68 Ill. Adm. Code 1470.7 Temporary License (repealed)

History

• Source: Repealed at 18 Ill. Reg. 2370, effective January 28, 1994

68 Ill. Adm. Code 1470.10 Application for Licensure

Each applicant seeking original licensure under Section 7 of the Act shall file an application, with the Department of Financial and Professional Regulation-Division of Professional Regulation (Division), on forms provided by the Division.

a) The application for a licensed clinical social worker shall include:

1. either:

A) certification of graduation from a master's degree program in social work approved by the Division in accordance with Section 1470.30 and verification of completion of 3,000 hours of satisfactory supervised clinical professional experience as set forth in Section 1470.20; or

B) certification of graduation from a doctorate degree program in social work approved by the Division in accordance with Section 1470.30 and verification of completion of 2,000 hours of satisfactory supervised clinical professional experience as set forth in Section 1470.20;

2. proof of successful completion of the examination set forth in Section 1470.70. The examination scores shall be submitted to the Division directly from the reporting entity.;

A) If on or after January 1, 2019, an applicant has taken but has not successfully completed the examination set forth in Section 1470.70, the applicant may, as an alternative to passing the examination, provide proof of the completion of at least 3,000 hours of supervised professional experience that is obtained within the timeline established under Section 8.2(b) of the Act and after obtaining the education required in subsection (a). Supervised experience obtained as an alternative to passage of the examination shall be in addition to the supervised clinical experience required pursuant to subsection (a)(1). Supervised professional experience obtained as an alternative to passing the examination may consist of social services to individuals, groups or communities in any one or more of the fields of social casework, social group work, community organization for social welfare, social work research, social welfare administration, school social work, or social work education. Supervised professional experience may also include supervised clinical social work as described in Section 1470.20.

B) Supervision of professional experience required in subsection (a)(2)(A) may be performed by any one or combination of the following:

i) Licensed clinical social worker;

ii) Licensed clinical professional counselor;

iii) Licensed marriage and family therapist;

iv) Licensed clinical psychologist;

v) Licensed psychiatrist as defined in Section 1-121 of the Mental Health and Developmental Disabilities Code [405 ILCS 5/1-121];

vi) Licensed advanced practice psychiatric nurse as defined in Section 1-101.3 of the Mental Health and Developmental Disabilities Code [405 ILCS 5/1-101.3].

C) The 3,000 hours of experience required for the exam alternative must be made in the timeline established under Section 8.2(b) of the Act. Applicants have 3 years from the date of application to complete the application process. If the process has not been completed in 3 years, the application shall be denied, the fee shall be forfeited, and the applicant must reapply and meet the requirements in effect at the time of reapplication. (Section 7 of the Act.)

D) Beginning January 1, 2026, an applicant acquiring the examination alternative supervised professional experience must be a licensed social worker or licensed in this State for the practice of school social work prior to acquiring the supervised professional experience. (Section 8.2 of the Act)

3. the required fee set forth in Section 1470.55.

b) The application for a licensed social worker shall include:

1. either:

A) certification of graduation from a master's degree program of social work approved by the Division in accordance with Section 1470.30; or

B) certification of graduation from a baccalaureate degree program of social work approved by the Division in accordance with Section 1470.30 and verification of completion of 3 years of supervised professional experience in accordance with Section 1470.20;

2. the required fee set forth in Section 1470.55.

c) Individuals applying for a licensed social worker license who have successfully completed the Masters Association of Social Work Boards (ASWB) examination subsequent to October 1986 shall not be required to retake the Masters ASWB examination to be eligible for licensure.

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.20 Clinical Professional Experience

a) Persons applying for licensure as a licensed clinical social worker shall be required to complete supervised clinical professional experience pursuant to Section 9 of the Act and this Part.

1. Persons holding a master's degree in social work shall have completed 3,000 hours of satisfactory, supervised clinical professional experience subsequent to the receipt of the degree;

2. Persons holding a doctorate degree in social work shall have completed 2,000 hours of satisfactory, supervised clinical professional experience subsequent to the receipt of the degree;

3. The required number of hours may have been obtained in the following manner:

A) for full-time experience, a minimum of 30 hours per week but not more than 40 hours per week.

B) for part-time experience, not more than 29 hours per week.

4. Supervised experience shall be experience directly related to clinical social work practice as defined in Section 3(5) of the Act:

A) The supervisor shall have met with the applicant an average of at least 4 hours each month to discuss client cases and treatment procedures.

B) Until December 31, 1994, the supervisor shall have been a certified social worker registered under the Clinical Social Work and Social Work Practice Act (formerly Social Workers Registration Act) with clinical experience, a licensed clinical social worker, a diplomate in clinical social work, a designated member of the Academy of Certified Social Workers (ACSW), a Board certified psychiatrist, a licensed clinical psychologist, a supervisor from another state who is a clinical professional credentialed at the highest level required by that state or other appropriate clinical supervisor as approved by the Social Work Examining and Disciplinary Board (the "Board"). In determining other appropriate supervisor, the Board shall consider, but not be limited to, the following: unavailability of a person licensed under the Act, the setting in which the supervision took place, and the credentials and job responsibilities of the supervisor.

C) After January 1, 1995, only experience supervised by a licensed clinical social worker will be acceptable to meet the professional clinical experience requirement set forth in Section 1470.20(a). If supervision was in another jurisdiction in which clinical social workers are not licensed, the supervisor shall have been engaged in clinical social work and be credentialed at the highest level required by that jurisdiction.

D) The experience shall have been evaluated by the supervisor as satisfactory.

E) An applicant may contract with a licensed clinical social worker to provide supervision.

F) Supervision may be provided within an agency of employment or outside the agency.

G) Supervision may be paid or unpaid.

H) Supervision may be on an individual or group basis. When group supervision is provided the number of supervisees may not exceed five.

I) Professional clinical experience obtained while the applicant is located in Illinois must be supervised by an Illinois licensed social worker.

b) Persons applying for licensure as a social worker who have a baccalaureate degree in social work shall complete 3 years of supervised professional experience subsequent to obtaining the baccalaureate degree. For purposes of this subsection, supervised professional experience is that experience directly related to social work as defined in Section 3(9) of the Act. The experience shall be:

1. obtained under the direct supervision of a licensed social worker or licensed clinical social worker under the Clinical Social Work and Social Work Practice Act (formerly Social Workers Registration Act), a diplomate in clinical social work, a designated member of ACSW, or other appropriate supervisor as approved by the Board.

2. satisfactory as evaluated by the supervisor. The supervisor shall have met with the individual an average of at least 4 hours each month.

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.30 Approved Colleges, Universities, and Graduate Schools of Social Work Programs

a) Doctoral degrees shall be accredited by an accrediting agency recognized by the U.S. Department of Education.

b) The Division has determined that all baccalaureate and master's degree programs in social work that are accredited by the Council on Social Work Education, Canadian Association of Schools of Social Work, and the Council on Social Work Education by the Foreign Equivalency Determination Service of the Council on Social Work Education, are approved.

History

• Source: Amended at 37 Ill. Reg. 15904, effective October 11, 2013

68 Ill. Adm. Code 1470.40 Employer's Affidavit (repealed)

History

• Source: Repealed at 13 Ill. Reg. 13867, effective August 22, 1989

68 Ill. Adm. Code 1470.50 Applicant and Licensee Address of Record, Email Address of Record and/or Licensee Change of Name Information

All applicants and licensees shall:

a) provide a valid address and email address to the Division, which shall serve as the address of record and email address of record, respectively, at the time of application for licensure or renewal of a license; and

b) inform the Division of any change of address of record or email address of record within 14 days after such change either through the Division's website or by contacting the Department's licensure maintenance unit. (Section 7.3 of the Act)

History

• Source: Section repealed at 13 Ill. Reg. 13867, effective August 22, 1989; new Section added at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.55 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as a clinical social worker or social worker is $50. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Division or the designated testing service, shall result in the forfeiture of the examination fee.

2. The application fee for a license as a clinical social worker or social worker who is certified or licensed under the laws of another jurisdiction is $200.

3. The fee for application as a continuing education sponsor is $500. State agencies, State colleges and State universities in Illinois shall be exempt from this fee.

b) Renewal Fees

1. The fee for the renewal of a license shall be calculated at the rate of $30 per year.

2. The fee for renewal as a continuing education sponsor shall be calculated at the rate of $50 per year.

c) General Fees

1. The fee for the reinstatement of a license other than from inactive status that has been expired for less than 5 years is $50 plus payment of all lapsed renewal fees.

2. The fee for the restoration of a license that has been expired for more than 5 years is $200.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fee charged by the testing service.

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.60 Endorsement

Each applicant seeking licensure under Section 12.5 of the Act shall file an application, with the Division, on forms provided by the Division.

a) Application

1. The application for a licensed clinical social worker shall include:

A) either:

i) certification of graduation from a master's degree program in social work approved by the Division in accordance with Section 1470.30 and verification of completion of 3,000 hours of satisfactory supervised clinical professional experience subsequent to receipt of degree as set forth in Section 1470.20; or

ii) certification of graduation from a doctorate degree program in social work approved by the Division in accordance with Section 1470.30 and verification of completion of 2,000 hours of satisfactory supervised clinical professional experience subsequent to receipt of degree as set forth in Section 1470.20;

B) successful completion of the ASWB examination set forth in Section 1470.70 or completion of the examination alternative set forth in Section 1470.10; and

C) the required fee set forth in Section 1470.55.

2. for a licensed social worker:

A) either:

i) certification of graduation from a master's degree program of social work approved by the Division in accordance with Section 1470.30; or

ii) certification of graduation from a baccalaureate degree program of social work approved by the Division in accordance with Section 1470.30 and verification of completion of 3 years of supervised professional experience subsequent to receipt of degree in accordance with Section 1470.20; and

B) the required fee set forth in Section 1470.55.

b) The Division, upon recommendation of the Board, shall issue a license if a review of the application indicates that the application meets the requirements set forth in subsection (a)(1) or (2).

c) An individual seeking licensure under subsection (a)(1) who has been licensed at the independent level in another United States jurisdiction for 5 consecutive years without discipline is not required to submit proof of completion of the education, the supervised employment, or experience required in subsection (a)(1)(A). Individuals with 5 consecutive years of experience must submit certification of licensure from the jurisdiction in which the applicant practiced and must comply with all other licensing requirements including the payment of fees (see Section 12.5 of the Act);

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.70 Examinations

The examinations for licensed clinical social workers shall be the Association of Social Work Boards (ASWB) examinations.

a) Until December 31, 2021, an applicant for licensure as a licensed social worker will be required to take and pass the Masters ASWB examination. Beginning January 1, 2022, an applicant for licensure as a licensed social worker is not required to take an examination.

b) An applicant for licensure as a licensed clinical social worker will be required to take and pass the Clinical ASWB examination.

c) If on or after January 1, 2019, an applicant for licensure as a licensed clinical social worker has taken but not successfully completed the examination as set forth in subsection (b), the applicant may complete the examination alternative as provided in Section 1470.10.

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.80 Restoration

a) For any licensed clinical social worker who has a license that is inactive or expired for five years or less and has had no disciplinary action taken against the licensed clinical social worker's license in this State or in any other jurisdiction during the entire period of licensure, the following requirements for restoration under subsections (c) and (d) are suspended: proof of fitness, certification of active practice in another jurisdiction, and the payment of a fee or renewal fee. This suspension may only be used once by an individual.

b) A licensee seeking restoration of a license (licensed clinical social worker or licensed social worker) which has been on inactive status for five years or less shall have the license restored by making application to the Division and by paying the current renewal fee set forth in Section 1470.55. A licensee seeking restoration of a license shall be required to submit proof of 30 hours of continuing education in accordance with Section 1470.95. These CE hours shall be earned within the two years immediately preceding the restoration of the license.

c) A licensee seeking restoration of a license (licensed clinical social worker or licensed social worker) which has been expired for five years or less shall have the license restored by making application to the Division and paying the fee set forth in Section 1470.55(c)(1) plus all lapsed renewal fees pursuant to Section 1470.55. A licensee seeking restoration of a license shall be required to submit proof of 30 hours of continuing education in accordance with Section 1470.95. These CE hours shall be earned within the two years immediately preceding the restoration of the license.

d) A licensee seeking restoration of a license (licensed clinical social worker or licensed social worker) after it has expired or been placed on inactive status for more than five years shall file an application, on forms supplied by the Division, along with proof of 30 hours of continuing education in accordance with Section 1470.95 completed within the two years immediately preceding application for restoration, together with:

1. Either:

A) Sworn evidence of active practice in another jurisdiction. Such evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice; or

B) An affidavit attesting to military service as provided in Section 11 of the Act. If application is made within two years after discharge and if all other provisions of Section 11 of the Act are satisfied, the licensee will not be required to pay a restoration fee or any lapsed renewal fees; or

C) For licensed clinical social workers, proof of passage of the examination described in Section 1470.70 within the twelve months preceding application or proof of completion of the alternative to examination described in Section 1470.10; and

2. The required fees pursuant to Section 1470.55.

e) A licensee who is seeking restoration of a license after disciplinary action must complete all requirements of the disciplinary order and submit a petition for restoration to be adjudicated through the hearing process. As part of such petition the licensee shall submit evidence demonstrating rehabilitation to warrant the public trust as provided in Section 1470.98.

f) When the accuracy of any documentation or the relevance or sufficiency of the course work or experience submitted pursuant to subsections (a), (b), or (c) is questioned by the Division because of discrepancies or conflicts in information, information needing further clarification, and/or missing information, the licensee seeking restoration of a license (licensed clinical social worker or licensed social worker) will be required to:

1. provide such information as may be necessary; and/or

2. appear for an interview before the Board to explain such relevance or sufficiency, clarify information given or clear up any discrepancies in information.

History

• Source: Amended at 48 Ill. Reg. 17564, effective November 25, 2024

68 Ill. Adm. Code 1470.90 Renewals

a) Every license issued under the Act shall expire on November 30 of each odd-numbered year. The holder of a license may renew that license during the month preceding the expiration date of the license by paying the required fee set forth in Section 1470.55 and complying with the continuing education requirements set forth in Section 1470.95.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

History

• Source: Amended at 37 Ill. Reg. 15904, effective October 11, 2013

68 Ill. Adm. Code 1470.95 Continuing Education

a) Continuing Education Hours Requirements

1. Every licensee who applies for renewal of a license as a licensed social worker or licensed clinical social worker shall complete 30 hours of continuing education (CE) relevant to the practice of social work or clinical social work. At least 3 of the 30 hours must include content related to the ethical practice of social work and at least 3 of the 30 hours must include content related to cultural competence in the practice of social work. Additionally, CE must be obtained as set for in 68 Ill. Adm. Code 1130, Subpart E.

2. Beginning with the renewal period ending November 30, 2027, for all currently licensed clinical social workers, and the second renewal after initial licensure of a clinical social worker, 6 of the required 30 hours of CE shall be in clinical supervision training. This is a one-time (lifetime) requirement.

3. A prerenewal period is the 24 months preceding November 30 of each odd-numbered year.

4. CE requirements shall be the same for licensed social workers and licensed clinical social workers.

5. One CE hour shall equal 50 minutes of attendance.

6. Courses that are part of the curriculum of a university, college or other educational institution shall be allotted CE credit at the rate of 15 CE hours for each semester hour or 10 CE hours for each quarter hour of school credit awarded.

7. A renewal applicant shall not be required to comply with CE requirements for the first renewal of an Illinois license.

8. Social workers or clinical social workers licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

b) Approved Continuing Education (CE)

1. CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in an in-person program or course ("program") that is offered or sponsored by an approved CE sponsor who meets the requirements set forth in subsection (c), except for those activities provided in subsections (b)(2), (3) and (4).

2. CE credit also may be earned by verified completion (e.g., certificate of attendance or certificate of completion) of a remote program (e.g., self-study, book-study, or computer/online based course) that is offered by an approved sponsor who meets the requirements set forth in subsection (c). Each remote course shall include an examination.

3. CE credit may be earned through postgraduate training programs (e.g., extern, residency or fellowship programs) or completion of social work related courses that are a part of the curriculum of a college, university or graduate school of social work.

4. CE credit may be earned for verified teaching in a college, university or graduate school of social work approved in accordance with Section 1470.30 and/or as an instructor of CE programs given by approved sponsors. Credit will be applied at the rate of 1.5 hours for every hour taught and only for the first presentation of the program (i.e., credit shall not be allowed for repetitious presentations of the same program).

5. CE credit may be earned for authoring papers, publications or books and for preparing presentations and exhibits. The preparation of each published paper, book chapter or presentation dealing with social work or clinical social work may be claimed as 5 hours of credit. A presentation must be before a professional audience. Five credit hours may be claimed for only the first time the information is published or presented.

c) Approved CE Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) The National Association of Social Workers (NASW) and its affiliates;

B) The Association of Social Work Boards (ASWB) and its affiliates;

C) American Association for Marriage and Family Therapy or its affiliates;

D) Employers licensed under the Hospital Licensing Act [210 ILCS 85];

E) Professional Counseling Continuing Education Sponsors approved by the Division in accordance with the rules for the administration of the Professional Counselor and Clinical Professional Counselor Licensing and Practice Act [225 ILCS 107] (68 Ill. Adm. Code 1375.220);

F) Clinical Psychologist Continuing Education Sponsors approved by the Division in accordance with the rules for the administration of the Clinical Psychologist Licensing Act [225 ILCS 15] (68 Ill. Adm. Code 1400.85);

G) Licensed Marriage and Family Therapy Continuing Education Sponsors approved by the Division in accordance with the rules for the administration of the Illinois Marriage and Family Therapy Licensing Act [225 ILCS 55] (68 Ill. Adm. Code 1283.110);

H) Any other regionally accredited school, college or university, community college or State or federal agency that provides CE in a form and manner consistent with this Section; or

I) Any other person, firm, association, corporation or other group that has been approved and authorized by the Division pursuant to subsection (c)(2) upon recommendation of the Board to coordinate and present continuing education courses or programs.

2. Entities seeking approval as CE sponsors pursuant to subsection (c)(1)(C) shall file an application, on forms supplied by the Division, along with the application fee specified in Section 1470.55. The applicant shall certify on the application the following:

A) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (c)(3) and all other criteria in this Section. A sponsor shall be required to submit a CE program with course materials for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at or completion of each program and provide a certificate of attendance or completion as set forth in subsection (c)(9);

C) That, upon request by the Division, the sponsor will submit evidence (e.g., certificate of attendance or completion or course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Division has reason to believe that there is not full compliance with the statute and this Part and that this information is necessary to ensure compliance.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the license in the practice of social work or clinical social work;

B) Foster the enhancement of general or specialized social work or clinical social work practice and values;

C) Be developed and presented by persons with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. Each CE program shall provide a mechanism for evaluation of the program by the participants. The evaluation may be completed on-site immediately following the program presentation or an evaluation questionnaire may be distributed to participants to be completed and returned by mail or email. The sponsor and the instructor, together, shall review the evaluation outcome and revise subsequent programs accordingly.

5. An approved sponsor may subcontract with individuals and organizations to provide approved programs.

6. All programs given by approved sponsors shall be open to all licensed social workers and licensed clinical social workers and not be limited to members of a single organization or group.

7. Continuing education credit hours used to satisfy the CE requirements of another jurisdiction may be applied to fulfill the CE requirements of the State of Illinois.

8. To maintain approval as a sponsor, each sponsor shall submit to the Division, by November 30 of each odd-numbered year, a renewal application, the renewal fee specified in Section 1470.55 and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given.

9. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or completion. The sponsor's certificate shall contain:

A) The name, address and license number of the sponsor;

B) The name and address of the participant;

C) A brief statement of the subject matter;

D) The number of hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

10. The sponsor shall maintain attendance records for not less than 5 years.

11. The sponsor shall be responsible for assuring that no renewal applicant shall receive CE credit for time not actually spent attending or completing the program.

12. Upon the failure of a sponsor to comply with any of the foregoing requirements, the Division, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall thereafter refuse to accept for CE credit attendance at or participation in any of that sponsor's CE programs until the Division receives assurances of compliance with this Section.

13. Notwithstanding any other provision of this Section, the Division or Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with requirements of this Section.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsections (a) and (b).

2. The Division may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance or certificate of completion). This additional evidence shall be required in the context of the Division's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing and may request an interview with the Board. At that time, the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

e) Continuing Education Attended in Other Jurisdictions

1. If a licensee has attended CE hours offered in another state or territory not given by an approved sponsor for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an out-of-state continuing education approval form, along with a $25 processing fee, prior to participation in the program or at least 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in subsection (c)(3).

2. If a licensee fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval form with the $25 processing fee, plus a $10 per hour late fee, not to exceed $150. The out-of-state CE program shall be reviewed and approved or disapproved using the criteria set forth in subsection (c)(3).

3. CE completed remotely whether live or asynchronous (e.g., self-study, book-study, or computer/online-based course) is not eligible for out-of-state CE credit. Such programs must be provided by an approved CE provider as set forth in subsection (c)(1).

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license without having fully complied with these CE requirements may file with the Division a renewal application along with the required fee set forth in Section 1470.55; a statement setting forth the facts concerning non-compliance; and a request for waiver of the CE requirements based upon those facts. A request for waiver shall be made prior to the renewal date. If the Division, upon the written recommendation of the Board, good cause has been shown for granting a waiver, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied.

2. Good cause shall be determined on an individual basis by the Board and is defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable pre-renewal period because of:

A) Full-time service in the armed forces of the United States of America during all or a substantial part of the pre-renewal period;

B) A temporary incapacitating illness documented by a licensed physician. A second, consecutive request for a CE waiver pursuant to this subsection (f)(2)(B) shall be prima facie proof that the renewal applicant has a physical or mental illness, including, but not limited to, deterioration through the aging process or loss of cognitive or motor skills that results in the licensee's inability to practice social work or clinical social work with reasonable judgment, skill, or safety, in violation of Section 19(1)(r) of the Act, and shall be grounds for denial of the renewal application or other disciplinary or non-disciplinary action; or

C) Any other extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Division.

History

• Source: Amended at 49 Ill. Reg. 10386, effective August 4, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1470 Clinical Social Work and Social Work Practice Act

68 Ill. Adm. Code 1470.96 Unethical, Unauthorized and Unprofessional Conduct

a) The Division may suspend or revoke a license, refuse to issue or renew a license or take other disciplinary action based upon its finding of dishonorable, unethical, or unprofessional conduct within the meaning of Section 19 of the Act, which is interpreted to include, but is not limited to, the following acts or practices:

1. Practicing or offering to practice beyond one's competency (for example, providing services and techniques for which one is not qualified by education, training and experience);

2. Revealing facts, data or information relating to a client or examinee, except as allowed under Section 16 of the Act or under the Mental Health and Developmental Disabilities Confidentiality Act [740 ILCS 110]. The release of information "with the consent of the client" as provided for in Section 16 of the Act is interpreted to mean that the social worker, prior to the release of the information, obtained written consent and made certain that the client understood the possible uses or distributions of the information. Case history material may be used for teaching or research purposes or in textbooks or other literature, provided that proper precautions are taken to conceal the identity of the client(s) or examinee(s) involved;

3. Making gross or deliberate misrepresentations or misleading claims as to the licensee's professional qualifications or of the efficacy or value of his/her treatments or remedies, or those of another practitioner;

4. Failing to inform prospective research subjects or their authorized representative fully of potential serious after effects of the research or failing to remove the after effects as soon as the design of the research permits;

5. Refusing to divulge to the Division techniques or procedures used in the licensee's professional activities upon request;

6. Directly or indirectly giving to or receiving from any person, firm or corporation any fee, commission, rebate or other form of compensation for any professional services not actually rendered. Social workers shall not participate in illegal fee-splitting arrangements, nor shall they give or accept kickbacks for referrals. However, it is not unethical for social workers to utilize referral services for which a fee is charged, nor to participate in contractual arrangements under which they agree to discount fees;

7. Impersonating another person holding a clinical social work or social work license or allowing another person to use the licensee's license;

8. Committing any dishonest, corrupt or fraudulent act that is substantially related to the functions or duties of a social worker providing services or supervising services;

9. Committing any act of sexual misconduct, sexual abuse or sexual relations with one's client, patient, student supervisee or with an ex-client within 24 months after termination of treatment;

10. Entering a treatment relationship in which professional judgment may be compromised by prior association with or knowledge of a client;

11. Permitting an intern or trainee under the social worker's supervision to perform, or to pretend to be competent to perform, professional services beyond the trainee's or intern's level of training. Disclosure of the intern's status and the name of the supervisor is required;

12. Submitting fraudulent claims for services to any person or entity including, but not limited to, health insurance companies or health service plans or third party payors;

13. Failing to disclose conflicts of interests, dual relationships between social worker and clients, and/or obligations associated with service that might affect the client's decision to enter into or continue the relationship;

14. Discriminating based on race, gender, religion, national origin, political affiliation, social or economic status, choice of lifestyle or sexual orientation;

15. Knowingly providing services to a client when the social worker's objectivity or effectiveness is impaired. A social worker who becomes impaired and unable to function according to the standards of practice may be subject to disciplinary action if an active practice continues. Causes of impairment may include, but are not limited to, the abuse of mood altering chemicals and physical or mental problems;

16. Failing to insure that all records and written data are stored using security measures that prevent access to records by unauthorized persons. Social workers are responsible for insuring that the content and disposition of all records are in compliance with all relevant State laws and rules.

b) The Division hereby incorporates by reference:

1. the "Code of Ethics of the National Association of Social Workers", National Association of Social Workers, 750 First Street NE, Suite 700, Washington, D.C. 20002-4241, June 1, 2021, with no later amendments or editions;

2. the "Code of Ethics", Clinical Social Work Association, P.O. Box 105, Granville, Ohio 43023, April 2016, with no later amendments or editions.

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.97 Independent Practice of Clinical Social Work

a) Licensed social workers may not engage in the independent practice of clinical social work without a clinical social worker license. Independent practice of clinical social work means providing the services of or engaging in the practice of clinical social work, as defined in Section 3(5) of the Act, by an individual who regulates and is responsible for the individual's own practice or treatment procedures.

b) Licensed social workers may provide clinical social work services as set forth in Section 3(5) of the Act. When engaging in or providing clinical social work services as set forth in Section 3(5) of the Act, a licensed social worker may only do so under the order, control, and full professional responsibility of a licensed clinical social worker, a licensed clinical psychologist, or a psychiatrist, as defined in Section 1-121 of the Mental Health and Developmental Disabilities Code [405 ILCS 5] and shall not regulate or be responsible for the licensed social worker's own practice or treatment procedures. Only experience supervised as provided for in Section 1470.20(a) is acceptable for the supervised clinical professional experience required for licensure as a licensed clinical social worker.

c) When providing clinical social work services as set forth in Section 3(5) of the Act (in the independent practice of clinical social work), a licensed social worker shall always operate and represent themself as an employee of the independent practice and may not work as an independent contractor as defined by Internal Revenue Service regulations (see 26 CFR 31.3121(d)-1).

d) A licensed social worker shall not, without a license as a clinical social worker issued by the Division:

1. in any manner hold himself or herself out to the public as a clinical social worker or licensed clinical social worker under the Act;

2. use the title "clinical social worker" or "Licensed Clinical Social Worker"; or

3. offer to render to individuals, corporations, or the public clinical social work services if the words "Licensed Clinical Social Worker" or "clinical social work" are used to describe the person offering to render or rendering the services or to describe the services rendered or offered to be rendered. (Section 10 of the Act)

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.98 Rehabilitation

Upon written application to the Division for restoration of a license or for any other relief following discipline, the Division shall consider, but is not limited to, the following in determining if the person is sufficiently rehabilitated to warrant the public trust:

a) The seriousness of the offense that resulted in the disciplinary action being considered;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the applicant has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the applicant;

e) Continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered;

f) The results of a professional competency examination designated by the Division and paid for by the applicant;

g) Written reports and oral testimony by peer review committees or other persons relating to the skill, knowledge, honesty, integrity and contriteness of the applicant;

h) Restitution to injured parties;

i) Future plans of the applicant;

j) Involvement of the applicant's family and friends in the applicant's rehabilitation process;

k) A written report of a physical or mental examination given by a practitioner selected by the Division and paid for by the applicant;

l) Any other information evidencing rehabilitation that would bear upon the applicant's request for relief or restoration of a license;

m) Whether the order imposing discipline was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the discipline;

n) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

o) Compliance with any probationary terms imposed.

History

• Source: Added at 48 Ill. Reg. 8825, effective June 4, 2024

68 Ill. Adm. Code 1470.100 Granting Variances

The Director of the Division of Professional Regulation (Director) with the authority delegated by the Secretary may grant variances from this Part in individual cases in which he or she finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 48 Ill. Reg. 8825, effective June 4, 2024

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.10 Statutory Authority (repealed)

History

• Source: Repealed at 15 Ill. Reg. 7081, effective April 29, 1991

68 Ill. Adm. Code 1480.20 Licensure (repealed)

History

• Source: Repealed at 15 Ill. Reg. 7081, effective April 29, 1991

68 Ill. Adm. Code 1480.30 Approved Education Qualifications (repealed)

History

• Source: Repealed at 15 Ill. Reg. 7081, effective April 29, 1991

68 Ill. Adm. Code 1480.40 Approved Experience Qualifications (repealed)

History

• Source: Repealed at 15 Ill. Reg. 7081, effective April 29, 1991

68 Ill. Adm. Code 1480.45 Renewals (Renumbered)

History

• Source: Section 1480.45 renumbered to Section 1480.190, new Section 1480.190 adopted at 15 Ill. Reg. 7081, effective April 29, 1991

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.50 Restoration of Expired Certificate (repealed)

History

• Source: Repealed at 15 Ill. Reg. 7081, effective April 29, 1991

68 Ill. Adm. Code 1480.60 Granting of Variances (renumbered)

History

• Source: Section 1480.60 renumbered to Section 1480.220, new Section 1480.220 adopted at 15 Ill. Reg. 7081 effective April 29, 1991

68 Ill. Adm. Code 1480.110 Approved Structural Engineering Program

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) shall, upon the recommendation of the Structural Engineering Board ("Board"), approve an applicant's engineering curriculum if the degree is from an educational institution that is legally recognized and authorized by the jurisdiction in which it is located to confer a baccalaureate degree in engineering.

b) An applicant shall have at a minimum, conferral of a baccalaureate degree in engineering of at least 4 academic years and provides integration of the educational experience with the ability to apply the knowledge gained to the identification and solution of practical problems.

c) An applicant shall have passed a minimum of 18 semester hours, or their equivalent (e.g., 27 quarter hours) of courses in the analysis, behavior, and design of structural elements and systems. The required coursework may be obtained from a combination of any of the following levels of education, baccalaureate, master, or PhD. The required 18 semester hours, or their equivalent (e.g., 27 quarter hours) may include, but not be limited to:

1. Structural analysis courses such as determinate and indeterminate structures, stability and finite element methods; and

2. Structural design courses such as structural steel, reinforced concrete, prestressed concrete, foundation, masonry, and wood engineering.

d) Courses such as mechanics (statics and dynamics), mechanics of materials, properties of materials, and soil mechanics shall not be included in the minimum 18 semester hours.

e) A senior level project course may qualify for use toward the requirement described in subsection (c) if the applicant was in charge of the structural engineering component of the project and submits a project summary of the individual's specific role on the project.

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.120 Definition of a Non-Approved Program

a) A Degree with curriculum of at least four academic years, leading to the conferral of:

1. A baccalaureate degree accredited by the Engineering Accreditation Commission (EAC) of the Accreditation Board for Engineering and Technology (ABET); or

2. An architectural degree accredited by the National Architectural Accrediting Board (NAAB); or

3. A related science baccalaureate degree that includes the indicated minimum number of semester hours in at least the following subjects (courses may be completed prior to, concurrent with, or subsequent to receiving the baccalaureate degree):

A) Mathematics (beyond trigonometry) – 15 hours.

B) Basic Sciences (Physics and Chemistry) – 15 hours.

C) Additional Sciences and/or Engineering Sciences (with a minimum of 9 hours in structural analysis/design) – 30 hours.

b) In evaluating the acceptability of an applicant's non-approved degree, the Board shall consider courses taken to attain a graduate degree in engineering and/or additional course credits in mathematics, science or engineering as education, when the course work of an applicant with a baccalaureate degree fails to satisfy the requirements of subsection (a). Education considered in this manner shall not also be credited as engineering experience.

c) The Division, upon the recommendation of the Board, has determined that an applicant who has gained a baccalaureate degree accredited by the Engineering Technology Accreditation Commission (ETAC) of ABET, may apply under this Section; however, engineering technology courses shall not be accepted toward meeting the educational requirements for a non-approved program in accordance with this Section.

d) Mathematics shall be beyond trigonometry, and include differential and integral calculus, and differential equations at the baccalaureate level. Mathematics may also include, but not be limited to, the study of probability, statistics, numerical analysis, and advanced calculus. Courses in computer usage and/or programming may not be used to satisfy the mathematics requirement.

e) Basic sciences shall include basic physics and chemistry, and may also include advanced physics and chemistry.

f) Additional Sciences and/or Engineering Sciences

1. Additional sciences courses have their roots in mathematics and basic sciences but carry the knowledge toward creative application. Such subjects include, but are not limited to, geology, geography, dendrology, astronomy, biology, and soil mechanics.

2. Engineering sciences courses have their roots in mathematics and basic sciences but carry knowledge further toward creative application of engineering principles. Approved engineering courses include, but are not limited to, structural design, structural analysis, mechanics, thermodynamics, heat transfer, electrical and electronic circuits, material science, transport phenomena, engineering economics, and computer science (other than computer programming skills).

History

• Source: Amended at 47 Ill. Reg. 946, effective January 5, 2023

68 Ill. Adm. Code 1480.130 Approved Experience

a) Every application shall be reviewed by the Division or the Board to determine whether the applicant's experience meets the requirements described in this Section. Approved experience, other than in accordance with subsection (a)(1)(A), shall have been acquired after conferral of the baccalaureate degree.

1. Credit for Graduate Study:

A) One year of experience shall be given for completion of graduate study resulting in conferral of a master's degree with an emphasis in structural engineering from a U.S. university, including as part of a combined or dual degree program where the baccalaureate degree requirements are being met simultaneously with the master's degree requirements. The course of study shall include a minimum of 12 semester hours, or their equivalent (e.g., 18 quarter hours), of structural analysis, behavior, or design courses.

B) One year of experience shall be given for completion of graduate study resulting in conferral of a doctoral degree with an emphasis in structural engineering from a U.S. university and a course of study that includes a minimum of 12 semester hours, or their equivalent (e.g., 18 quarter hours), of structural analysis, behavior, or design courses beyond a master's degree. Two years of experience shall be given for completion of graduate study resulting in conferral of a doctoral degree with an emphasis in structural engineering from a U.S. university and a course of study that includes a minimum of 24 semester hours, or their equivalent (e.g., 36 quarter hours), of structural analysis, behavior, or design courses without a master's degree.

C) The maximum credit for graduate study shall be two years.

D) If coursework from a post-graduate degree is used to satisfy the education requirement, the applicable post-graduate degree shall not also be credited as structural engineering experience.

2. Credit for one year of structural engineering experience shall be given for a graduate of a university certified cooperative program.

A) An internship shall not qualify for cooperative program credit;

B) The cooperative program shall consist of supervised industrial or field training to last at least one academic year and alternate with semesters of full-time academic education;

C) Applicants claiming credit for participation in the university cooperative program shall submit an official transcript from the university reflecting the university credit for completion of the program; and

D) All experience must be verified, on forms provided by the Division, by the supervising engineer who is licensed to practice structural engineering.

3. Credit for all required experience shall be given for actual experience in the practice of structural engineering under the employ or immediate supervision of an engineer legally practicing structural engineering. Acceptable experience shall be within the definition of the practice as set forth in Section 5 of the Structural Engineering Practice Act of 1989 ("Act") [225 ILCS 340/5], and shall require the application of technical knowledge and structural engineering principles.

4. All experience shall be progressive in nature and the applicant must demonstrate growth in quality, responsibility and the capability of making independent technical decisions, and be held accountable for the performance of the applicant's duties.

5. Credit for a maximum of three years of the experience required for licensure shall be given for the full-time teaching of upper division junior/senior courses or graduate courses in structural engineering as a part of, or in conjunction with, an approved engineering curriculum as set forth in Section 1480.110. An academic year of full-time teaching (2 semesters, or 3 quarters) at a level of assistant professor, or higher, shall be considered equivalent to 6 months of the experience required for licensure. This teaching experience shall be fully documented, and certified by an affidavit from the department chairman, or dean, of the engineering curriculum involved.

6. All experience must be verified and submitted on forms provided by the Division or as part of a National Council of Examiners for Engineering and Surveying ("NCEES") Record.

7. Experience gained outside of the U.S. shall be accompanied by certified documents detailing the requirements to legally practice structural engineering in that country and proof that the supervisor met those requirements at the time of supervision.

A) The applicant, at their expense and if necessary, is responsible for providing translation of documents into English for review by the Board.

B) A maximum of two years of experience gained in this manner shall be awarded, unless the experience is part of a recognized NCEES Mutual Recognition Agreement ("NCEES MRA"), as specified in Section 1480.170(c).

b) Experience requirement to be licensed as a Structural Engineer:

1. For a graduate from an approved program, four years of acceptable experience is required.

2. For a graduate from a non-approved program, eight years of acceptable experience is required.

History

• Source: Amended at 50 Ill. Reg. 1961, effective January 20, 2026

68 Ill. Adm. Code 1480.135 Application for Enrollment as a Structural Engineer Intern by Acceptance of Examination

a) An applicant who is in the senior year of an approved engineering baccalaureate degree as set forth in Section 1480.110, may sit for the Fundamentals of Engineering exam (Part I) and then submit the application, required fee as specified in Section 1480.195, and an official transcript showing conferral of the baccalaureate degree within 12 months after sitting for the exam.

b) An applicant who is either a graduate of an approved engineering baccalaureate degree as set forth in Section 1480.110, or a graduate of a non-approved baccalaureate degree as set forth in Section 1480.120, may sit for the Fundamentals of Engineering exam (Part I) and then submit the application, required fee as specified in Section 1480.195 and an official transcript showing conferral of the baccalaureate degree.

c) Applicants who received their education in a foreign country other than Canada, shall have the education evaluated at their expense. Applicants shall obtain the forms from NCEES Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607. Evaluations completed prior to October 30, 2006 from Engineering Credentials Evaluation International (ECEI) are also accepted. The Board has only approved NCEES and ECEI as evaluators for degrees. The Board will review all transcripts and the evaluation submitted to the Division to determine if the education meets the requirements set forth in Sections 1480.110 or 1480.120.

d) Upon receipt of the application and all supporting documentation in complete order, all files will be presented to the Board for evaluation of the required education based on the criteria specified in Sections 1480.110 or 1480.120.

1. Once the applications have been approved, those persons will be notified of their enrollment as a structural engineer intern.

2. Applicants who are reviewed by the Board and not approved, based on requirements specified in this Section, shall be deferred enrollment as an Illinois structural engineer intern until applicant meets the requirements.

e) If an applicant fails to submit all required items for licensure under the Act within three years after filing an application, the application shall expire and be denied. The applicant may, submit a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application. (See 225 ILCS 340/9.)

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

68 Ill. Adm. Code 1480.140 Application for Licensure by Acceptance of Examination

a) An applicant shall have acquired the experience required by Section 1480.130 and passed the Fundamentals of Engineering (Part I) and the Principles and Practice of Engineering ("PE") Structural (Part II) examinations in compliance with Section 1480.150 prior to making application to the Division.

b) An applicant must satisfy one of the following options when applying:

1. Applicant Enrolled as an Illinois Structural Engineer Intern. An applicant who is enrolled as an Illinois structural engineer intern shall file an application on forms supplied by the Division and shall include, in addition to the requirements of Section 9 of the Act [225 ILCS 340/9], the following:

A) An official copy of the applicant's Illinois structural engineer intern certificate indicating prior Board approval of the baccalaureate degree and passage of Part I of the required examinations.

B) Official certification for successful passage of Part II of the examination requirement as specified in Section 1480.150.

C) Experience verification forms completed by the supervisor, indicating the required experience earned as specified in Section 1480.130.

i) Applicants desiring to use post-graduate degrees as experience credit as specified in Section 1480.130 must submit an official conferred transcript for review and acceptance.

ii) Applicants claiming credit for participation in a cooperative program, as described in Section 1480.130(a)(2), must submit certification of participation with a brief description of the program, from the university and verification of supervision.

D) The required fee specified in Section 1480.195.

E) Certification attesting the applicant has read and understands that Act and this Part.

F) In lieu of the documentation specified in subsection (b)(1)(A), (B), and (C), an applicant may submit a current NCEES Record.

2. Applicant Not Enrolled as an Illinois Structural Engineer Intern. An applicant not enrolled as an Illinois structural engineer intern shall file an application on forms supplied by the Division and shall include, in addition to the requirements of Section 9 of the Act [225 ILCS 340/9], the following:

A) An official transcript showing conferral date for a degree from an approved structural engineering program as specified in Section 1480.110 or a non-approved program as specified in Section 1480.120.

B) Official certification for successful passage of the required examinations for licensure as specified in Section 1480.150.

C) Experience verification forms completed by the supervisor, indicating the required experience earned as specified in Section 1480.130.

i) Applicants desiring to use post-graduate degrees as experience credit as specified in Section 1480.130 must submit an official conferred transcript for review and acceptance.

ii) Applicants claiming credit for participation in a cooperative program, as described in Section 1480.130(a)(2), must submit certification of participation with a brief description of the program, from the university and verification of supervision.

D) The required fee specified in Section 1480.195.

E) Certification attesting the applicant has read and understands the Act and this Part.

F) In lieu of the documentation specified in subsection (b)(2)(A), (B) and (C), an applicant may submit a current NCEES Record.

c) If an applicant has ever been licensed to practice engineering in another jurisdiction, certification from the jurisdiction of original licensure and any other jurisdiction in which the applicant is or has ever been licensed, including the following:

1. The date of issuance of the applicant's license and the current status of the license;

2. The basis of licensure and a description of the examination by which the applicant was licensed, if any; and

3. Whether the records of the licensing authority contain any record of disciplinary action taken or pending against the applicant.

d) Applicants not enrolled as a structural engineer intern in Illinois who received their baccalaureate education in a foreign country other than Canada, shall have the education evaluated at their expense. Applicants shall obtain the forms from NCEES Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607. Evaluations completed prior to October 30, 2006 from Engineering Credentials Evaluation International (ECEI) are also accepted. The Board has only approved NCEES and ECEI as evaluators for degrees. The Board will review all transcripts and the evaluation submitted to the Division to determine if the education meets the requirements set forth in Sections 1480.110 and 1480.120.

e) Upon receipt of the application and all supporting documentation in complete order,

1. The applicant's file will be presented to the Board for evaluation of the required education, examinations and experience as specified in this Section. Once the application has been approved, those persons if otherwise qualified, shall be granted a license to practice structural engineering in this State.

2. Applicants who are reviewed by the Board and not approved, based on requirements specified in this Section, shall be deferred licensure as an Illinois structural engineer until applicant meets the requirements.

f) If an applicant fails to submit all required items for licensure under the Act within three years after filing an application, the application shall expire and be denied. The applicant may, submit a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application. (See 225 ILCS 340/9.)

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.145 Seal and Signature Requirements

a) Every licensed structural engineer shall have a reproducible seal or facsimile, which may be computer generated, the impression of which shall contain the name, the license number of the structural engineer, and the words "Licensed Structural Engineer State of Illinois". A structural engineer shall seal all documents prepared by or under the direct supervision and control of the structural engineer. Any document that bears the name of a professional design firm, rather than bearing the name of the individual licensed structural engineer responsible for the document, shall be deemed an invalid seal. The individual licensee's written signature and date of signing, along with the date of license expiration, shall be placed adjacent to the seal. The licensee may provide, at the licensee's sole discretion, an original signature in the licensee's handwriting, a scanned copy of the document bearing an original signature, or a signature generated by a computer.

b) All technical submissions issued by a structural engineering firm, corporation, limited liability company, professional limited liability company or partnership are required to bear the corporate or assumed business name and design firm registration number, in addition to the seal requirements.

c) A suggested facsimile of the design and lettering of the seal is found in Section 1480.ILLUSTRATION A.

History

• Source: Added at 47 Ill. Reg. 946, effective January 5, 2023

68 Ill. Adm. Code 1480.150 Examination

a) The examination for licensure as a structural engineer shall be divided into two parts. The examination administered by the Division shall be provided by NCEES. The specific examination content shall be as determined by periodic evaluations of the test specifications by NCEES.

1. Part I – NCEES Fundamentals of Engineering ("FE") Examination. This examination shall consist of problems or other examining techniques designed to evaluate the applicant's knowledge of the basic and engineering sciences and related subjects normally considered as the fundamentals of engineering.

2. Part II – NCEES Principles and Practice of Engineering ("PE") Structural Examination. This examination replaces the 16-hour Structural examination. This examination shall consist of two components: the Vertical Forces (gravity/other) and Incidental Lateral component and the Lateral Forces (wind/earthquake) component. Each component shall have independent "breadth" and "depth" sections. An applicant must receive acceptable results for each section on both components to pass the Structural Examination. The problems may include, but not be limited to, bridges, buildings, foundations, and the practice of structural engineering as set forth in Section 5 of the Act [225 ILCS 340/5].

3. An applicant may sit for each section of a component in separate exam administrations but must receive acceptable results for each section on both components within the timeframe approved by NCEES. If both components are not satisfactorily completed within the timeframe approved by NCEES, the applicant shall be required to retake the first component.

4. Part I of the examination shall be waived for an applicant who is enrolled as an Illinois structural engineer intern or an applicant who passed the fundamentals of engineering examination administered under the authority of the Professional Engineering Practice Act of 1989 or by another jurisdiction.

b) A state constructed Structural III examination shall not be accepted towards meeting the examination requirements for licensure.

c) The NCEES 8-hour Principles & Practice of Engineering Civil/Structural examination shall not be accepted towards meeting the examination requirement for licensure as a structural engineer.

d) Both components of the PE Structural examination must be taken in the same depth – buildings or bridges.

e) The scoring of the examinations and determination of scores shall be as approved by NCEES.

f) Separate scores shall be given for the FE and the PE Structural examinations. All scores shall be graded as pass or fail. Once an applicant fails a part of the examination, that Part shall not be waived.

g) Post-administration access to, or review of, examination materials by an examinee or an examinee's representative shall be in accordance with NCEES policy.

h) Retake of Examination

1. Applicants shall be required to retake only the part on which a passing score was not achieved.

2. If an applicant fails to pass an examination for licensure under this Act within three years after filing the application, the application shall be denied. However, the applicant may thereafter make a new application for examination, accompanied by the required fee (See Section 1480.195). New applications shall include proof of meeting the qualifications for examination in effect at the time of the new application except as provided for in subsection (h)(1).

i) Successful scores of previously passed Parts of the examination shall be accepted for the purpose of licensure provided the applicant has met all other requirements for licensure as outlined in the Act and this Part. For these purposes, the most recent score on a Part shall be the score of record. In no circumstances shall the Division accept a previous passing score on a part for an applicant whose score of record is a failing score.

j) Examinations will be in a computer-based format. Examinees will be provided one attempt per testing window when a particular exam part or section is offered by NCEES. Applicants shall register directly with NCEES to sit for the examination.

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

68 Ill. Adm. Code 1480.160 Restoration

a) A licensee seeking restoration of a license that has expired for less than 5 years shall have the license restored upon application on forms provided by the Division, proof of 30 hours of continuing education completed in accordance with Section 1480.185 within 2 years prior to the date of submitting the application, payment of the required fee specified in Section 1480.195, and certification attesting the applicant has read and understands the Act and this Part.

b) A licensee seeking restoration of a license that has been placed on inactive status for less than 5 years shall have the license restored upon application on forms provided by the Division, proof of 30 hours of continuing education completed in accordance with Section 1480.185 within 2 years prior to the date of submitting the application, payment of the current renewal fee specified in Section 1480.195, and certification attesting the applicant has read and understands the Act and this Part.

c) A licensee seeking restoration of a license after it has expired or been placed on inactive status for more than 5 years shall file an application, on forms provided by the Division, for review by the Board and proof of 30 hours of continuing education completed in accordance with Section 1480.185 within 2 years prior to the date of submitting the application, together with the fee required by Section 1480.195, and certification attesting the applicant has read and understands this Part. The licensee shall also submit:

1. Sworn evidence of active practice in another jurisdiction for at least the last 2 years. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of the active practice;

2. An affidavit attesting to military service, as provided in Section 14 of the Act;

3. Proof of passage of the NCEES structural examination (See Section 1480.150) within the 5 years preceding restoration; or

4. Other evidence of continued competence in structural engineering, shall be satisfied by one of the following:

A) Employment in a responsible capacity by a licensed structural engineer;

B) Lawfully practicing structural engineering as an employee of a governmental agency;

C) Teaching structural engineering courses at a college or university; or

D) Submitting a written proposal to the Division for review by the Board of college level structural engineering courses, structural engineering association programs or certifications, or similar programs the applicant plans to complete (subject to pre-approval of the Board) to demonstrate continued evidence of practice and competence. Continuing education, as required in Sections 1480.160 or 1480.185, cannot be utilized for this requirement.

d) Any person seeking restoration of a license within 2 years after discharge from military service (See Section 14 of the Act [225 ILCS 340/14]) will be required to pay only the current renewal fee.

e) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience required by subsection (c)(4) is questioned by the Division because of discrepancies or conflicts in information, information needing further clarification, or missing information, the licensee seeking restoration of a license may be requested to:

1. Provide information as may be necessary; or

2. Appear for an interview before the Board to explain the relevance or sufficiency when the information available to the Board is insufficient to evaluate the individual's current competency to practice under the Act. Upon recommendation of the Board, and approval by the Director of the Division of Professional Regulation ("Director") with the authority delegated by the Secretary, an applicant shall have the license restored or shall be notified of the reason for the denial of the application for restoration.

f) A professional design firm seeking restoration of a license that has expired for any length of time shall have the license restored upon payment of the restoration fee as specified in Section 1480.195 plus any lapsed renewal fee required by Section 1480.160 and submitting proof of the following:

1. Certificate of Good Standing from the Illinois Secretary of State or a copy of the letter or certificate received from the county clerk where an assumed name has been filed.

2. Proof that the managing agent-in-charge is still a full-time employee or a resolution appointing a new managing agent-in-charge.

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

68 Ill. Adm. Code 1480.170 Endorsement

a) Any person who holds an unexpired certificate of registration or license to practice structural engineering issued under the laws of another state, territory, or country (hereafter referred to as jurisdiction) and who desires to become licensed by endorsement shall file an application, on forms provided by the Division, together with:

1. Proof of meeting requirements substantially equivalent to those in force in this State at the time of original or subsequent licensure by examination in the other jurisdiction (i.e., a separate written structural engineering examination and the FE examination), including official conferred college transcripts and verification of experience;

2. A certification by the jurisdiction of original licensure and certification from the jurisdiction of predominant active practice, including the following:

A) The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of the license;

B) The basis of licensure and a description of all examinations by which the applicant was licensed in that jurisdiction and the date of passage of any such examinations; and

C) Whether the records of the licensing authority contain any disciplinary action taken against the applicant;

3. If the qualifications of the applicant at the time of original licensure did not meet the requirements for licensure in this State at that time, the applicant may submit additional certifications of other jurisdictions to indicate meeting the qualifications in effect in this State at the time of any later licensure;

4. The required fee set forth in Section 1480.195;

5. Applicants who received their baccalaureate education in a foreign country, other than Canada and who were originally licensed after January 1, 1997 shall have the education evaluated at their expense. Applicants shall obtain the forms from NCEES Engineering and Surveying Credentials Evaluations, 200 Verdae Boulevard, Greenville, SC 29607. Evaluations completed prior to October 30, 2006 from Engineering Credentials Evaluation International (ECEI) are also accepted. The Board has only approved NCEES and ECEI as evaluators for all degrees. The Board will review all transcripts and the evaluation submitted to the Division to determine if the education meets the requirements set forth in Sections 1480.110 and 1480.120;

6. Certification attesting the applicant has read and understands the Act and this Part; and

7. In lieu of the documentation specified in subsections (a)(1) and (2), an applicant may submit a current NCEES Record.

8. Documentation submitted from a foreign country shall be translated into English, at applicant's own expense, for review by the Division.

b) The Division, upon recommendation of the Board, may require an applicant applying from a foreign jurisdiction to take and pass the required examinations specified in Section 1480.150 of this Part, to verify the applicant has satisfactory knowledge and competence using U.S. and International Building Codes, American Association of State Highway & Transportation Officials ("AASHTO") Bridge Design specifications, American Society of Civil Engineers ("ASCE") Design Loads & Criteria for Buildings/Other Structures, the American Institute of Steel Construction ("AISC") Steel Construction and Seismic Design Manuals, Special Design Provisions for Wind and Seismic design, American Iron and Steel Institute ("AISI") Specifications for Cold-Formed Steel Structural Members, and applicable design standards to safeguard the health, safety, and welfare of the public.

c) The Division, upon recommendation of the Board, will accept an application from an internationally chartered structural engineer that applies through the NCEES United Kingdom Mutual Recognition Agreement ("MRA"), provided the applicant submits an NCEES Record meeting the requirements of the agreed upon NCEES MRA standards by NCEES and the UK Engineering Council, subject to review of the Board, to verify the experience is structural in nature and complies with Section 5 of the Act [225 ILCS 340/5].

d) The Division may, in individual cases, upon the recommendation of the Board, waive a portion of the examination requirements after consideration of the quality of an applicant's structural engineering education and experience, including whether the applicant has graduated from an approved program, has achieved special honors or awards, has had numerous articles published in professional journals, has participated in the writing of textbooks relating to structural engineering, and any other attribute the Board accepts as evidence that the applicant has outstanding and proven ability in the practice of structural engineering.

e) In order to provide background in structural engineering experience, an applicant licensed as a structural engineer in another state or territory and who has met all previously stated requirements may be requested to appear before the Board for an oral interview at which questions will be asked to determine the applicant's qualifications and knowledge of structural engineering. Specifically, questions may explore the applicant's knowledge concerning the design of concrete, structural steel, timber, masonry and foundations and analysis procedures, design codes, materials and recommended practices for design and construction.

f) When the accuracy of any submitted documentation, or the relevance or sufficiency of the course work or experience, is questioned by the Division or the Board because of lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking a license may be requested to:

1. Provide information as may be necessary;

2. Appear for oral interviews before the Board; or

3. If licensed prior to January 1, 1997, upon review of the educational requirements, have the applicant's education evaluated at the applicant's expense as set forth in subsection (a)(5).

g) The Division shall examine each endorsement application to determine whether the qualifications of the applicant, at the time of original or subsequent licensure, were substantially equivalent to the requirements then in force in this State. After review of the application, the Division shall either issue a license by endorsement to the applicant or notify the applicant of the reasons for the deferral or denial of the application. An applicant not qualified for licensure by endorsement shall automatically be reviewed under the provisions of Section 1480.140.

h) If an applicant fails to submit all required items for licensure under the Act within three years after filing an application, the application shall expire and be denied. The applicant may submit a new application for licensure accompanied by the required fee, and furnish proof of meeting the qualifications for licensure in effect at the time of new application.

History

• Source: Amended at 50 Ill. Reg. 1961, effective January 20, 2026

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.175 Seismic Design Requirement (repealed)

History

• Source: Repealed at 47 Ill. Reg. 946, effective January 5, 2023

68 Ill. Adm. Code 1480.180 Inactive Status

a) Any licensed structural engineer who notifies the Division on forms prescribed by the Division may elect to place the license on inactive status and shall be excused from the payment of renewal fees until the licensee notifies the Division of a desire to resume active status.

b) Any licensee seeking restoration from inactive status shall do so in accordance with Section 1480.160.

c) Any licensed structural engineer or professional design firm whose license is on inactive status shall not practice structural engineering in the State of Illinois. Practicing or offering to practice on a license that is on inactive status shall be considered unlicensed activity and shall be grounds for discipline under Section 20 of the Act.

d) Any Professional Design Firm who notifies the Division on forms prescribed by the Division and submits evidence that the firm will no longer be offering services in Illinois, may elect to place the firm license on inactive status and shall be excused from the payment of renewal fees until the licensee notifies the Division of the desire to resume active status.

e) Any licensed structural engineer whose license is on inactive status is not required to comply with the Continuing Education requirements listed in Section 1480.185.

History

• Source: Amended at 50 Ill. Reg. 1961, effective January 20, 2026

68 Ill. Adm. Code 1480.185 Continuing Education

The continuing education ("CE") required as a condition for license renewal under the Act is set forth in this Section. All structural engineers shall meet these requirements.

a) Continuing Education Requirements

1. For every renewal, renewal applicants shall complete 30 hours of CE relevant to the practice of structural engineering during each prerenewal period. The prerenewal period is the 24 months preceding the expiration date of the license. Failure to comply with these requirements may result in nonrenewal of the structural engineer's license or other disciplinary action, or both.

2. Beginning with the November 30, 2020 renewal and every renewal thereafter, the total continuing education hours shall include one hour of sexual harassment prevention training that shall meet the requirements of 68 Ill. Adm. Code 1130.400. A licensee completing a course on sexual harassment prevention developed or offered by the Illinois Department of Human Rights pursuant to the Illinois Human Rights Act [775 ILCS 5], the licensee's employer or an acceptable provider listed within this Section, may count that course toward the one hour requirement under this Section. (See Section 2105-15.5 of the Department of Professional Regulation Law [20 ILCS 2105/2105-15.5].)

3. Beginning with the November 30, 2024 renewal and every renewal thereafter, the total CE hours shall include:

A) A minimum of one hour of programs, courses or activities in the area of Illinois statutes and rules that regulate structural engineers and structural engineering.

B) A minimum of one hour of programs, courses, or activities in the area of professional conduct and/or ethics.

4. Structural engineers licensed in Illinois but residing and practicing in another state must comply with the CE requirements set forth in this Section. Continuing education credit hours used to satisfy the CE requirements of another state and meeting the requirements of this Section may be submitted toward fulfillment of the CE requirements of the State of Illinois.

5. The minimum length of any single CE activity is one hour. After completion of the initial CE hour, credit may be given in one-half hour increments.

6. One continuing education hour shall represent a minimum of 50 minutes of instruction or participation. No credit will be allowed for introductory remarks, meals, breaks or administrative matters related to courses of study. For a CE activity consisting of a single presentation with duration greater than 60 minutes or consisting of multiple individual presentations with total duration greater than 60 minutes, the CE credit earned shall be determined by totaling the minutes of instruction or participation and dividing by 60 to convert to hours. The number of hours from this calculation shall be rounded down to the nearest one-half hour increment.

7. Nontechnical portions of a CE activity, such as receptions, dinners, etc., do not qualify for credit as CE.

8. A maximum of 15 qualifying CE hours gained within six months before the current renewal deadline and not used for the current renewal period may be carried over to the subsequent renewal period, but shall not include the topics described in subsections (a)(2) and (3), which must all be satisfied during each prerenewal period. CE hours used in this manner must be documented on the appropriate Department issued form.

9. A maximum of 12 CE hours may be earned within a 24-hour period, where a period begins at midnight.

b) Activities for which CE credit may be earned are as follows:

1. Successful completion of a college or university course in the area of structural engineering, related sciences and structural engineering ethics. One semester credit hour is equivalent to 15 hours of CE and one quarter credit hour is equivalent to 10 hours of CE.

2. All required CE hours may be obtained online; however, each self-administered course shall include an examination that will be graded by the sponsor.

3. Successful completion of continuing education courses.

4. A maximum of 10 CE credit hours per prerenewal period may be earned for attending in-house courses. Credit for in-house courses will be based on one CE credit for each hour of attendance. For courses presented in‑house by outside individuals, see subsection (b)(3).

5. Attending workshops or professional or technical meetings, conventions or conferences in person or by webinar in real-time with opportunities for interaction with the presenter. Attendance at qualifying programs, professional and/or technical society meetings will earn CE credits for the actual time of each program. Visiting exhibitor booths or similar activities shall not qualify for CE credit. Recorded webinars shall be considered self-administered and subject to the requirements of subsection (b)(2).

6. Teaching or instructing a structural engineering course, seminar, lecture, presentation or workshop shall constitute 3 CE hours for each hour spent in the actual presentation. Teaching credit shall be valid for the initial presentation only. Teaching credit shall not apply to faculty teaching regularly scheduled curriculum courses at a college, university, or other educational institution.

7. Authoring published papers, articles or books. The preparation of each published paper or book chapter dealing with structural engineering may be claimed as 10 hours of CE credit.

8. Active participation on a structural engineering board, on a professional engineering board that includes the structural engineering discipline, or on a committee or serving as an officer in a professional or technical engineering society that includes the structural engineering discipline as part of its charter.

A) Two CEs will be awarded per committee membership or office held.

B) A maximum of eight CEs will be accepted per prerenewal period.

c) All programs or courses shall:

1. Contribute to the advancement, extension and enhancement of the professional skills and scientific knowledge of the licensee in practice of structural engineering;

2. Foster the enhancement of general or specialized practice and values of structural engineering;

3. Be developed and presented by persons with education and/or experience in the subject matter of the program; and

4. Specify the course objectives, course content and teaching methods to be used.

d) Acceptable providers for programs or course activities shall include, but not be limited to:

1. National Council of Examiners for Engineering and Surveying (NCEES);

2. Structural Engineers Association of Illinois (SEAOI);

3. National Society of Professional Engineers (NSPE);

4. Engineering Society of Illinois (ESI);

5. American Council of Engineering Companies of Illinois (ACEC-IL);

6. Technical or professional societies or organizations relating to professional engineering, such as the American Society of Civil Engineers (ASCE);

7. Technical or professional societies or organizations relating to structural engineering;

8. Colleges, universities or other accredited educational institutions; or

9. Providers of services or products used by or specified by structural engineers.

e) The Division shall not pre-approve individual courses or programs.

f) CEs that are non-structural in nature shall not be accepted unless licensee can substantiate how the course enhances their license, as a structural engineer in Illinois cannot legally offer or perform non-structural services.

g) For auditing or restoration purposes, it shall be the responsibility of a licensee to maintain a record of CE for six years after the renewal that includes:

1. All of the following:

A) The name and address of the sponsor or presenter;

B) A brief statement of the subject matter, printed program schedules, registration receipts or other proof of participation;

C) The number of hours attended in each program; and

D) The date and place of the program; or

2. The certificate of attendance, transcript or records of CE credits maintained by an acceptable provider of continuing education or a records administrator, or log of activities that include activities for CE credit not given by a CE provider.

h) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional documentation in order to demonstrate compliance with the CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance. The additional documentation will be required in the context of a Division audit.

3. When there appears to be a lack of compliance with CE requirements, an applicant will be notified and may request an interview with the Board. At that time the Board may recommend that steps be taken to begin formal disciplinary proceedings as required by Section 10-65 of the Illinois Administrative Procedure Act [5 ILCS 100/10-65].

i) The Division may conduct random audits to verify compliance with continuing education requirements.

j) Waiver of CE Requirements: A licensee may be exempt from the foregoing CE requirements if one of the following situations occurs. If an exemption is claimed, it is required that the renewal fee and any documentation needed to support the exemption be submitted for renewal of a license. Waiver requests must be made before the end of the renewal period. Waiver requests sent after the end of the renewal period shall not be considered.

1. A licensee shall not be required to report continuing education hours during the first biennial renewal period in which the licensee obtained initial licensure in Illinois, but shall be subject to the continuing education requirements for all subsequent biennial renewal.

2. A licensee who is on full-time active duty in the military service of the United States, or is a licensee who is called to temporary active duty in the military service or Armed Forces of the United States for a period of time exceeding 120 consecutive days during the renewal period, when that activity or location restricts participation in a continuing education program.

3. A licensee who demonstrates to the satisfaction of the Division that meeting these requirements would be an undue hardship by reason of disability, illness, or other clearly mitigating circumstances shall submit supporting documentation.

A) The documentation shall be in the form of a sworn statement by the licensee, statement from a licensed healthcare professional, or medical record showing the disability, illness, or circumstance preventing the licensee's participation in the continuing education program during a substantial part of the prerenewal period.

B) If the Division finds from the evidence that good cause has been shown for non-compliance, the Division may waive enforcement, extend the time within which the applicant shall comply, or establish a particular program or schedule of continuing education for the renewal period in which the undue hardship existed.

C) Consecutive waiver requests made for reasons of disability, illness, or other circumstances may be prima facie evidence for non-renewal of applicant's license based on an inability to actively engage in licensed practice.

4. Any renewal applicant who, prior to the expiration date of the individual's license, submits a request for a waiver, pursuant to the provisions of this subsection (j), shall be deemed to be in good standing and may practice until the Division's final decision on the waiver has been made.

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.190 Renewals

a) Every license issued to an individual under the Act shall expire on November 30 of each even-numbered year. The holder of a license may renew the license during the month preceding the expiration date by completing the continuing education requirements in accordance with Section 1480.185 and paying the required fee set forth in Section 1480.195.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee or to renew one's license.

c) Every license issued to a professional design firm under the Act shall expire on April 30 of each odd-numbered year. The holder of the license may renew that license for a 2-year period during the month preceding the expiration date by paying the required fee. The holder shall certify that the firm still meets the requirements of the Act and is in good standing with the Illinois Secretary of State (when applicable) and has an active managing agent-in-charge.

d) Practicing or offering to practice on a license that has expired shall be considered unlicensed activity and shall be grounds for discipline under Section 20 of the Act.

e) It is the responsibility of each licensee to notify the Division of any discipline or conviction of or entry of a plea of guilty or nolo contendere to any crime that is a felony under the laws of the United States or any state or territory thereof, or that is a misdemeanor, an essential element of which is dishonesty, or any crime that is directly related to the practice of the profession of structural engineering since the last renewal.

History

• Source: Amended at 47 Ill. Reg. 946, effective January 5, 2023

68 Ill. Adm. Code 1480.195 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees

1. The fee for application for a license as a structural engineer is $175. In addition, applicants for an examination shall be required to pay the examination fee, either to the Department or to the designated testing service. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service, shall result in the forfeiture of the examination fee.

2. The application fee for a license as a structural engineer intern is $55.

3. The application fee for a certificate of registration as a professional design firm is $150.

b) Renewal Fees

1. The fee for the biennial renewal of a structural engineer license is $125.

2. The fee for renewal of a certificate of registration as a professional design firm is $150 for the renewal period (see Section 1480.190(c)).

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $425 for a structural engineer license and $500 for a professional design firm.

2. There is no charge for the issuance of a replacement license for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address. Licenses are available electronically through the Department website.

3. The fee for a certification of a licensee's record for any purpose is $25.

4. There is no fee to change the name of a professional design firm within the same business entity type; however, there is a $25 fee to change the business entity type of an existing professional design firm.

5. The fee to change the services offered by the professional design firm is $25.

6. The fee to change the name of a managing agent for a professional design firm is $25.

d) All of the fees collected pursuant to this Section shall be deposited in the Design Professionals Administration and Investigation Fund. (See Section 17(c) of the Act [225 ILCS 340/17(c)].)

e) Additional Fees

1. Any person who delivers a check or other payment to the Department that is returned to the Department unpaid by the financial institution upon which it is drawn shall pay to the Department, in addition to the amount already owed to the Department, a fee of $50.

2. If the returned check or other payment as described in subsection (e)(1) was for a renewal or issuance fee and that person practices without paying the renewal fee or issuance fee and the fee for a returned check, an additional fee of $100 shall be imposed.

3. The fees imposed by this Section are in addition to any other discipline provided under the Act for unlicensed practice or practice on a nonrenewed license. The Division shall notify the person that payment of fees shall be paid to the Department by certified check or money order within 30 calendar days after the notification.

4. If, after the expiration of 30 days from the date of the notification, the person has failed to submit the necessary remittance, the Division shall automatically terminate the license or certificate or deny the application, without hearing.

5. If, after termination or denial, the person seeks a license or certificate, the person shall apply to the Division for restoration or issuance of the license or certificate and pay all fees due to the Division.

6. The Director may waive the fees due under this Section in individual cases in which the Director finds that the fees would be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 50 Ill. Reg. 1961, effective January 20, 2026

68 Ill. Adm. Code 1480.200 Professional Design Firm

a) Persons who desire to practice structural engineering in this State in the form of a corporation, professional service corporation, partnership, professional limited liability company, limited liability partnership, partnership, or sole proprietorship (if the sole proprietorship is conducting or transacting business under an assumed name in accordance with the Assumed Business Name Act [805 ILCS 405]) shall, in accordance with Section 19 of the Act [225 ILCS 340/19], file an application with the Division on forms provided by the Division, together with the following:

1. For Corporations or Professional Service Corporations. Professional design firms shall meet the registration requirements of Section 12 of the Professional Service Corporation Act [805 ILCS 10/12].

A) The name of the corporation and its registered address, the names of all members of the board of directors, and the name of the state and license number for each director who is a licensed design professional.

B) A signed and dated resolution of the board of directors of the corporation designating a regular full-time employee of the corporation who has an active Illinois structural engineer license as the managing agent in charge of the structural engineering activities in Illinois. The Illinois license number of the structural engineer designated as the managing agent shall also be included in the resolution.

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the corporation, if applicable.

D) A certificate of good standing from the Illinois Secretary of State.

2. For Partnerships

A) General

i) A copy of the signed and dated partnership agreement authorizing the partnership to provide structural engineering services. The agreement shall contain the name of the partnership, its business address and the names of all general partners. The name of the state in which each partner is licensed as a design professional and the license number shall be listed on the application.

ii) A signed and dated resolution adopted by the general partners designating a regular full-time employee of the partnership who has an active Illinois structural engineer license as the managing agent in charge of the structural engineering activities in this State. The license number of the managing agent shall be included in the resolution.

iii) A copy of the partnership documentation bearing the stamp of the county clerk where the partnership has been filed.

iv) A letter or certificate from the county clerk where an assumed name has been filed, if applicable.

B) Limited Partnership

i) A signed and dated copy of the partnership agreement indicating that it has been filed with the Illinois Secretary of State authorizing the partnership to provide structural engineering services. The partnership agreement shall contain the name of the partnership, its business address and the name of each partner. The name of the state in which each partner is licensed and the license number shall be listed on the application.

ii) A signed and dated resolution adopted by the partners designating a full-time employee of the partnership who has an active Illinois structural engineer license as the managing agent in charge of the structural engineering activities in this State. The Illinois license number of the managing agent shall be included in the resolution.

iii) A certificate of good standing from the Illinois Secretary of State.

iv) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the partnership, if applicable.

3. For Professional Limited Liability Companies or Limited Liability Partnerships

A) An application containing the name of the professional limited liability company or limited liability partnership, the business address and the members/partners of the company/partnership, the name of the state and the license number of each design professional who is a member or partner.

B) A signed and dated resolution of the members or partners designating a regular full-time employee of the company who has an active Illinois structural engineer license as the managing agent in charge of the structural engineering activities in this State. The license number of the managing agent shall be included in the resolution.

C) A copy of the authority to transact business under the Assumed Business Name Act [805 ILCS 405] issued by the Illinois Secretary of State for any assumed names of the professional limited liability company or limited liability partnership, if applicable.

D) A certificate of good standing from the Illinois Secretary of State.

4. For Sole Proprietorships with an Assumed Name

A) An application containing the name of the sole proprietorship and its business address and the name and Illinois license number of the structural engineer who owns and operates the business.

B) A letter or certificate from the county clerk where an assumed name has been filed.

5. A list of all office locations in Illinois at which the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship provides structural engineering services.

6. The fee required in Section 1480.195.

b) A professional design firm may designate more than one managing agent in charge of structural engineering activities. However, a licensee designated as the managing agent may not serve as a managing agent for more than one corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, or partnership doing business in Illinois, except when an entity is created as a joint venture of two or more professional design firms for a specific project. The managing agents designated by the professional design firms may be designated as the managing agents for the participating firms in the joint venture.

c) Upon receipt of the documents required by subsection (a) and review of the application, the Division shall issue a registration authorizing the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to engage in the practice of structural engineering or notify the applicant of the reason for the denial of the application.

d) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship shall be responsible for notifying the Division within 30 days after any changes in:

1. The membership of the board of directors, members/partners of the professional limited liability company, limited liability partnership, limited partnership, partnership, or the general partners;

2. The licensure status of the general partners, members/partners of the professional limited liability company, limited liability partnership, limited partnership, partnership, or any of the licensed structural engineer members of the board of directors; and

3. An assumed name.

e) Each corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship shall be responsible for notifying the Division in writing, by certified mail, within 10 business days after the termination or change in status of the managing agent. Thereafter, the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship, if it has so informed the Division, has 30 days to notify the Division of the name and license number of the structural engineer licensed in Illinois who is the newly designated managing agent.

f) Any failure to notify the Division as required in subsections (d) and (e) or any failure of the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to continue to comply with the requirements of Section 19 of the Act [225 ILCS 340/19] will subject the corporation, professional service corporation, professional limited liability company, limited liability partnership, limited partnership, partnership, or sole proprietorship to the loss of its registration to practice structural engineering in Illinois.

g) Sole Proprietorships. Any sole proprietorship owned and operated by a structural engineer who has an active Illinois license is exempt from the registration requirements of a professional design firm. However, if the sole proprietorship operates under an assumed name, the sole proprietor shall file an application in accordance with subsection (a)(4) with the Division. A sole proprietorship shall notify the Division of all assumed name changes. Any sole proprietorship not owned and operated by an Illinois licensed structural engineer shall be prohibited from offering structural engineering services to the public.

h) In addition to the seal requirements in Section 12 of the Act [225 ILCS 340/12], all documents or technical submissions prepared by the design firm shall contain the design firm registration number issued by the Division.

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.205 Acts Constituting the Practice of Structural Engineering Pursuant to Section 5 of the Act

a) Design/Build. The design/build project delivery process is a method whereby an entity signs a single contract to provide a combination of professional design services and construction services. As used in this Section, design/build does not refer to contractual requirements for a subcontractor to retain a structural engineer to provide services related to performance of the contract.

b) A design/build entity shall not offer to provide or provide structural engineering services, unless registered as a professional design firm or unless it complies with subsection (c)(3). Offering to provide structural engineering services shall include, but not necessarily be limited to, any tender of engineering services either independently or in combination with construction services by any sign, card, advertisement or other device that might indicate to the public that the entity is entitled to provide engineering services.

c) The design/build entity will not be required to register as a professional design firm pursuant to Section 19 of the Act only if the structural engineering services in the design/build project delivery process are provided by the entity in accordance with the following:

1. A structural engineer licensed or a professional design firm registered in Illinois independently contracts with the entity and participates substantially in all material aspects of the offering and providing of services relating to any bid process, contract negotiations, design, consultation, development, preparation and coordination of technical submissions, and verification of adherence to technical submissions and completion.

2. At the time of offering services, a written disclosure shall be given to the client by the entity identifying the licensed structural engineer who will be engaged by and is contractually responsible to the entity offering design/build project services.

3. The entity agrees that the licensed structural engineer will have direct supervision of the structural engineering design work. The entity also agrees that the engineering services will not be terminated on the project without replacement within 30 days by another licensed structural engineer.

History

• Source: Amended at 34 Ill. Reg. 5669, effective March 30, 2010

68 Ill. Adm. Code 1480.210 Standards of Professional Conduct

To safeguard the health, safety, and welfare of the public and to maintain integrity and high standards of skill and practice of structural engineering. The following standards of professional conduct shall be binding upon every licensee and on all Professional Design Firms authorized to offer or perform structural engineering services in Illinois.

a) Licensees' Obligation to the Public

1. Licensees shall be cognizant that their first and foremost responsibility is to safeguard the public health, safety, and welfare when performing services for clients and employers.

2. Licensees shall sign and seal only those plans and other documents that conform to accepted structural engineering standards and that safeguard the public health, safety, and welfare.

3. Licensees shall notify their employer or client and such other authority as may be appropriate when their professional judgment is overruled when the health, safety, or welfare of the public is endangered.

4. Licensees shall, to the best of their knowledge, include all relevant and pertinent information in an objective and truthful manner within all professional documents, statements, and testimony.

5. Licensees shall express a professional opinion publicly only when it is founded upon an adequate knowledge of the facts and a competent evaluation of the subject matter.

6. Licensees shall issue no statements, criticisms, or arguments on structural engineering matters that are inspired or paid for by interested parties, unless they explicitly identify the interested parties on whose behalf they are speaking and reveal any interest they have in the matters.

7. Licensees shall not partner, or offer to practice with any person or firm that they know is engaged in fraudulent or dishonest business or professional practices.

8. Licensees who have knowledge or reason to believe that any person or firm has violated any laws or this Part applying to the practice of structural engineering shall report it to the Division, may report it to appropriate authorities, and shall cooperate with the Division and those authorities as requested.

9. Licensees shall not knowingly provide false or incomplete information regarding an applicant in obtaining licensure.

10. Licensees shall comply with the licensing laws and rules governing structural engineering profession in each of the jurisdictions in which they practice.

b) Licensees' Obligation to Employer and Clients

1. Licensees shall undertake assignments only when qualified by education or experience in the specific technical field of structural engineering involved.

2. Licensees shall not affix their signatures or seals to any plans, specifications, or other documents dealing with subject matter in which they lack competence, nor to any plans, specifications, or other documents not prepared under their direct supervisory control.

A) In circumstances where a licensee in responsible charge of the work is unavailable to complete the work (e.g., death, incapacity, termination of employment, relocation), a successor licensee may take responsible charge by performing all professional services, including design criteria, recalculations, code research and compliance, and any other necessary and appropriate changes in order to complete the project.

B) The successor licensee shall have control of and responsibility for the work product and the signed and sealed originals of all documents.

3. Licensees may accept an assignment and assume responsibility for coordination of an assignment outside of their field of competence if each technical segment is signed and sealed by the licensee responsible for preparation of that technical segment.

4. Licensees shall not reveal facts, data, or information obtained in a professional capacity without the prior consent of the client, employer, or public body on which they serve except as authorized or required by law or this Part.

5. Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties in connection with work for employers or clients.

6. Licensees shall disclose to their employers or clients all known or potential conflicts of interest or other circumstances that could influence or appear to influence their judgment or the quality of their professional service or engagement.

7. Licensees shall not accept compensation, financial or otherwise, from more than one party for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to in writing by all interested parties.

8. Licensees shall not solicit or accept a professional contract from a governmental body on which a principal or officer of their organization serves as a member. Conversely, licensees serving as members, advisors, or employees of a government body or department, who are the principals or employees of a private entity, shall not participate in decisions with respect to professional services offered or provided by the entity to the governmental body that they serve.

9. Licensees shall not use confidential information received in the course of their assignments as a means of making personal profit without the consent of the party from whom the information was obtained.

c) Licensees' Obligation to Other Licensees

1. Licensees shall not falsify or permit misrepresentation of their, or their firm's professional qualifications. They shall not misrepresent or exaggerate their degree of responsibility in prior assignments nor the complexity of said assignments. Presentations incidental to the solicitation of employment or business shall not misrepresent pertinent facts concerning employers, employees, associates, joint ventures, or past accomplishments.

2. Licensees shall not offer, give, solicit, or receive, either directly or indirectly, any commission, or gift, or other valuable consideration in order to secure work, and shall not make any political contribution with the intent to influence the award of a contract by public authority.

3. Licensees shall not injure or attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of other licensees, nor indiscriminately criticize other licensees' work.

4. Licensees shall make a reasonable effort to inform another licensee whose work is believed to contain a material discrepancy, error, or omission that may impact the health, safety, or welfare of the public, unless such reporting is legally prohibited.

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.215 Structural Engineer Complaint Committee

a) The Structural Engineer Complaint Committee of the Structural Engineering Board, authorized by Sections 8 and 22 of the Act, shall be composed of 2 members of the Structural Engineering Board, a Supervisor over Design Investigations and a Chief of Prosecutions over Design Prosecutions. The Deputy Director of Enforcement shall designate the Supervisor and Chief who sit on the Complaint Committee.

b) The Complaint Committee shall meet at least once every 2 months to exercise its functions and duties set forth in subsection (c). The Complaint Committee may meet concurrently with the Complaint Committees of the Architecture Licensing Board, the Land Surveyors Examining Board and the State Board of Professional Engineers to discuss interrelated professional matters. The Complaint Committee shall make every effort to consider expeditiously and take prompt action on each item on its agenda.

c) The Complaint Committee shall have the following duties and functions:

1. To review investigative case files after an initial inquiry into the involved parties and their licensure status have been obtained. "Case file" means the allegation made against an involved party that resulted in a preliminary inquiry and other information being obtained in order to determine whether an investigation should be initiated or prosecution pursued. A "Formal Complaint" means the notice of allegations and charges or basis for licensure denial which begins the formal proceedings.

2. To refer the case file to the Supervisor over the Design Investigators for further action. The Complaint Committee shall give the Supervisor an indication as to the prosecutorial merit and relative severity of the allegations to aid in the prioritization of investigative activity.

3. To recommend that a case file be closed.

4. To recommend that an Administrative Warning Letter be issued and the case file closed.

5. To refer the case file to Prosecutions for review and action.

6. To report the actions of the Complaint Committee at each Board meeting and to present enforcement statistics such as the type of alleged violation

d) In determining what action to take or whether to proceed with investigation and prosecution of a case file, the Complaint Committee shall consider the following factors, but not be limited to: the effect on the public's health, safety and welfare; the sufficiency of the evidence presented; prosecutorial merit; and sufficient cooperation from complaining parties.

e) At any time after referral to Prosecutions, the Division may enter into negotiations to resolve issues informally by way of a Consent Order. Factors to be considered in deciding whether to enter into settlement negotiations shall include, but not be limited to: the effect on the public's health, safety and welfare caused by the respondent's alleged conduct; sufficient investigation of the case; prosecutorial merit; relative severity of the respondent's alleged conduct; and past practices of the Division.

f) No file shall be closed nor Formal Complaint dismissed except upon recommendation of the Complaint Committee and/or approval by the Structural Engineering Board. Those case files that previously have been before the Board and are the subject of a Consent Order or formal Order of the Director may be closed without further recommendation or approval of the Structural Engineering Board or the Complaint Committee.

g) Disqualification of a Structural Engineering Board Member

1. A Board member shall be recused from consideration of a case file or Formal Complaint when the Board member determines that a conflict of interest or prejudice would prevent that Board member from being fair and impartial.

2. Participation in the initial stages of the handling of a case file, including participation on the Complaint Committee and in informal conferences, shall not bar a Board member from future participation or decision making relating to that case file.

h) An informal conference is the procedure established by the Division that may be used for compliance review, fact finding, discussion of the issues, resolving case files, licensing issues or conflicts prior to initiating any Formal Complaint or formal hearing. An informal conference may only be conducted upon agreement of both parties. Informal conferences shall be conducted by a Division attorney and shall include a member of the Board. Board members shall be scheduled for informal conferences on a rotating basis.

History

• Source: Amended at 34 Ill. Reg. 5669, effective March 30, 2010

68 Ill. Adm. Code 1480.220 Granting Variances

The Director may grant variances from this Part in individual cases when the Director finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 47 Ill. Reg. 946, effective January 5, 2023

68 Ill. Adm. Code 1480.APPENDIX A Significant Dates for the Administration of the Act and Rules

a) July 5, 1915. The State Board of Examiners of Structural Engineers Act became effective on July 5, 1915. Prior to that date, there was no regulation in Illinois governing the practice of structural engineering or requiring registration of engineers. Examinations were required for all applicants who could not prove that they had been working as a structural engineer in Illinois for the 10 years prior to the Act. The State Board of Examiners of Structural Engineers was to be composed of 5 members, one of whom shall be a professor in the Civil Engineering Department of the University of Illinois and the other four shall be structural engineers of recognized standing. Structural engineers were exempt from the requirements of the 1897 Architect Act. The Board was appointed by the Governor and was autonomous, received application fees, elected officers including treasurer and filed with Illinois Secretary of State any changes in the Act or Rules.

b) July 1, 1919. Original Act of 1915 repealed. State Board of Examiners of Structural Engineers and office of the secretary of board abolished. Powers, duties and responsibilities transferred to the Department of Registration and Education. The new Act was named the Illinois Structural Engineering Act. The practice of structural engineering was defined in the Act. The requirement to take the structural exam, given by the Department, was a four-year degree with a structural emphasis. The minimum age was 21 to take the examinations. Firms offering structural services must have a registered structural engineer as the principal. The Department of Registration and Education shall hold examinations. Licensure of structural engineers licensed in other states may be licensed in Illinois if, at the date of licensure, the requirements were substantially equal to those in force in Illinois at the date of original licensure.

c) July 10, 1935. Act amended adding the Committee comprised of 5 members, one of whom shall be a professor in the Civil Engineering Department of the University of Illinois and the other four shall be structural engineers of recognized standing. The Department shall not exercise powers or duties, except on the action and report in writing of the Committee.

d) 1941. Added to the definition of practice: Professional engineer not to practice structural engineering without registration as a structural engineer.

e) The administrative rules filed with the Secretary of State on December 23, 1960 stated:

1. Examinations – the written examination that was available in 1960 was the 16-hour state constructed structural examination. It consisted of four 4-hour examinations in the following divisions:

A) General engineering knowledge.

B) Reinforced concrete.

C) Structural steel.

D) Wood, masonry, foundations.

2. Allowed an oral examination with the Board that included blueprints or other reproductions of three or more major structures prepared by the applicant or under the applicant's immediate supervision over a ten year period subsequent to his graduation from an accredited engineering curriculum which included structural engineering.

3. Accredited College: A college of engineering whose standards and curricula, including structural engineering, are equivalent to and whose credits are acceptable by the University of Illinois, College of Engineering, will be accredited by the Department of Registration and Education.

4. Experience Requirements: A minimum of 6 years structural experience. Those who graduated from an accredited curriculum which included structural engineering shall be credited with two years of the required 6-year period. Those with a minimum of no less than 10 years of experience may request an oral examination.

f) All examinations were state constructed until Illinois accepted the NCEES examinations as standard on the following dates:

1. Fundamentals of Engineering – April 1984 – replaced.

2. Structural I – April 1984 – replaced combined Divisions B1, C1, D1.

3. Structural II – October 1987 – this was in two Parts: AM and PM: replaced combined Divisions B2, C2, D2.

g) Complaint Review Sub-Committee: 1993 Act established that the Board may create a complaint review sub-committee. Rules were adopted in 1994 establishing the Complaint Review Sub-Committee.

h) 1996 Renewals required either proof of:

1. having passed the Illinois administered NCEES Structural II PM examinations after October 1991, the Western States Structural Examination after 1993 or the NCEES Structural II PM examinations administered in another jurisdiction starting with the Spring 1993;

2. satisfactory completion of a Board approved professional seminar dealing with seismic design and involving a minimum of 16 contact hours; or

3. evidence that the licensee has taught a Board approved professional seminar dealing with seismic design that is part of an approved engineering curriculum. The same requirement was placed on all applicants applying by endorsement who were licensed in other jurisdictions.

i) August 2, 1996. Proof of completion of the Test of English as a Foreign Language (TOEFL) with a score of 550 and Test of Spoken English (TSE) with a score of 50 for all applicants applying who graduated from an engineering program outside the United States or its territories and whose first language is not English.

j) August 2, 1996. All applicants with a foreign baccalaureate degree are required to submit at their own expense a course-by-course evaluation.

k) 2003. The Western States Structural Examination was no longer offered. Some western states offered a state constructed Structural III examination. Illinois required passage of the SE I & II exams and has never recognized that state constructed SE III exam as meeting Illinois specific requirements.

l) 2004. The NCEES Structural II exam was changed from two 4-hour portions (AM and PM) to one 8-hour Structural II exam.

m) Beginning with the November 30, 2004 renewal and all renewals thereafter, renewal applicants shall complete 30 Continuing Education (CE) hours relevant to the practice of structural engineering during each prerenewal period, a maximum of 10 may be earned as a self-administered course.

n) Restoration requires completion of the CE as stated in Section 1480.185 in addition to all other restoration requirements.

o) October 30, 2006. Engineering Credentials Evaluation International (ECEI) ceased evaluating credentials. The Board approved the Center for Professional Engineering Credentials (CPEES) as the only engineering evaluation service.

p) August 6, 2009. CPEES changed its name to NCEES Credentials Evaluations service.

q) 2010.

1. In March of 2010, the Test of English as a Foreign Language (TOEFL and the Test of Spoken English (TSE) ceased to be offered as the TOEFL-iBT (Internet Based Test) was established and superseded this exam. While in effect, the TOEFL and TSE requirements were a minimum score of 550 or 213 for the computer-based test and the TSE was a minimum score of 50.

2. After the October 2010 examination administration, if an applicant has not passed both the Structural I and II examinations, the applicant will be required to take and pass the 16-hour Structural examination and will receive no credit for passing either the Structural I or the Structural II examinations.

r) 2011. NCEES no longer offered the SE I & II exams. These were replaced by the 16-hour structural examination which consists of two 8-hour components: The Vertical Forces (gravity/other) and Incidental Lateral component, and the Lateral Forces (wind/earthquake) component. An applicant must receive acceptable results on both 8-hour components to pass the structural examination. Prior to the April 2011 exam administration, the examination for licensure as a structural engineer shall be divided into 3 parts. Those 3 parts are: (1) Fundamentals of Engineering; (2) Structural I Examination; and (3) Structural II Examination.

1. Fundamentals of Engineering. This examination shall consist of problems or other examining techniques designed to evaluate the applicant's knowledge of the basic and engineering sciences and related subjects normally considered as the fundamentals of engineering.

2. Structural I Examination. This examination shall be 8 hours in duration and shall consist of problems or other examining techniques relating to designs in or to the practice of structural engineering as described in Section 5 of the Act.

3. Structural II Examination. This examination shall be 8 hours in duration and shall consist of problems or other examining techniques relating to designs in structural engineering, including seismic design. These problems may include, but not be limited to, bridges, buildings, foundations, and seismic and lateral forces.

4. No credit will be accepted for passing either the Structural I or the Structural II examination if both the examinations were not passed prior to the April 2011 examination administration.

s) January 1, 2014. NCEES changed the Fundamentals of Engineering exam from a paper and pencil examination to a Computer Based Test (CBT) which became available on demand up to three times a year, no more than once per quarter.

t) 2024. NCEES no longer offered the 16-hour Structural examination. This was replaced by the PE structural examination which consists of two components: the Vertical Forces (gravity/other) and Incidental Lateral component and the Lateral Forces (wind/earthquake) component. Each component has independent "breadth" and "depth" sections. An applicant must receive acceptable results for each section on both components to pass the Structural Examination. Prior to the April 2024 exam administration, the examination for licensure as a structural engineer was divided into 2 parts. Those 2 parts were: (1) Fundamentals of Engineering; (2) 16-hour Structural examination.

1. Fundamentals of Engineering. This examination shall consist of problems or other examining techniques designed to evaluate the applicant's knowledge of the basic and engineering sciences and related subjects normally considered as the fundamentals of engineering.

2. Part II – 16-hour Structural Examination. This examination replaced the Structural I and Structural II examinations. This examination consisted of two 8-hour components: the Vertical Forces (gravity/other) and Incidental Lateral component and the Lateral Forces (wind/earthquake) component. An applicant must receive acceptable results on both 8-hour components to pass the Structural Examination. The problems may include, but not be limited to, bridges, buildings, foundations, and the practice of structural engineering as described in Section 5 of the Act [225 ILCS 340/5].

History

• Source: Amended at 49 Ill. Reg. 10205, effective July 23, 2025

Chapter VII Department of Financial and Professional Regulation

Subchapter b Professions and Occupations

Part 1480 The Structural Engineering Practice Act of 1989

68 Ill. Adm. Code 1480.ILLUSTRATION A Structural Engineer Seal and Signature

History

• Source: Added at 47 Ill. Reg. 946, effective January 5, 2023

Part 1485 Registered Surgical Assistant and Registered Surgical Technologist Title Protection Act

68 Ill. Adm. Code 1485.10 Application for Registration as a Surgical Assistant

An applicant for registration as a surgical assistant shall file an application on forms supplied by the Department of Financial and Professional Regulation-Division of Professional Regulation (Division), together with:

a) Certification of completion from a medical education program approved by the Division, or has graduated from a United States Military Program that emphasizes surgical assisting. The following applicants are considered from an approved program:

1. Individuals who are graduates of a Commission on Accreditation of Allied Health Education Programs approved program of surgical assisting;

2. Individuals who are graduates of a foreign medical school must submit: a copy of the diploma or a reference letter from their medical school (verifying surgical training and experience) and a reference letter from a sponsoring U.S. surgeon who has evaluated the individual's technical skills and aseptic technique;

b) Proof of current certification by one of the following certifying bodies:

1. the National Commission for the Certification of Surgical Assistants as a Certified Surgical Assistant;

2. the National Board of Surgical Technology and Surgical Assisting as a Certified Surgical First Assistant; or

3. the American Board of Surgical Assistants as Surgical Assistant-Certified;

c) If the applicant has ever been licensed/registered in another state or territory of the United States (jurisdiction), certification, on forms provided by the Division, from the jurisdiction applicant was originally licensed and the jurisdiction applicant predominantly practices and is currently licensed, stating:

1. The time during which the applicant was registered in that jurisdiction, including the date of original issuance of the license; and

2. Whether the file on the applicant contains any record of disciplinary actions taken or pending;

d) The required fee as specified in Section 1485.80.

History

• Source: Amended at 49 Ill. Reg. 2432, effective February 21, 2025

68 Ill. Adm. Code 1485.20 Application for Registration as a Surgical Technologist

An applicant for registration as a surgical technologist shall file an application on forms supplied by the Division, together with:

a) Proof of completion of a surgical technologist program approved by the Division;

b) Proof of current certification and successful completion of the Certified Surgical Technologist examination provided by the National Board of Surgical Technology and Surgical Assisting;

c) If the applicant has ever been licensed/registered in another state or territory of the United States, certification, on forms provided by the Division, from the jurisdiction in which the applicant was originally licensed and the jurisdiction in which the applicant predominantly practices and is currently licensed, stating:

1. The time during which the applicant was registered in that jurisdiction, including the date of original issuance of the license; and

2. Whether the file on the applicant contains any record of disciplinary actions taken or pending;

d) The required fee as specified in Section 1485.80.

History

• Source: Amended at 49 Ill. Reg. 2432, effective February 21, 2025

68 Ill. Adm. Code 1485.30 Endorsement

a) An applicant seeking registration in Illinois who is licensed/registered under the laws of another jurisdiction shall file an application with the Division, on forms provided by the Division, that includes:

1. For Surgical Assistant

A) Certification of completion from a medical education program approved by the Division or graduation from a United States Military Program that emphasizes surgical assisting;

B) A complete work history since completion of a surgical assistant program;

C) Verification of successful completion of a national certifying examination set forth in Section 1485.10(c).

D) Current certification by one of the following organizations:

i) National Surgical Assistant Association on Certification of Surgical Assistants;

ii) Liaison Council on Certification for the Surgical Technologist as a certified first assistant; or

iii) American Board of Surgical Assistants.

E) The required fee set forth in Section 1485.80.

2. For Surgical Technologist

A) Proof of completion of a surgical technologist program approved by the Division;

B) A complete work history since completion of a surgical technologist program;

C) Successful completion of the surgical technologist national certification examination provided by the Liaison Council on Certification for the Surgical Technologist or its successor agency;

D) Current certification from the Liaison Council on Certification for the Surgical Technologist or its successor agency and proof that the applicant has met the requirements set forth for certification; and

E) The required fee set forth in Section 1485.80.

b) Certification from the state or territory of the United States in which the applicant was originally licensed, and the states in which the applicant is currently licensed, stating:

1. The time during which the applicant was licensed/registered in that jurisdiction;

2. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

c) The Division shall either issue a registration by endorsement to the applicant or notify him/her of the reasons for the denial of the application.

68 Ill. Adm. Code 1485.40 Supervision

a) As stated in Section 10 of the Act, all registered surgical assistants and registered surgical technologists shall perform duties only under direct supervision.

b) "Direct supervision" means supervision by an operating physician, licensed podiatrist, or licensed dentist who is physically present and who personally directs delegated acts and remains available to personally respond to an emergency until the patient is released from the operating room. A registered professional nurse may also provide direct supervision within the scope of his or her license. A registered surgical assistant or registered surgical technologist shall perform duties as assigned. (Section 10 of the Act)

68 Ill. Adm. Code 1485.50 Renewal

a) Every certification of registration issued under the Act shall expire on April 30 of each even numbered year. The holder of a certification of registration may renew such registration during the month preceding the expiration date by paying the required fee.

b) It is the responsibility of each registrant to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to renew a registration or pay the renewal fee.

68 Ill. Adm. Code 1485.60 Inactive Status

a) A registered surgical assistant or surgical technologist who notifies the Division in writing may place his or her registration on inactive status and shall be excused from paying renewal fees until he or she notifies the Division in writing of the intention to resume active practice.

b) Any registered surgical assistant or surgical technologist seeking restoration of a registration that has been on inactive status for 5 years or less shall pay the current renewal fee specified in Section 1485.80 and have the certification of registration restored in accordance with Section 1485.70.

68 Ill. Adm. Code 1485.70 Restoration

a) Any surgical assistant or surgical technologist whose registration has been expired for five years or less may have the registration restored by paying all lapsed renewal fees as required by Section 1485.80.

b) A surgical assistant or surgical technologist who is seeking restoration of a registration that has been inactive for five years or less shall have the registration restored upon payment of the current renewal fee.

c) A surgical assistant or surgical technologist seeking restoration of a registration that has been expired or placed on inactive status for more than five years shall file an application, on forms supplied by the Division, together with the fee required in Section 1485.80, and show proof of one of the following:

1. Proof of current certification from one of the following:

A) National Surgical Assistant Association for the certification of surgical assistants;

B) National Board of Surgical Technology and Surgical Assisting; or

C) American Board of Surgical Assistants;

2. Sworn evidence of active practice in another jurisdiction;

3. An affidavit attesting to military service as provided in Section 60 of the Act; or

4. Proof of passage of an examination set forth in Section 1485.10(a)(3) and Section 1485.20(a)(3) during the 24 months preceding application for restoration.

d) A registrant who is seeking restoration after disciplinary action must complete all requirements of the disciplinary order and shall submit a petition for restoration to be adjudicated through the hearing process. As part of such petition the licensee shall submit evidence demonstrating rehabilitation to warrant the public trust as provided in Section 1485.100.

History

• Source: Amended at 48 Ill. Reg. 12813, effective August 9, 2024

68 Ill. Adm. Code 1485.80 Fees

The following fees shall be paid to the Division and are not refundable:

a) Application Fees

The fee for application for registration as a surgical assistant or surgical technologist is $100.

b) Renewal Fees

The fee for the renewal of a registration shall be calculated at the rate of $62.50 per year.

c) General Fees

1. The fee for the restoration of a registration other than from inactive status is $20 plus payment of all lapsed renewal fees.

2. The fee for a certification of a registrant's record for any purpose is $20.

History

• Source: Amended at 48 Ill. Reg. 12813, effective August 9, 2024

68 Ill. Adm. Code 1485.90 Granting Variances

The Director of the Division of Professional Regulation of the Department (Director) may grant variances from this Part in individual cases when he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance;

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

68 Ill. Adm. Code 1485.95 Applicant and Registrant Address of Record, Email Address of Record

All applicants and registrants shall:

a) provide a valid address and email address to the Department, which shall serve as the address of record and email address of record, respectively, at the time of application for registration or renewal of a registration; and

b) inform the Department of any change of address of record or email address of record within 14 days after such change, either through the Department's website or by contacting the Department's licensure maintenance unit. [225 ILCS 130/12]

History

• Source: Added at 48 Ill. Reg. 12813, effective August 9, 2024

68 Ill. Adm. Code 1485.100 Rehabilitation

Upon written application to the Division for restoration of a registration for any other relief following discipline, the Division shall consider, but is not limited to, the following in determining if the person is to be deemed sufficiently rehabilitated to warrant the public trust:

a) The seriousness of the offense that resulted in the disciplinary action being considered;

b) The length of time that elapsed since the disciplinary action was taken;

c) The profession, occupation, and outside activities in which the applicant has been involved;

d) Any counseling, medical treatment, or other rehabilitative treatment received by the applicant;

e) Any continuing education courses or other types of courses taken to correct the grounds for the disciplinary action being considered;

f) The results of a professional competency examination designated by the Division and paid for by the applicant;

g) Written reports and oral testimony by peer review committees or other persons relating to the skill knowledge, honesty, integrity and contriteness of the applicant;

h) The restitution to injured parties;

i) The future plans of the applicant;

j) The involvement of the applicant's family and friends in the individual's rehabilitation process;

k) A written report of a physical or mental examination given by a practitioner selected by the Division and paid for by the applicant;

l) Any other information evidencing rehabilitation that would bear upon the applicant's request for relief or restoration of a registration;

m) Whether the order imposing sanctions was appealed and, if so, whether a reviewing court granted a stay or delay of imposition of the sanction;

n) The date and disposition of any other petition for restoration filed since the last sanction was imposed; and

o) Whether the applicant complied with any probationary terms.

History

• Source: Added at 48 Ill. Reg. 12813, effective August 9, 2024

Part 1500 Veterinary Medicine and Surgery Practice Act of 2004

68 Ill. Adm. Code 1500.5 Approved Veterinary Medicine and Surgery Programs

a) The Department of Financial and Professional Regulation-Division of Professional Regulation (Division) shall approve a veterinary medicine and surgery program as reputable and in good standing if it meets the following minimum criteria:

1. The institution is legally recognized and authorized by the jurisdiction in which it is located to confer the Doctor of Veterinary Medicine degree or its equivalent.

2. Has a faculty that consists of a sufficient number of full-time instructors to make certain that the educational obligations to the student are fulfilled. The faculty must have demonstrated competence in their area of teaching as evidenced by appropriate degrees from reputable professional colleges or institutions.

3. Has a curriculum of at least 4 academic years, including at least the following subject areas, as applied to the various species of animals:

A) Anatomy

B) Anesthesiology

C) Applied Clinical Training

D) Clinical Chemistry

E) Epidemiology

F) Federal and State Laws

G) Food Quality and Safety

H) General and Special Pathology

I) Immunology

J) Internal Medicine

K) Microbiology

L) Nutrition

M) Parasitology

N) Pharmacology

O) Physiology

P) Preventive Medicine

Q) Professional Ethics

R) Radiology

S) Surgery and Obstetrics

4. Accepts only persons who have graduated from accredited high schools or who have obtained equivalent education through such programs as the General Education Development Examination, and have successfully completed at least 2 years of pre-veterinary collegiate training in an accredited college or university.

5. Maintains permanent student records that summarize the credentials for admission, attendance, grades and other records of performance.

6. Maintains or is formally affiliated with a hospital for the care and treatment of animals, which provides a sufficient number and variety of surgical and medical cases for the students' clinical instruction.

b) In determining whether a program should be approved, the Division shall take into consideration but not be bound by accreditation or approval by the American Veterinary Medical Association, Council on Education.

c) The Division has determined that all veterinary medicine and surgery programs accredited or approved by the American Veterinary Medical Association, Council on Education (AVMA) as of September 1, 2005 meet the minimum criteria set forth in subsection (a)(1) and are approved.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.10 Application for Examination by Graduates of Approved Programs

a) An applicant for examination for licensure to practice veterinary medicine and surgery who is a graduate of an approved program of veterinary medicine and surgery that meets the requirements set forth in Section 1500.5 shall file an application with the Division or its designated testing service on forms supplied by the Division at least 60 days prior to an examination date. The application shall include:

1. Certification of graduation from an approved program of veterinary medicine and surgery;

2. The required fee specified in Section 1500.47; and

3. Certification of licensure from all jurisdictions in which the applicant has ever been licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

B) A description of the licensure examination in that jurisdiction;

C) Whether the file on the applicant contains any record of any disciplinary actions taken or pending.

b) Examination Prior to Graduation

1. An applicant enrolled in an approved veterinary program will be admitted to an examination prior to graduation if he/she provides certification from the college of veterinary medicine from which the applicant is expected to graduate. If certification of graduation is not received within 90 days after the scheduled graduation date, the results of the examination shall be void.

2. The results of the examination shall be made available to the applicant but no license shall be issued until the Division has received certification of the applicant's graduation, within 90 days after the scheduled graduation date specified in subsection (b)(1).

3. In the case of failure of the examination, the applicant must submit his/her certificate of graduation to the Division or its designated testing service prior to taking the next examination.

c) An applicant who has taken and passed the examination pursuant to Section 1500.20 in another jurisdiction shall file an application in accordance with subsection (a) and have the examination scores submitted to the Division directly from the testing entity.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.11 Application by Graduates of Unapproved Programs

a) An applicant for examination who is a graduate of an unapproved program of veterinary medicine and surgery shall file an application, on forms supplied by the Division, and shall be accompanied by the following:

1. A verification of enrollment in either the Program for the Assessment of Veterinary Education Equivalence (PAVE) from the American Association of Veterinary State Boards or from the American Veterinary Medical Association Educational Commission of Foreign Veterinary Graduates (ECFVG) indicating that the applicant has met all of the requirements for certification except for completion of clinical skills assessment;

2. The required fee specified in Section 1500.47;

3. Certification of licensure from all jurisdictions in which the applicant has ever been licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

B) A description of the licensure examination in that jurisdiction;

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending;

4. For applicants who submit any document in a foreign language, an original, notarized English translation.

b) An applicant for licensure who is a graduate of an unapproved program of veterinary medicine and surgery must hold a certificate from ECFVG or PAVE. Application shall be filed on forms supplied by the Division and shall be accompanied by the following:

1. An original certificate from ECFVG or PAVE indicating completion of the proficiency examination or the completion of 1 year of clinical experience.

2. The required fee specified in Section 1500.47.

3. Certification of licensure from all jurisdictions in which the applicant has ever been licensed and is currently licensed, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

B) A description of the licensure examination in that jurisdiction;

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending.

4. For applicants who submit any document in a foreign language, an original, notarized English translation.

c) Examination prior to graduation

1. An applicant enrolled in an unapproved veterinary program will be admitted to an examination prior to graduation if he/she provides certification from the college of veterinary medicine from which the applicant is expected to graduate and verification of enrollment from ECFVG or PAVE. If certification of graduation is not received within 90 days after the scheduled graduation date, the results of the examination shall be void.

2. The results of the examination shall be made available to the applicant but no license shall be issued until the Division has received certification of the applicant's graduation and an original certificate from ECFVG or PAVE.

3. In the case of failure of the examination, the applicant must submit his/her certificate of graduation to the Division or its designated testing service prior to taking the next examination.

d) At the time a foreign graduate obtains the ECFVG or PAVE certificate and applies for licensure in Illinois, the scores shall be sent to the Division directly from the reporting entity. The passing score on the examinations shall be the passing scores established by the testing entity. Prior to January 1994, the passing score on the examination was a converted score of 75 based on 1.5 standard deviations below the mean.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.15 Temporary Permit (repealed)

History

• Source: Repealed at 36 Ill. Reg. 13866, effective September 7, 2012

68 Ill. Adm. Code 1500.20 Examination

a) The examinations for licensure shall be provided by the National Board of Veterinary Medical Examiners (NBVME).

b) The passing score for the examinations shall be the passing score established by the testing entity. Prior to January 1994, the passing score on the National Board Examination and the Clinical Competency Examination was a total converted score of 75 based on 1.5 standard deviations below the mean.

c) Effective with the November 2007 North American Veterinary Licensing Examination (NAVLE), a candidate may not sit for the NAVLE more than 5 times during a 5 year period from the first attempt. Each of the final 2 attempts must be at least 1 year from the previous attempt.

History

• Source: Amended at 31 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.25 Continuing Education

a) Continuing Education Hours Requirements

1. Each person who applies for renewal of a license as a veterinarian is required to complete 40 hours of continuing education (CE) relevant to the practice of veterinary medicine and surgery during the prerenewal period.

2. A prerenewal period is the 24 months preceding the expiration date of the license.

3. A renewal applicant is not required to comply with CE requirements for the first renewal.

4. CE credit hours used to satisfy the CE requirements of another state may be applied to fulfillment of the CE requirements of the State of Illinois if the CE required by the other state is consistent with the CE requirements set forth in this Section.

5. CE credit hours used to satisfy this requirement may be achieved through self study courses offered by an approved provider.

6. A licensee who serves as an instructor, speaker or discussion leader of an approved provider will be allowed CE course credit for actual presentation time, plus actual preparation time of up to 2 hours for each hour of presentation. Time shall not be allowed for repetitious presentations of the same course.

7. CE course credit will be allowed for actual authorship of published articles and books, provided the subject matter of such article or book complies with this Section. CE course credit shall be allowed for actual time spent in writing or researching.

b) Approved CE Providers

1. CE credit may be earned for verified attendance at or participation in any program given or approved by one of the following:

A) An approved veterinary program, as provided in Section 1500.5(a)(2) and (a)(3);

B) The American Veterinary Medical Association or any of its constituent organizations;

C) The Illinois State Veterinary Medical Association or any other state or provincial veterinary medical association or any of its constituent organizations;

D) The American Animal Hospital Association;

E) National Registry of Approved Continuing Education (RACE) of the American Association of Veterinary State Boards (AAVSB);

F) Programs provided by, or appropriate for, veterinary specialty organizations; and

G) United States Department of Agriculture (USDA), or any organization approved by the USDA to offer the USDA Recertification Course.

2. Course Requirements

A) All courses or programs shall:

i) Be a minimum of 1 hour in duration. An hour is defined as 50 to 60 minutes of contact time;

ii) Contribute to the advancement, extension and enhancement of professional skills and/or scientific knowledge in the practice of veterinary medicine;

iii) Provide experiences that contain scientific integrity, relevant subject matter and course materials;

iv) Be developed and presented by persons with education and/or experience in the subject matter of the program; and

v) Specify the number of CE hours that may be applied toward Illinois CE requirements for licensure renewal.

B) The Division may periodically review approved providers to ensure compliance.

c) The licensees shall maintain their CE records for 4 years.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on the renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

e) Continuing Education Earned in Other Jurisdictions

1. If a licensee has earned or is seeking CE hours offered in another jurisdiction for a program not approved by the Division for which the licensee will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the license. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

2. If a licensee fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $100 per hour of CE late fee not to exceed $500. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a license or certificate without having fully complied with these CE requirements shall file with the Division a renewal application, a statement setting forth the facts concerning noncompliance, a request for waiver of the CE requirements on the basis of such facts and, if desired, a request for an interview before the Board. If the Division finds from the statement, or any other evidence submitted, that good cause has been shown for granting a waiver of the CE requirements, or any part thereof, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied. At that time, the renewal applicant will be requested to submit the required renewal fee.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness; or

C) Undue hardship (e.g., prolonged hospitalization, being disabled or unable to practice veterinary medicine for a majority of the duration of the renewal cycle) as determined by the Board. Every attempt should be made by the applicant to comply with CE through self-study.

3. If an interview is requested at the time the request for a waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

History

• Source: Amended at 36 Ill. Reg. 13866, effective September 7, 2012

68 Ill. Adm. Code 1500.30 Endorsement

a) An applicant who is licensed under the laws of another jurisdiction of the United States shall file an application with the Division, together with:

1. A certification from the licensing authority of all jurisdictions in which the applicant has ever been licensed and is currently licensed, stating:

A) The time during which the applicant was licensed;

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending;

2. Proof of successful completion of a licensing examination substantially equivalent to requirements in force in Illinois on the date of the initial licensure;

3. Certification of graduation from an approved program of veterinary medicine and surgery; and

4. The required fee set forth in Section 1500.47.

b) The Division shall examine each application to determine compliance with Section 13 of the Act. The applicant may be required to appear before the Board:

1. To clarify or explain information contained on the submitted documentation; or

2. To determine the substantial equivalence of the applicant's qualifications to the licensing requirements in this State.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.35 Restoration

a) A licensee seeking restoration of a license that has been expired for 5 years or less shall have the license restored upon payment of the fee specified in Section 1500.47 and proof of completion of the CE requirements set forth in Section 1500.25 for a single renewal period.

b) A licensee seeking restoration of a license that has been expired or on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fee specified in Section 1500.47 and proof of 40 hours of approved CE (e.g., certificate of attendance or completion) in accordance with Section 1500.25. The licensee shall also submit:

1. Sworn evidence of active veterinarian practice in another jurisdiction. This evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice during the term of active practice; or

2. An affidavit attesting to military service as provided in Section 15 of the Act; or

3. Other evidence of experience within the profession other than active practice (such as research, teaching or publishing) during the time when the license was expired; or

4. 20 hours of approved CE for each year the license was expired completed during the 2 years proceeding application for restoration. These hours will be in addition to the 40 hours stated in subsection (b).

c) A licensee seeking restoration of a license that has been on inactive status for 5 years or less shall file an application, on forms provided by the Division, together with proof of completion of CE requirements for a single renewal period and the current renewal fee.

d) Any person seeking restoration of a license within 2 years after discharge from military service pursuant to Section 12 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the CE requirements.

e) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain such relevance or sufficiency, clarify information or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.45 Renewals

a) Every license as a veterinarian issued under the Act shall expire on January 31 of each odd numbered year. The holder of a license may renew the license during the month preceding the expiration date by paying the required fee and completion of the CE requirements set forth in Section 1500.25.

b) It is the responsibility of each licensee to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

c) Practicing after a license has expired shall be considered the unlicensed practice of veterinary medicine and subject an individual to discipline pursuant to Section 25 of the Act.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.47 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees. The fee for application for a veterinary license is $100. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service shall result in the forfeiture of the examination fee.

b) Renewal Fees. The fee for the renewal of a license shall be calculated at the rate of $50 per year.

c) General Fees

1. The fee for the restoration of a license other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $300.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license that has been lost or destroyed, or for the issuance of a license with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate license is issued.

3. The fee for a certification of a licensee's record for any purpose is $20.

4. The fee for a wall certificate showing licensure shall be the actual cost of producing the certificate.

5. The fee for a roster of persons licensed as veterinarians in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.48 Employees of a Licensed Veterinarian Who Are Not Certified Veterinary Technicians

As set forth in Section 3 of the Act, supervising veterinarians assume responsibility for the professional care given to an animal by a person working under his or her direction in an immediate, direct or indirect supervision arrangement. This Section sets forth the required levels of supervision for employees of a licensed veterinarian who are not certified veterinary technicians and does not apply to individuals exempt from Section 4 of the Veterinary Medicine and Surgery Practice Act of 2004 [225 ILCS 115].

a) Employees of a licensed veterinarian who are not certified veterinary technicians are prohibited from performing the following:

1. cut down with needle;

2. central line without cut down;

3. dental extractions;

4. gingival resection;

5. skin closure;

6. cast application;

7. fine needle aspiration;

8. puncture abscess with needle;

9. clamping calves' tails;

10. floating teeth;

11. castrating any animal;

12. blocked male cat urinary catheterization; and

13. setting of bones.

b) Employees of a licensed veterinarian who are not certified veterinary technicians may perform the following only under the immediate supervision of a veterinarian, as defined in Section 3 of the Act:

1. anesthesia induction;

2. anesthesia endotracheal intubation;

3. anesthesia maintenance;

4. anesthesia monitor signs;

5. dental prophylaxis;

6. local nerve blocks;

7. splint application;

8. female canine urinary catheterization;

9. decapitation for rabies test submission;

10. necropsy − tissue sample collection; and

11. cystocentesis.

c) Employees of a licensed veterinarian who are not certified veterinary technicians may perform the following under the immediate or direct supervision of a veterinarian, as defined in Section 3 of the Act:

1. administer IV catheter;

2. administer chemotherapy;

3. remove sutures, drains or staples;

4. implant microchips;

5. bandage application;

6. male canine urinary catheterization;

7. acquire or process radiological images;

8. venipuncture;

9. obtain objective patient data without diagnosis;

10. administer nonrabies vaccines;

11. intramuscular and subcutaneous injections;

12. intravenous injections into uncatheterized or catheterized veins;

13. docking sheep/pig tails;

14. dehorning calves; and

15. humane euthanasia of animals.

d) Employees of a licensed veterinarian who are not certified veterinary technicians may perform the following under the indirect, direct or immediate supervision of a veterinarian, as defined in Section 3 of the Act:

1. trim normal hooves, excluding equine;

2. process laboratory samples;

3. bacterial streak and culture; and

4. animal restraint.

History

• Source: Added at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.49 Supervision

Section 4 of the Act states that members of other licensed professions or any other individuals when called for consultation and assistance by a veterinarian licensed in the State of Illinois and who act under the supervision, direction, and control of the veterinarian are exempt from licensure. The licensed veterinarian shall assume responsibility for the referral.

a) Supervision, as applied to this provision, means general supervision. General supervision means that the licensed veterinarian is accessible to the individual under his/her supervision.

b) The following protocols shall be followed in order for licensed professionals or other individuals to work under the supervision of a licensed veterinarian:

1. An established veterinarian-client-patient relationship shall exist;

2. A written or oral consent from the client shall exist; and

3. Appropriate records are maintained by the licensed veterinarian that include written evidence of a veterinarian-client-patient relationship, client consent, diagnosis and referral.

History

• Source: Added at 22 Ill. Reg. 15353, effective August 10, 1998

68 Ill. Adm. Code 1500.50 Standards of Professional Conduct

In determining what constitutes dishonorable, unethical or unprofessional conduct of a character likely to deceive, defraud or harm the public, the Board or hearing officer shall consider the following standards as they relate to the person who is the subject of the proposed disciplinary action. The standards shall include, but not be limited to:

a) Being convicted of any crime, an essential element of which is larceny, embezzlement, obtaining money, property or credit by false pretenses or by means of a confidence game, dishonesty, fraud, misstatement or moral turpitude;

b) Wilfully violating or knowingly assisting in the violation of any law relating to the use or dispensing of any medicine or drug as specified in Section 25 of the Act;

c) Wilfully administering or prescribing illegal drugs for animals;

d) Wilfully administering or prescribing prescription drugs illegally. Illegally means:

1. In violation of the rules governing a competition or exhibition of animals, including but not limited to the rules of the Illinois Racing Board (11 Ill. Adm. Code 509), the American Kennel Club and the American Show Horse Association;

2. Contrary to State or federal law with regard to food producing animals;

e) Wilfully preparing or signing false statements in order to induce payment for medical or ancillary services by insurance companies;

f) Wilfully making or causing to be made any false report to the Division regarding compliance with CE requirements;

g) Wilfully omitting to make or file any report or record or wilfully making or filing or causing to be made or filed any false report or record pertaining to a veterinarian's practice as required by any State agency;

h) Failing to possess and apply the knowledge and use the skill and care in treating a condition that is ordinarily used by a reasonably well-qualified veterinarian in the locality in which he/she practices or in similar localities in similar cases and circumstances;

i) Delegating of patient care responsibility to any individual when the veterinarian has reason to believe that the person may not be competent;

j) Misrepresenting as to educational background, training, credentials, competence or veterinary medical staff memberships;

k) Failing to maintain adequate medical records, including but not limited to the following:

1. Patient identification;

2. Client identification;

3. Dated reason for visit and pertinent history;

4. Physical exam findings;

5. Diagnostic, medical, surgical or therapeutic procedures performed;

6. All medical treatment must include identification of each medication given in the practice, together with the date, dosage, and route of administration and frequency and duration of treatment;

7. All medicines dispensed or prescribed must be recorded, including directions for use and quantity;

8. Any changes in medications or dosages, including telephonically or electronically initiated changes, must be recorded;

9. If a necropsy is performed, the record must reflect the findings;

10. Patient records must be maintained for a minimum of 5 years from the date of the last known contact;

11. Copies of patient records must be released to the client upon written request;

l) Failing to properly supervise subordinate health professional and paraprofessional staff under his/her supervision and control in patient care responsibilities; or

m) Committing of any other act or omission that violates veterinarian's responsibility to a client according to accepted veterinary standards of practice.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.51 Impaired Veterinarian Program of Care, Counseling or Treatment

a) Section 24.1 of the Act requires the Division to establish a program of care, counseling or treatment for impaired veterinarians.

b) Definitions

1. "Impaired veterinarian" means a veterinarian who is unable to practice veterinary medicine with reasonable skill and safety because of a physical or mental disability as evidenced by a written determination or written consent based on clinical evidence, including deterioration through the aging process, loss of motor skills, or abuse of drugs or alcohol of sufficient degree to diminish a person's ability to deliver competent patient care.

2. "Program of care, counseling, or treatment" means a written schedule of organized treatment care, counseling, activities, or education satisfactory to the Board, designed for the purpose of restoring an impaired person to a condition whereby the impaired person can practice veterinary medicine with reasonable skill and safety of sufficient degree to deliver competent patient care. [225 ILCS 115/24.1]

c) Program of Care, Counseling or Treatment

1. A veterinarian who has been determined by a qualified health care professional to be impaired shall enter into an agreement with the Division in which the veterinarian agrees to participate in a program designed to provide care and treatment specifically for health care professionals and which has been approved by the Division. The agreement may include, but not be limited to, the length of the program, the status of the licensee while in a treatment program, and a termination clause whereby both parties may terminate the agreement at any time.

2. All progress reports of treatment and participation in a treatment program shall be sent to the Division every 60 days. A relapse or non-compliance with the treatment program shall be reported to the Division immediately. All reports shall be signed by a licensed physician, clinical psychologist, licensed clinical social worker, licensed professional counselor or clinical professional counselor or other substance abuse professional approved by the Division.

3. An impaired veterinarian shall continue in an after care program until he/she is released upon successful completion of the structured treatment program.

4. If a veterinarian is being treated for alcohol or drug abuse:

A) The person shall submit progress reports from any sponsors in Narcotics Anonymous or Alcoholics Anonymous or other after care programs to the Division on a quarterly basis.

B) The person shall submit to random drug and alcohol screenings and the results shall be submitted to the Division by the treatment program. The impaired veterinarian is responsible for the cost of the reports. The Division shall be notified immediately by the treatment program if the person fails to submit to the random drug and alcohol screenings.

d) All reports required shall be submitted to the Probation Compliance Supervisor, Illinois Department of Financial and Professional Regulation-Division of Professional Regulation, 100 West Randolph Street, Suite 9-300, Chicago, Illinois 60601.

e) The contents of any report shall be strictly confidential and shall be exempt from public disclosure. The reports shall be reviewed only by the following:

1. The Veterinary Licensing and Disciplinary Board.

2. Designated Department attorney.

3. Administrative personnel assigned to open mail containing reports and to process and distribute the reports to authorized persons, and to communicate with senders of reports.

4. The individual who is the subject of the report, his/her attorney or his/her authorized representative.

f) The reports may also be handled or processed by other designated persons in a limited manner necessary to implement reports required under the Act or this Section by computer, word processing equipment or other mechanical means. The data record shall be limited to the name and address of the originator of the report, the date the initial report was received, the date of the most recent report and the professional license number of the subject of the report.

g) The contents of the confidential reports relating to impaired persons shall not be used or made available in any other administrative proceedings before the Division or any other department; however, violations of the treatment or supervision plan will result in a review of the person's status by the Veterinary Licensing and Disciplinary Board or its designee for possible discipline or revision in the treatment program. The reports shall not be disclosed, made available or subject to subpoena or discovery proceedings in any civil or criminal court proceedings.

h) Upon determination by the Board that a report on an impaired person is no longer required for review and consideration, the Board shall notify the maker of the reports to cease sending the reports, and the Board and Division records shall be purged of information contained in the reports. Board determinations shall be based on, but not be limited to: the type of impairment and the type of rehabilitation program, length of supervision, occurrence of any relapses and present status of the license.

History

• Source: Amended at 31 Ill. Reg. 15772, effective November 13, 2007

68 Ill. Adm. Code 1500.55 Advertising

a) Licensees may advertise in any medium or other form of public communication in a manner that is truthful and is not fraudulent, deceptive, inherently misleading or proven to be misleading in practice. Advertising shall contain all information necessary to make the communication not misleading and shall not contain any false or misleading statement or otherwise operate to deceive. The form of communication shall be designed to communicate the information to the public in a direct, dignified and readily comprehensible manner.

b) Information that may be contained in the advertising shall include:

1. Licensee's name, address, office hours and telephone number;

2. Schools attended;

3. Announcement of the opening of, change of or return to practice;

4. Announcement of additions to or deletions from professional staff;

5. Licensee's hospital affiliations;

6. Areas of specialization, including Board certification, professional society memberships and any limitations or concentration of practice;

7. Credit arrangements and acceptance of credit cards;

8. Foreign language ability;

9. Usual and customary fees for routine professional services that must include statement that fees may be adjusted due to complications or unforeseen circumstances;

10. Description of offices in which the licensee practices (e.g., kennel or laboratory facilities on the premises, convenience of parking); and

11. Other information about the licensee, the licensee's practice, or the types of practice in which the licensee will accept employment, that a reasonable person might regard as relevant in determining whether to seek the licensee's services.

c) If an advertisement is communicated to the public over television or radio, it shall be prerecorded and approved for broadcast by the licensee, and a recording of the actual transmission, including videotape, shall be retained by the licensee for a period of at least 5 years.

d) Information that may be untruthful, fraudulent, deceptive, inherently misleading or has proven to be misleading in practice includes that which:

1. Contains a misrepresentation of fact or omits a material fact required to prevent deception;

2. Guarantees favorable results or creates false or unjustified expectations of favorable results;

3. Takes advantage of the potential client's fears, anxieties, vanities or other emotions;

4. Contains testimonials and/or exaggerations pertaining to the quality of veterinarian care;

5. Describes as available products or services that are not permitted by the laws of this State and/or applicable federal laws; and

6. Advertises professional services that the licensee is not licensed to render.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

68 Ill. Adm. Code 1500.60 Conduct of Hearings (repealed)

History

• Source: Repealed at 18 Ill. Reg. 11212, effective June 30, 1994

68 Ill. Adm. Code 1500.65 Annual Report of Board (repealed)

History

• Source: Repealed at 26 Ill. Reg. 12294, effective July 24, 2002

68 Ill. Adm. Code 1500.70 Granting Variances

a) The Director may grant variances from this Part in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 40 Ill. Reg. 2913, effective February 16, 2016

Part 1505 Certified Veterinary Technicians

68 Ill. Adm. Code 1505.10 Application for Examination

a) An applicant for a certificate as a certified veterinary technician shall file an application, on forms supplied by the Department of Financial and Professional Regulation-Division of Professional Regulation (Division), at least 60 days prior to an examination date. The application shall include:

1. Certification of graduation from a certified veterinary technician program accredited by the American Veterinary Medical Association, Committee on Veterinary Technician Education and Activities;

2. Certification of licensure from state of original and current licensure, if applicable, stating:

A) The time during which the applicant was licensed in that jurisdiction, including the date of original issuance of the license;

B) A description of the licensure examination in that jurisdiction;

C) Whether the file on the applicant contains any record of disciplinary actions taken or pending; and

3. The required fee set forth in Section 1505.52.

b) Examination Prior to Graduation

1. An applicant enrolled in an approved certified veterinary technician program will be admitted to the May or December examination prior to graduation if he/she provides certification from a certified veterinary technician program from which the applicant is expected to graduate. If certification of graduation is not received within 90 days after the scheduled graduation date, the results of the examination shall be void.

2. The results of the examination shall be made available to the applicant but no State certification shall be issued until the Division has received certification of the applicant's graduation, within 90 days after the scheduled graduation date specified in subsection (b)(1).

3. In the case of failure of the examination, the applicant must submit his/her certificate of graduation to the Division or its designated testing service prior to taking the next examination.

c) Applicants who have successfully completed the Veterinary Technician National Examination prepared by the Professional Examination Service in another state will receive credit for that examination if the applicant passed the examination according to the testing entity's standard. The examination score report must be forwarded to the Division from the American Association of Veterinary State Boards (AAVSB) or the Veterinary Information Verifying Agency (VIVA).

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.20 Examination

a) The written examination for certification as a certified veterinary technician shall be the Veterinary Technician National Examination administered by Professional Examination Service.

b) The passing grade on the examination shall be the passing score established by the testing entity.

c) Prior to January 1, 1994, the passing grade on the examination was a standard score of 75.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.30 Endorsement

a) An applicant who is certified as a certified veterinary technician under the laws of another state or territory of the United States shall file an application with the Division, together with:

1. A certification from the licensing authority of the state or territory of original licensure stating:

A) The time during which the applicant was licensed in that state;

B) Whether the file on the applicant contains any record of disciplinary actions taken or pending;

2. Proof of successful completion of a licensing examination substantially equivalent to requirements in force in Illinois on the date of the examination;

3. Certification of licensure from the state in which the applicant is currently licensed if it is other than the state of original licensure;

4. A completed Certification of Education form that must be signed by the dean or registrar of the school from which the applicant received his/her professional training; and

5. The required fee set forth in Section 1505.52.

b) The Division shall examine each application to determine compliance with Section 13 of the Veterinary Medicine and Surgery Practice Act of 2004 (the Act) [225 ILCS 115]. The applicant may be required to appear before the Veterinary Licensing and Disciplinary Board (the Board) to clarify or explain information contained on the submitted documentation in order for the Board to determine the substantial equivalence of the applicant's qualifications to the licensing requirements in this State at the time of licensure.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.40 Restoration

a) A certified veterinary technician seeking restoration of a certificate that has expired for less than 5 years shall have the certificate restored upon payment of the fees required by Section 1505.52(c)(1) and proof of completion of the CE requirements set forth in Section 1505.55.

b) A certified veterinary technician seeking restoration of a certificate that has expired or been on inactive status for more than 5 years shall file an application, on forms supplied by the Division, together with the fee required by Section 1505.52(c)(1) and proof of 15 hours of CE (e.g., certificate of attendance or completion) in accordance with Section 1505.55. The certified veterinary technician shall also submit:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from the appropriate board or licensing authority in the other jurisdiction that the person was authorized to practice during the term of the active practice; or

2. Two affidavits attesting to the applicant's practice as a certified veterinary technician in a jurisdiction where licensure is not required; or

3. An affidavit attesting to military service as provided in Section 15 of the Act; or

4. Evidence of experience within the profession other than active practice (such as research, teaching or publishing) during the time in which the certificate was expired; or

5. 8 hours of approved CE for each year the certification was expired completed during the 2 years proceeding application for restoration. These hours will be in addition to the 15 hours stated in subsection (b).

c) A certified veterinary technician seeking restoration of a certificate that has been on inactive status for less than 5 years shall have the certificate restored upon filing an application, on forms provided by the Division, and paying the current renewal fee.

d) After January 31, 1997, a certified veterinary technician seeking restoration of a certification shall be required to complete the CE requirements set forth in Section 1505.55 for one renewal period.

e) Any person seeking restoration of a certification within 2 years after discharge from military service pursuant to Section 12 of the Act will be required to pay only the current renewal fee and will not be required to submit proof of meeting the CE requirements.

f) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Division or the Board because of a lack of information, discrepancies or conflicts in information given or a need for clarification, the applicant seeking restoration shall be requested to:

1. Provide such information as may be necessary; and/or

2. Appear for an interview before the Board to explain the relevance or sufficiency of course work or experience, clarify information, or clear up any discrepancies or conflicts in information.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.50 Renewals

a) Each certified veterinary technician certificate issued under the Act shall expire on January 31 of each odd‑numbered year. The holder of the certificate may renew the certificate during the month preceding the expiration date by paying the required fee.

b) For the January 31, 1997 renewal and every renewal thereafter, a certified veterinary technician shall be required to meet the CE requirements set forth in Section 1505.55.

c) It is the responsibility of each certified veterinary technician to notify the Division of any change of address. Failure to receive a renewal form from the Division shall not constitute an excuse for failure to pay the renewal fee.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.52 Fees

The following fees shall be paid to the Department and are not refundable:

a) Application Fees. The fee for application for a certified veterinary technician certificate is $50. In addition, applicants for an examination shall be required to pay, either to the Department or to the designated testing service, a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Department or the designated testing service shall result in the forfeiture of the examination fee.

b) Renewal Fees. The fee for the renewal of a certified veterinary technician certificate shall be calculated at the rate of $25 per year.

c) General Fees

1. The fee for the restoration of a certified veterinary technician certificate other than from inactive status is $50 plus payment of all lapsed renewal fees, but not to exceed $150.

2. The fee for the issuance of a duplicate certificate, for the issuance of a replacement certificate for a certificate that has been lost or destroyed, or for the issuance of a certificate with a change of name or address, other than during the renewal period, is $20. No fee is required for name and address changes on Division records when no duplicate certificate is issued.

3. The fee for a certification of a registrant's record for any purpose is $20.

4. The fee to have the scoring of an examination authorized by the Division reviewed and verified is $20 plus any fees charged by the applicable testing service.

5. The fee for a wall certificate showing registration shall be the actual cost of producing the certificate.

6. The fee for a roster of certified veterinary technicians in this State shall be the actual cost of producing the roster.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.55 Continuing Education

a) Continuing Education Hours Requirements

1. Each person who applies for renewal of a certified veterinary technician certificate is required to complete 15 hours of CE relevant to veterinary medicine and surgery during the prerenewal period.

2. A prerenewal period is the 24 months preceding the expiration date of the certification.

3. A renewal applicant is not required to comply with CE requirements for the first renewal following the original issuance of the certificate.

4. CE credit hours used to satisfy the CE requirements of another state may be applied to fulfillment of the CE requirements of the State of Illinois.

5. CE credit hours used to satisfy this requirement may be achieved through self study courses offered by an approved provider.

b) Approved CE Providers

1. CE credit may be earned for verified attendance at or participation in any program given by one of the following:

A) An approved certified veterinary program, as provided in 68 Ill. Adm. Code 1500.5, or a certified veterinary technician program;

B) The American Veterinary Medical Association Committee on Veterinary Technician Education and Activities (CVTEA);

C) The Illinois State Veterinary Medical Association or any other state or provincial veterinary medical association or any of its constituent organizations;

D) The American Animal Hospital Association;

E) National Registry of Approved Continuing Education (RACE) of the American Association of Veterinary State Boards (AAVSB);

F) Programs provided by, or appropriate for, veterinary specialty organizations; and

G) United States Department of Agriculture (USDA) or any organization approved by USDA to offer the USDA Recertification Course.

2. Courses Requirements

A) All courses or programs shall:

i) Be a minimum of 1 hour in duration. An hour is defined as 50 to 60 minutes of contact time;

ii) Contribute to the advancement, extension and enhancement of professional skills and/or scientific knowledge in the practice of veterinarian medicine;

iii) Provide experiences that contain scientific integrity, relevant subject matter and course materials;

iv) Be developed and presented by persons with education and/or experience in the subject matter of the program; and

v) Specify the number of CE hours that may be applied toward Illinois CE requirements for certificate renewal.

B) The Division may periodically review approved providers to ensure compliance.

c) The certificate holder shall maintain CE records for 4 years.

d) Certification of Compliance with CE Requirements

1. Each renewal applicant shall certify, on a renewal application, full compliance with the CE requirements set forth in subsection (a).

2. The Division may require additional evidence demonstrating compliance with CE requirements. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

e) Continuing Education Earned in Other Jurisdictions

1. If an individual has earned or is seeking CE hours offered in another jurisdiction for a program not approved by the Division for which the individual will be claiming credit toward full compliance in Illinois, the applicant shall submit an individual program approval request form, along with a $25 processing fee, prior to participation in the program or within 90 days prior to expiration of the certificate. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

2. If an individual fails to submit an out-of-state CE approval form within the required time frame, late approval may be obtained by submitting the approval request form with the $25 processing fee plus a $50 per hour of CE late fee not to exceed $250. The Board shall review and recommend approval or disapproval of the program using the criteria set forth in this Section.

f) Waiver of CE Requirements

1. Any renewal applicant seeking renewal of a certificate without having fully complied with these CE requirements shall file with the Division a renewal application, a statement setting forth the facts concerning noncompliance, a request for waiver of the CE requirements on the basis of those facts and, if desired, a request for an interview before the Board. If the Division finds from the statement or any other evidence submitted, that good cause has been shown for granting a waiver of the CE requirements, or any part thereof, the Division shall waive enforcement of CE requirements for the renewal period for which the applicant has applied. At that time, the renewal applicant will be requested to submit the required renewal fee.

2. Good cause shall be defined as an inability to devote sufficient hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness; or

C) Undue hardship (e.g., prolonged hospitalization, being disabled or unable to practice as a certified veterinary technician for a majority of the duration of the renewal cycle) as determined by the Board. Every attempt should be made by the applicant to comply with CE through self-study.

3. If an interview is requested at the time the request for waiver is filed with the Division, the renewal applicant shall be given at least 20 days written notice of the date, time and place of the interview by certified mail, return receipt requested.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.60 Certified Veterinary Technicians Functions

a) A certified veterinary technician shall provide veterinary service under the control, direction and supervision of a licensed veterinarian, who is responsible for the services performed by the certified veterinary technician.

b) The duties of a certified veterinary technician shall not include the making of a diagnosis or prognosis, prescribing or writing prescriptions for drugs, medication or any other material for the care of treatment of any animal or performing any kind of surgery upon any animal.

c) A certified veterinary technician is prohibited from performing tasks that include, but are not limited to, the following:

1. dental extractions;

2. gingival resection;

3. clamping calves' tails;

4. floating teeth;

5. castrating any animals; and

6. settings of bones.

d) A certified veterinary technician shall only perform cast application under the immediate supervision of a veterinarian, as defined in Section 3 of the Act. This subsection does not apply to the setting of bones.

e) A certified veterinary technician shall perform the following tasks only under the direct or immediate supervision of a veterinarian, as defined in Section 3 of the Act:

1. anesthesia induction;

2. anesthesia endotracheal intubation;

3. anesthesia maintenance;

4. anesthesia monitor signs;

5. cut down with needle;

6. central line without cut down;

7. dental prophylaxis;

8. skin closure;

9. perform local nerve blocks;

10. splint application;

11. female canine urinary catheterization;

12. fine needle aspiration;

13. puncture abscess with needle;

14. decapitation for rabies tests submission;

15. dehorning calves;

16. docking sheep/pig tails; and

17. urinary catheterization for blocked male cat.

f) A certified veterinary technician shall perform the following tasks only under the indirect, direct or immediate supervision of a veterinarian, as defined in Section 3 of the Act:

1. IV catheter;

2. administer chemotherapy;

3. removal of sutures, drains or staples;

4. microchip implant;

5. bandage application;

6. male canine urinary catheterization;

7. trim normal hooves, excluding equine;

8. necropsy – tissue sample collection;

9. acquire or process radiological images;

10. venipuncture;

11. obtain objective patient data without diagnosis;

12. cystocentesis;

13. process laboratory samples;

14. bacterial streak and culture;

15. administer nonrabies vaccines;

16. intramuscular and subcutaneous injections;

17. intravenous injections into uncatheterized or catheterized veins;

18. animal restraint; and

19. humane euthanasia of animals.

g) Tasks not listed in subsections (d) and (e) may be delegated to a certified veterinary technician by a supervising veterinarian, as defined in Section 3 of the Act. The level of supervision by the supervising veterinarian shall be based on the skill, experience, and competency of the supervising veterinarian and the certified veterinary technician and in accordance with generally accepted veterinary medicine practice.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

68 Ill. Adm. Code 1505.70 Granting Variances

a) The Director of the Division of Professional Regulation (Director), with the authority granted by the Secretary, may grant variances in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.

History

• Source: Amended at 40 Ill. Reg. 2936, effective February 16, 2016

Chapter VII Department of Professional Regulation

Subchapter b Professions and Occupations

Part 1510 Wholesale Drug Distribution Licensing Act

68 Ill. Adm. Code 1510.10 Definitions

"Act" means the Wholesale Drug Distribution Licensing Act [225 ILCS 120].

"Blood" means whole blood collected from a single donor and processed either for transfusion or further manufacturing.

"Blood component" means that part of blood separated by physical or mechanical means.

"Board" means the State Board of Pharmacy.

"Department" means the Illinois Department of Financial and Professional Regulation.

"Director" means the Director of the Division of Professional Regulation.

"Drug sample" means a unit of a prescription drug that is not intended to be sold and is intended to promote the sale of the drug.

"Manufacturer" means anyone who is engaged in manufacturing, preparing, propagating, compounding, processing, packaging, repackaging or labeling a prescription drug.

"Prescription drug" means any human drug required by federal law or regulation to be dispensed only by a prescription, including finished dosage forms and active ingredients subject to section 503(b) of the Federal Food, Drug and Cosmetic Act (21 USC 301 et seq.).

"Third-party logistics provider" means anyone who contracts with a prescription drug manufacturer to provide or coordinate warehousing, distribution, or other services on behalf of a manufacturer, but does not take title to the prescription drug or have general responsibility to direct the prescription drug's sale or disposition.

"Wholesale distribution" or "wholesale distributions" means distribution of prescription drugs to a person other than a consumer or patient, but does not include:

Intracompany sales, defined as any transaction or transfer between any division, subsidiary, parent and/or affiliated or related company under the common ownership and control of a corporate entity;

The purchase or other acquisition by a hospital or other health care entity that is a member of a group purchasing organization of a drug for its own use from the group purchasing organization or from other hospitals or health care entities that are members of those organizations;

The sale, purchase or trade of a drug or an offer to sell, purchase or trade a drug by a charitable organization described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 USC 501(c)(3)) to a nonprofit affiliate of the organization to the extent otherwise permitted by law;

The sale, purchase or trade of a drug or an offer to sell, purchase or trade a drug among hospitals or other health care entities that are under common control (for purposes of this Section, "common control" means the power to direct or cause the direction of the management and policies of a person or an organization, whether by ownership of stock, by voting rights, or by contract, or otherwise);

The sale, purchase or trade of a drug or an offer to sell, purchase or trade a drug for emergency medical reasons (for purposes of this Section, "emergency medical reasons" includes transfers of prescription drugs by a retail pharmacy to another retail pharmacy to alleviate a temporary shortage);

The sale, purchase or trade of a drug; an offer to sell, purchase or trade a drug; or the dispensing of a drug pursuant to a prescription;

The lawful distribution of drug samples by manufacturers' representatives or distributors' representatives;

The sale, purchase or trade of blood and blood components intended for transfusion; or

The sale of prescription drugs by a pharmacy to practitioners (i.e., licensed physicians, dentists or podiatrists), providing the sales do not exceed 5% of the annual dollar purchases of prescription drugs by the pharmacy and providing the pharmacy maintains a log of sales to practitioners that includes date of sale; practioner'sname and address; drug and strength; size of package; and quantity sold.

"Wholesale distributor" means anyone engaged in wholesale distribution of prescription drugs, including, but not limited to, manufacturers; repackers; own-label distributors; private-label distributors; jobbers; brokers; warehouses, including manufacturers' and distributors' warehouses, chain drug warehouses, and wholesale drug warehouses; independent wholesale drug traders; and retail pharmacies that conduct wholesale distributions.

History

• Source: Amended at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.15 Liability Insurance Requirements

a) Each applicant for license as a wholesale drug distributor or a third-party logistics provider shall maintain, for the duration of that license, minimum liability insurance.

b) Each wholesale drug distributor shall submit a bond or other equivalent means of security, as approved by the Department, in the amount of $100,000.

c) Each third-party logistics provider shall submit a bond or other equivalent means of security, as approved by the Department, in the amount of $100,000.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.20 Application for Licensure (repealed)

History

• Source: Repealed at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.30 Personnel (repealed)

History

• Source: Repealed at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.40 Violations and Penalties

a) The Department shall have the authority to suspend, revoke or take other disciplinary action against any licenses granted under this Part upon conviction of a violation(s) of federal, state or local drug laws or regulations, and may impose fines or civil penalties not to exceed $1000 for each violation of this Part. Before any license may be suspended or revoked, or fines or civil penalties provided for herein may be imposed, a wholesale distributor shall have a right to prior notice and a hearing pursuant to 68 Ill. Adm. Code 1110.

b) The Department may suspend or revoke any license granted under this Part for willful and serious violations of this Part.

68 Ill. Adm. Code 1510.50 Minimum Requirements for the Storage and Handling of Prescription Drugs and for the Establishment and Maintenance of Prescription Drug Distribution Records (repealed)

History

• Source: Repealed at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.60 Renewals

a) The first renewal period for registration issued under the Act shall be December 31 of even-numbered years. The holder of a certificate of registration may renew that registration 60 days prior to the expiration date by filing an application with the Department and paying the required fee set forth in Section 1510.65.

b) It is the responsibility of each registrant to notify the Department of any change of mailing address. Failure to receive a renewal notice from the Department shall not constitute an excuse for failure to pay the renewal fee or to renew a certificate of registration.

History

• Source: Amended at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.65 Fees

The following fees shall be paid to the Department for the administration of the Act and are not refundable:

a) Application Fees

1. The fee for application for a certificate of registration as a wholesale drug distributor is $200.

2. The fee for application for a certificate of registration as a third-party logistics provider is $200.

b) Renewal Fees

1. The fee for the renewal of a certificate of registration shall be $200 per year.

2. The fee for renewal for a certificate of registration as a third-party logistics provider is $200.

c) General Fees

1. The fee for change of ownership of a wholesale drug distributor certificate of registration is $200.

2. The fee for change of ownership of a third-party logistics provider certificate of registration is $200.

3. The fee for the change of designated representative is $50.

4. The fee for change of location is $100.

5. The fee for a facility or business name change is $100.

History

• Source: Amended at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.70 Granting Variances

The Director may grant variances from this Part in individual cases when he/she finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.80 Application for Licensure

Each wholesale distributor, wherever located, who engages in wholesale distribution into, out of, or within Illinois shall be licensed by the Department in accordance with the Act and this Part before engaging in wholesale distribution of prescription drugs.

a) The applicant shall file with the Department an application that includes the following:

1. The name, full business address, and telephone number of the applicant;

2. All trade or business names used by the applicant;

3. Addresses, telephone numbers and names of contact persons at all facilities used by the applicant for the storage, handling and distribution of prescription drugs;

4. The type of ownership or operation (i.e., partnership, corporation or sole proprietorship). If a corporation, a copy of the Articles of Incorporation;

5. The names of the owner and/or operator of the entity, including:

A) The name of the person, if a person;

B) The name of each partner and the name of the partnership, if a partnership;

C) The name and title of each corporate officer and director, the corporate names, the name of the state where incorporated, and the name of the parent company, if any, if a corporation; or

D) The full name of the sole proprietor and the name of the business entity, if a sole proprietorship;

6. A list of all licenses and permits issued to the applicant by any other state that authorizes the applicant to purchase or possess prescription drugs;

7. The name of the designated representative for the wholesale drug distributor, together with the personal information statement and fingerprints required by Section 25(b)(7) of the Act;

8. Minimum liability insurance set forth in Section 1510.15;

9. Each wholesale drug distributor must designate an individual representative to serve as the contact person for the Department. This representative must provide the Department with all the information required under the Act;

10. The fee set forth in Section 1510.65;

11. A resident state inspection report or report based on an inspection conducted by a third-party entity approved by the Department; and

12. Any additional information required by the Department.

b) The Department will consider the following factors in determining eligibility for licensure of persons who engage in the wholesale distribution of prescription drugs:

1. Any conviction of the applicant under any federal, state or local laws relating to drug samples, wholesale or retail drug distribution, or distribution of controlled substances;

2. Any felony conviction of the applicant under federal, state or local laws;

3. The applicant's past experience in the manufacture or distribution of prescription drugs, including controlled substances;

4. The furnishing by the applicant of false or fraudulent material in any application made in connection with drug manufacturing or distribution;

5. Suspension or revocation by federal, state or local government of any license currently or previously held by the applicant for the manufacture or distribution of any drugs, including controlled substances;

6. Compliance with licensing requirements under previously granted licenses, if any;

7. Compliance with the requirements to maintain and/or make available to the state licensing authority or to federal, state or local law enforcement officials those records required to be maintained by wholesale drug distributors; and

8. Any other factors or qualifications the Department considers relevant to, and consistent with, public health and safety.

c) A separate license is required for each facility, directly or indirectly owned or operated by the same business, that distributes prescription drugs.

d) The Department reserves the right to deny a license to an applicant if it determines that the granting of that a license would not be in the public interest.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.85 Personnel

The licensed wholesale distributor shall employ personnel with the education, training and experience necessary to safely and lawfully engage in the wholesale distribution of drugs. As a condition for receiving and retaining a wholesale drug distributor license, the licensee shall require each person employed in any prescription drug wholesale distribution activity to have education, training and experience, or any combination of these, sufficient for that person to perform the assigned functions in a manner that provides assurance that the drug product quality, safety and security will at all times be maintained as required by law.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.90 Change of Ownership of a Wholesale Drug Distributor

a) When the address or name of a facility is changed, the licensee shall be required to apply for a new license and pay a $100 fee. If the facility is relocated, the facility shall pass an inspection, meeting all requirements of the Act and this Section.

b) A new wholesale drug distributor application must be filed whenever:

1. The address or name of a facility is changed;

2. 50% or more of the ownership of the business, other than a publicly traded business, to which the wholesale drug distributor license was issued is sold or otherwise transferred to a person or entity that does not hold any interest in the business issued the wholesale drug distributor license prior to the sale or transfer; or

3. A change occurs in more than half the board of directors or executive officers of a business issued a wholesale drug distributor license.

c) Any change of ownership or change in location requires an inspection.

d) Conversion of a business entity to a different type of business entity is considered a change of ownership.

e) Any change of ownership of a parent company that owns a wholesale drug distributor shall not be considered a change of ownership of the wholesale drug distributor.

f) Any change in information required by the Department shall be submitted to the Department 60 days prior to that change, except for changes in information of nonresident licensees. A nonresident licensee shall submit any change in information required by the Department within 30 days after a change of the resident state license.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.100 Application for Licensure

Each resident and nonresident third-party logistics provider must be licensed by the Department, in accordance with the Act, prior to shipping a prescription drug into Illinois.

a) The applicant shall file with the Department an application that includes the following:

1. The name, full business address, and telephone number of the applicant;

2. All trade or business names used by the applicant;

3. Addresses, telephone numbers, and names of contact persons for all facilities used by the applicant for the storage, handling and distribution of prescription drugs;

4. The type of ownership or operation, such as a partnership, corporation or sole proprietorship;

5. The name of the owner or operator of the applicant, including:

A) if a natural person, the name of the natural person;

B) if a partnership, the name of each partner and the name of the partnership;

C) if a corporation, the name and title of each corporate officer and director, the corporate names, and the name of the state of incorporation; and

D) if a sole proprietorship, the full name of the sole proprietor and the name of the business entity;

6. A list of all licenses and permits issued to the applicant by any other state that authorizes the applicant to purchase or possess prescription drugs;

7. The name of the designated representative for the applicant, together with the personal information statement and fingerprints required by Section 25(b)(7) of the Act;

8. Minimum liability insurance set forth in Section 1510.20;

9. Each applicant must designate an individual representative to serve as the contact person for the Department. This representative must provide the Department with all the information required under the Act;

10. The fee set forth in Section 1510.65;

11. A resident state inspection report or report based on an inspection conducted by a third-party entity approved by the Department; and

12. Any additional information required by the Department.

b) The Department will consider the following factors in determining eligibility for licensure as a third-party logistics provider:

1. Any conviction of the applicant under any federal, state or local laws relating to drug samples, wholesale or retail drug distribution, or distribution of controlled substances;

2. Any felony conviction of the applicant under federal, state or local laws;

3. The applicant's past experience in the manufacture or distribution of prescription drugs, including controlled substances;

4. The furnishing by the applicant of false or fraudulent material in any application made in connection with drug manufacturing or distribution;

5. Suspension or revocation by federal, state or local government of any license currently or previously held by the applicant for the manufacture or distribution of any drugs, including controlled substances;

6. Compliance with licensing requirements under previously granted licenses, if any;

7. Compliance with the requirements to maintain and/or make available to the state licensing authority or to federal, state or local law enforcement officials those records required to be maintained by wholesale drug distributors; and

8. Any other factors or qualifications the Department considers relevant to, and consistent with, public health and safety.

c) A separate license is required for each facility, directly or indirectly owned or operated by the same business, that distributes prescription drugs.

d) The Department reserves the right to deny a license to an applicant if it determines that the granting of that license would not be in the public interest.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.110 Change of Ownership of a Third-Party Logistics Provider

a) When the address or name of a facility is changed, the licensee shall be required to apply for a new license and pay a $100 fee. If the facility is relocated, the facility shall pass an inspection, meeting all requirements of the Act and this Part.

b) A new third-party logistics provider application must be filed whenever:

1. The address or name of a facility is changed;

2. 50% or more of the ownership of the business, other than a publicly traded business, to which the third-party logistics provider license was issued is sold or otherwise transferred to a person or entity that does not hold any interest in the business issued the wholesale drug distributor license prior to the sale or transfer; or

3. A change occurs in more than half the board of directors or executive officers of a business issued a third-party logistics provider license.

c) Any change of ownership or change in location requires an inspection.

d) Conversion of a business entity to a different type of business entity is considered a change of ownership.

e) Any change of ownership of a parent company that owns a third-party logistics provider shall not be considered a change of ownership of the third-party logistics provider.

f) Any change in information required by the Department shall be submitted to the Department 60 days prior to that change, except for changes in information of nonresident licensees. A nonresident licensee shall submit any change in information required by the Department within 30 days after a change of the resident state license.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

68 Ill. Adm. Code 1510.120 Minimum Requirements for the Storage and Handling of Prescription Drugs and for the Establishment and Maintenance of Prescription Drug Distribution Records

The following are minimum requirements for the storage and handling of prescription drugs, and for the establishment and maintenance of prescription drug distribution records by wholesale drug distributors and third-party logistics providers, and their officers, agents, representatives and employees:

a) Facilities. All facilities at which prescription drugs are stored, warehoused, handled, held, offered, marketed or displayed shall:

1. Be of suitable size and construction to facilitate cleaning, maintenance and proper operations;

2. Have storage areas designed to provide adequate lighting, ventilation, temperature, sanitation, humidity, space, equipment and security conditions;

3. Have a quarantine area for storage of prescription drugs that are outdated, damaged, deteriorated, misbranded or adulterated, or that are in immediate or sealed secondary containers that have been opened;

4. Be maintained in a clean and orderly condition; and

5. Be free from infestation by insects, rodents, birds or vermin of any kind.

b) Security. All facilities used for wholesale drug distribution shall:

1. Be secure from unauthorized entry.

A) Access from outside the premises shall be kept to a minimum and be well controlled.

B) The outside perimeter of the premises shall be well-lighted.

C) Entry into areas where prescription drugs are held shall be limited to authorized personnel;

2. Be equipped with an alarm system to detect entry after hours; and

3. Be equipped with a security system that will provide suitable protection against theft and diversion. When appropriate, the security system shall provide protection against theft or diversion that is facilitated or hidden by tampering with computers or electronic records.

c) Storage. All prescription drugs shall be stored at appropriate temperatures and under appropriate conditions, in accordance with requirements, if any, in the labeling of those drugs, or with requirements in the current edition of an official compendium such as the United States Pharmacopoeia and National Formulary.

1. If no storage requirements are established for a prescription drug, the drug may be held at "controlled" room temperature, as defined in an official compendium, to help ensure that its identity, strength, quality and purity are not adversely affected.

2. Appropriate manual, electromechanical, or electronic temperature and humidity recording equipment, devices and/or logs shall be utilized to document proper storage of prescription drugs.

3. The recordkeeping requirements in subsection (f) shall be followed for all stored drugs.

d) Examination of Materials

1. Upon receipt, each outside shipping container shall be visually examined to identify the product and to prevent the acceptance of contaminated prescription drugs or prescription drugs that are otherwise unfit for distribution. This examination shall be adequate to reveal container damage that would suggest possible contamination or other damage to the contents.

2. Each outgoing shipment shall be carefully inspected to identify the prescription drug products and to ensure that there is no delivery of prescription drugs that have been damaged in storage or held under improper conditions.

3. The recordkeeping requirements in subsection (f) shall be followed for all incoming and outgoing prescription drugs.

e) Returned, Damaged and Outdated Prescription Drugs

1. Prescription drugs that are outdated, damaged, deteriorated, misbranded or adulterated shall be quarantined and physically separated from other prescription drugs until they are destroyed or returned to their supplier.

2. Any prescription drugs whose immediate or sealed outer or sealed secondary containers have been opened or used shall be identified accordingly and shall be quarantined and separated from other prescription drugs until they are either destroyed or returned to the supplier.

3. If the conditions under which a prescription drug has been returned cast doubt on the drug's safety, identity, strength, quality or purity, the drug shall be destroyed or returned to the supplier unless examination, testing or other investigation proves that the drug meets appropriate standards of safety, identity, strength, quality and purity. In determining whether the conditions under which a drug has been returned cast doubt on the drug's safety or, identity, strength, quality or purity, the wholesale drug distributor and/or third-party logistics provider shall consider, among other things:

A) the conditions under which the drug has been held, stored or shipped before or during its return; and

B) the condition of the drug and its container, carton or labeling because of the storage or shipping.

4. The recordkeeping requirements in subsection (f) shall be followed for all outdated, damaged, deteriorated, misbranded or adulterated prescription drugs.

f) Recordkeeping

1. Wholesale drug distributors and third-party logistics providers shall establish and maintain inventories and records of all transactions regarding the receipt and distribution or other disposition of prescription drugs. These records shall include the following information:

A) The source of the drugs, including the name and principal address of the seller or transferor and the address of the location from which the drugs were shipped;

B) The identity and quantity of the drugs received and distributed or disposed of; and

C) The dates of receipt and distribution or other disposition of the drugs.

2. Inventories and records shall be made available, for a period of 2 years following disposition of the drugs, for inspection and photocopying by drug compliance investigators or any authorized official of any drug enforcement governmental agency charged with enforcement of this Part.

3. Records described in this Section that are kept at the inspection site or that can be immediately retrieved by computer or other electronic means shall be readily available for authorized inspection during the retention period. Records kept at a central location apart from the inspection site and not electronically retrievable shall be made available for inspection within 2 working days after a request by an authorized official of any federal, state and local agencies charged with enforcement of this Part.

g) Written Policies and Procedures. Wholesale drug distributors and third-party logistics providers shall establish, maintain and adhere to written policies and procedures that shall be followed for the receipt, security, storage, inventory and distribution of prescription drugs, including policies and procedures for identifying, recording and reporting losses or thefts, and for correcting all errors and inaccuracies in inventories. Wholesale drug distributors shall include in their written policies and procedures the following:

1. A procedure in which the oldest approved stock of a prescription drug product is distributed first. The procedure may permit deviation from this requirement if the deviation is temporary and appropriate.

2. A procedure to be followed for handling recalls and withdrawals of prescription drugs. This procedure shall be adequate to deal with recalls and withdrawals due to:

A) Any action initiated at the request of the Food and Drug Administration or other federal, state or local law enforcement or other government agency;

B) Any voluntary action by the manufacturer to remove defective or potentially defective drugs from the market; or

C) Any action undertaken to promote public health and safety by replacing existing merchandise with an improved product or new package design.

3. A procedure to ensure that wholesale drug distributors prepare for, protect against, and handle any crisis that affects security or operation of any facility in the event of strike or fire, flood or other natural disaster, or other situations of local, state or national emergency.

4. A procedure to ensure that any outdated prescription drugs shall be segregated from other drugs and either returned to the manufacturer or destroyed. This procedure shall provide for written documentation of the disposition of outdated prescription drugs. This documentation shall be maintained for 2 years after disposition of the outdated drugs.

h) Responsible Persons. Wholesale drug distributors and third-party logistics providers shall establish and maintain lists of officers, directors, managers and other persons in charge of wholesale drug distribution, storage and handling, including a description of their duties and a summary of their qualifications.

i) Compliance with Federal, State and Local Laws. Wholesale drug distributors and third-party logistics providers shall operate in compliance with applicable federal, state and local laws and regulations.

1. Wholesale drug distributors and third-party logistics providers shall permit drug compliance investigators of the Department and authorized federal, state and local law enforcement officials, at reasonable times, in a reasonable manner, and upon presentation of appropriate identification, to the extent authorized by law, to:

A) enter and inspect their premises and delivery vehicles; and

B) audit their records and written operating procedures.

2. Wholesale drug distributors and third-party logistics providers who deal in controlled substances shall register with the appropriate state-controlled substance authority and with the Drug Enforcement Administration (DEA), and shall comply with all applicable state, local and DEA regulations.

j) Salvaging and Reprocessing. Wholesale drug distributors and third-party logistics providers shall be subject to the provisions of any applicable federal, state or local laws or regulations that relate to prescription drug product salvaging or reprocessing.

History

• Source: Added at 44 Ill. Reg. 3363, effective March 6, 2020

Chapter IX Deaf and Hard of Hearing Commission

Part 1515 Interpreter for the Deaf Licensure Act of 2007

68 Ill. Adm. Code 1515.10 Definitions

"Accepted Certificate" or "Acceptable Certificate" means a certificate approved by the Commission and listed in Section 1515.50.

"Act" means the Interpreter for the Deaf Licensure Act of 2007 [225 ILCS 443].

"Board" means the Interpreter Licensure Board.

"Commission" means the Illinois Deaf and Hard of Hearing Commission.

"Department" means the Illinois Department of Financial and Professional Regulation.

"Director" means the Director of the Illinois Deaf and Hard of Hearing Commission.

"Interpreter" means a sign language interpreter for the deaf or any person defined as an interpreter by Section 10 of the Act.

68 Ill. Adm. Code 1515.20 Jurisdiction

Any individual who is subject to the Interpreter for the Deaf Licensure Act of 2007 must abide by the Act and this Part, regardless of the employment setting, unless specifically exempted by the Act.

68 Ill. Adm. Code 1515.30 Application for Licensure

a) The Commission shall issue a license to an applicant who submits proof of the following:

1. Certification of graduation from high school or its equivalent;

2. Proof of an accepted certification as specified in Section 1515.50; and

3. The required fee specified in Section 1515.70.

b) All documents shall be submitted on forms prescribed by the Commission.

c) If the applicant has ever been licensed in another jurisdiction, he/she shall also submit certifications, on forms prescribed by the Commission, from the jurisdiction where the applicant was originally licensed and the jurisdiction in which the applicant is currently licensed, stating:

1. The time during which the applicant was licensed in that jurisdiction, including the date of the original issuance of license;

2. A description of the certification or skill assessment in that jurisdiction; and

3. Whether the file on the applicant contains any record of disciplinary actions taken or pending.

d) When the accuracy of any submitted documentation or experience is questioned by the Commission because of lack of information, discrepancies or conflicts in information given, or need for clarification, the applicant seeking licensure shall be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Board, if requested, to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

68 Ill. Adm. Code 1515.40 Application for Provisional Licensure

a) An applicant for a provisional license shall file an application on the forms prescribed by the Commission, together with:

1. One of the following:

A) Proof of an accepted certificate under Section 1515.50(a); or

B) Proof that the applicant has completed, and is awaiting results of, a test required for acceptable certification under Section 1515.50; and

2. The required fee set forth in Section 1515.70.

b) A provisional license shall expire 12 months from the date of issuance and can only be renewed once for an additional 12 month period. Under no circumstances shall a provisional license be issued for a time period longer than 24 months. A provisional license shall automatically expire upon issuance of the Illinois license.

68 Ill. Adm. Code 1515.50 Accepted Certificates

An applicant for a license as a sign language interpreter shall provide proof of a current and valid acceptable certificate. Based upon the accepted certificate, a proficiency level, as determined under Section 1515.90, will be indicated on the license.

a) Acceptable certificates for a provisional license include any of the following:

1. Educational Interpreter Performance Assessment (EIPA) 3.5 or above and/or Registry of Interpreters for the Deaf (RID) certification based on EIPA evaluation;

2. Interpreter Skills Assessment Screening (ISAS) Interpreting Level 1 or 2;

3. Interpreter Skills Assessment Screening (ISAS) Transliterating Level 1 or 2;

4. Missouri Interpreter Certification Novice or Apprentice;

5. Illinois Board for Evaluation of Interpreters (BEI) Test of English Proficiency (TEP) or other state's BEI TEP;

6. Deaf Interpreters, with a minimum of 8 contact hours of training on the NAD-RID Code of Professional Conduct, and/or a state accredited college or university course including the Code of Professional Conduct and 8 contact hours on the role and responsibilities of Certified Deaf Interpreter, both completed within 3 years prior to the date of application; or

7. Until January 1, 2011, an interpreter who cannot provide any of the certificates required by this subsection (a), but who maintained a valid and unencumbered registration with the Commission on July 1, 2007 under the Interpreters for the Deaf Act [225 ILCS 442, repealed January 1, 2009].

b) Acceptable certificates for a license with an intermediate proficiency level include any of the following:

1. Interpreter Skills Assessment Screening (ISAS) Interpreting Level 3 or above;

2. Interpreter Skills Assessment Screening (ISAS) Transliterating Level 3 or above;

3. RID Interpretation Certificate (IC);

4. RID Transliteration Certificate (TC);

5. RID IC/TC;

6. Testing Evaluation and Certification Unit Inc. (TECUnit);

7. Missouri Interpreter Certification Intermediate;

8. Illinois BEI or other state's BEI Intermediate Level;

9. Deaf Interpreters with the required training under a provisional license and proof of passing a generalized knowledge based test provided by the Commission; or

10. Licensure in other states based on qualifications similar to those listed in this subsection (b).

c) Acceptable certificates for a license with an advanced proficiency level include any of the following:

1. Interpreter Skills Assessment Screening (ISAS) Interpreting Level 4 or above and ISAS Transliterating Level 4 or above;

2. RID-CI;

3. RID-CT;

4. National Interpreter Certification (NIC);

5. National Association of the Deaf Certificate Level 3 or 4;

6. Missouri Interpreter Certification Advanced;

7. Illinois BEI or other state's BEI Advanced Level;

8. Deaf Interpreters with the required training under a provisional license and proof of passing the RID-CDI knowledge based test; or

9. Licensure in other states based on qualifications similar to those listed in this subsection (c).

d) Acceptable certificates for a license with a master proficiency level include any of the following:

1. RID-CI/CT;

2. RID-Comprehensive Skills Certificate (CSC);

3. RID-Master Comprehensive Skills Certificate (MCSC);

4. RID-Reverse Skills Certificate (RSC);

5. RID-Certified Deaf Interpreter (CDI);

6. RID Specialist Certificate: Legal (SC:L) (applies to acceptance of legal assignments only under Section 1515.90);

7. National Association of the Deaf Certificate Level 5;

8. Missouri Interpreter Certificate Comprehensive;

9. National Interpreter Certification (NIC) Advanced or Master;

10. Illinois BEI or other state's BEI Master Level; or

11. Licensure in other states based on qualifications similar to those listed in this subsection (d).

History

• Source: Amended at 35 Ill. Reg. 4775, effective March 14, 2011

68 Ill. Adm. Code 1515.60 Renewals

a) Every license of a sign language interpreter for the deaf issued under the Act shall expire on December 31 of each year. The holder of a license may renew the license during the 60 days preceding the expiration date by providing proof of a current acceptable certificate and of completion of the continuing education hours set forth in Section 1515.80, and payment of the required fee.

b) Every provisional license of a sign language interpreter for the deaf issued under the Act shall expire 12 months from date of issuance. The holder of a provisional license may renew the provisional license during the 60 days preceding the expiration date by providing proof of a current acceptable certificate and of completion of the continuing education hours set forth in Section 1515.80, and payment of the required fee.

c) It is the responsibility of each registrant to notify the Commission of any change of address. Failure to receive a renewal form from the Commission shall not constitute an excuse for failure to submit a renewal application as prescribed by the Commission and pay the renewal fee.

d) Practicing after a license has expired shall be considered the unlicensed practice of sign language interpreting and subject to discipline pursuant to Section 20 of the Act.

68 Ill. Adm. Code 1515.70 Licensure Fees

The following fees shall be paid to the Commission and are not refundable:

a) Application Fee. The fee for the initial application for a provisional license or license of a sign language interpreter is $50, to be submitted with the initial license fee. In addition, applicants for an examination shall be required to pay to the Commission a fee covering the cost of determining an applicant's eligibility and providing the examination. Failure to appear for the examination on the scheduled date, at the time and place specified, after the applicant's application for examination has been received and acknowledged by the Commission or the designated testing service, shall result in the forfeiture of the examination fee.

b) Initial License Fee. The fee for the initial license, including a provisional license, is $175 per year. If the renewal of initial license is required within 6 months after issuance, the initial license fee shall be $90.

c) Renewal Fees. The fee for the renewal of a license, including a provisional license, is $150 per year.

d) Late Renewal Fee. The fee for all renewal applications received within 45 days after the expiration date of a license is $60, in addition to the renewal fees.

e) Inactive Status Fee. The fee for all applications to place a license on inactive status is $50.

f) General Fees.

1. The fee for the restoration of a license other than from inactive status is $75 plus payment of all lapsed renewal fees, but not to exceed $1500.

2. The fee for the issuance of a duplicate license, for the issuance of a replacement license for a license that has been lost or destroyed, for the issuance of a license with a change of name or address, or for the issuance of a license with a change in proficiency level, other than during the renewal period, is $25. No fee is required for name and address changes on Commission records when no duplicate license is issued.

3. The fee for certification of a licensee's record for any purpose is $20.

4. The fee for a wall certificate showing licensure is $20.

5. The fee for a roster of persons licensed as sign language interpreters for the deaf in this State shall be the actual cost of producing the roster. The Commission maintains an online listing of all persons licensed as sign language interpreters for the deaf in this State.

68 Ill. Adm. Code 1515.80 Continuing Education

a) Continuing Education Requirements

1. One Continuing Education (CE) hour shall be equal to one clock hour of attendance. After completion of the initial CE hour, credit may be given in one-half hour increments. Lunch hours, socials and breaks do not count towards CE hours.

2. A prerenewal period is the 12 month period proceeding January 1 of each year.

3. A renewal applicant shall not be required to comply with CE requirements for the 1st renewal period. This exemption applies only for a single renewal period, including the transition from a provisional license to a general license.

4. Every licensee who applies for renewal of a license as a sign language interpreter for the deaf for 2011 shall complete within the prerenewal period 12 hours of CE relevant to the practice of sign language interpreting.

5. Every licensee who applies for renewal of a license as a sign language interpreter for the deaf for 2012 shall complete within the prerenewal period 16 hours of CE relevant to the practice of sign language interpreting.

6. Beginning with the 2013 license renewal, every licensee who applies for renewal of a license as a sign language interpreter for the deaf shall complete within the prerenewal period 20 hours of CE relevant to the practice of sign language interpreting.

7. Interpreters licensed in Illinois but residing and practicing in other states shall comply with the CE requirements set forth in this Section.

8. CE hours used to satisfy the CE requirement of another jurisdiction may be applied to fulfill the Illinois CE requirements if they meet the requirements of this Section.

9. Upon proof of successful completion, courses that are part of the curriculum of an accredited university, college or other educational institution relating to interpreting shall have the following contact hours:

A) Semester system courses – 1 credit hour = 15 CE hours; and

B) Quarter system courses – 1 credit hour = 10 CE hours.

10. Upon proof of successful completion of the Commission's prescribed mentoring program pursuant to Section 1515.105, a licensed interpreter can earn up to 10 CE hours a year. CE hours can only be earned for the initial completion of the Commission's mentoring program between the Mentor and Mentee. Neither the Mentor nor Mentee can earn CE hours for repeated mentoring relations with the same Mentor/Mentee relationship.

b) Carryover of CE Hours

1. An interpreter may carry over a maximum of 50% of the required CE hours from the time he or she is licensed until the first renewal requiring CE; and

2. If an interpreter earns more than the CE hours required during a renewal period, the interpreter can carry over into the next renewal period a maximum of 50% CE hours required for that renewal period.

c) Certification of Compliance with CE Requirements

1. Applicants shall certify on the renewal application full compliance with CE requirements set forth in subsection (a).

2. The Commission may require additional evidence demonstrating compliance with the CE requirements (e.g., certificate of attendance). This additional evidence may be required in the context of the Commission's random audit. It is the responsibility of each renewal applicant to retain or otherwise produce evidence of compliance.

3. Applicants shall maintain for three years after the end of the relevant reporting period certificates of attendance received pursuant to subsection (d); proof of completion of continuing education required by another jurisdiction, if deemed sufficiently equivalent by the Commission; or transcripts indicating successful completion of a course described in subsection (e)(6) or (7) delivered by a college or university.

4. When there appears to be a lack of compliance with CE requirements, an applicant shall be notified in writing. At that time, the Commission may refuse to renew an interpreter's license or refer the application to the Department of Financial and Professional Regulation for disciplinary action as allowed by Section 115 of the Act.

d) Approved Continuing Education

CE hours shall be earned by verified attendance (e.g., certificate of attendance or certificate of completion) at or participation in a program or course that is offered or sponsored by an approved CE sponsor that meets the requirements set forth in subsection (e), except for those activities provided in subsection (a).

e) Approved CE Sponsors and Programs

1. Approved sponsor, as used in this Section, shall mean:

A) Approved CMP sponsors for the Registry for Interpreters for the Deaf (RID);

B) Illinois Deaf and Hard of Hearing Commission; and

C) Any other person, firm, association, corporation or group that has been approved and authorized by the Commission pursuant to subsection (e)(2) of this Section, upon the recommendation of the Board, to coordinate and present CE courses or programs.

2. Entities seeking approval as a CE sponsor pursuant to subsection (e)(1) shall file a sponsor application, along with the required fee of $150. (State agencies and State colleges and universities shall be exempt from paying this fee.) The applicant shall certify to the following:

A) That all programs offered by the sponsor for CE credit will comply with the criteria in subsection (e)(3) and all other criteria in this Section. A sponsor shall be required to submit a CE program with course materials for review prior to being approved as a CE sponsor;

B) That the sponsor will be responsible for verifying attendance at each program and provide a certificate of attendance as set forth in subsection (e)(10);

C) That, upon request by the Commission, the sponsor will submit evidence (e.g., certificate of attendance or course materials) as is necessary to establish compliance with this Section. Evidence shall be required when the Commission has reason to believe that there is not full compliance with this Section and that this information is necessary to ensure compliance.

3. All programs shall:

A) Contribute to the advancement, extension and enhancement of the professional skill and knowledge of the licensee;

B) Foster the enhancement of general or specialized interpreting practice and values;

C) Be developed and presented by a person with education and/or experience in the subject matter of the program;

D) Specify the course objectives, course content and teaching methods to be used; and

E) Specify the number of CE hours that may be applied to fulfilling the Illinois CE requirements for license renewal.

4. To maintain approval as an approved sponsor, each sponsor shall submit to the Commission by each odd-numbered year a renewal application, the renewal fee of $100 and a list of courses and programs offered within the last 24 months. The list shall include a brief description, location, date and time of each course given.

5. Presenters of workshops or training can receive CE hours equal to 1 hour for each hour of presentation. CE hours can only be earned for the initial presentation of a workshop. A presentation abstract must be submitted and approved by an approved CE sponsor 30 days prior to the event.

6. Each CE program shall provide a mechanism for evaluation of the program by the participants.

7. All programs given by approved sponsors shall be open to all licensed sign language interpreters for the deaf and not be limited to members of a single organization or group.

8. It shall be the responsibility of a sponsor to provide each participant in a program with a certificate of attendance or participation. The certificate shall contain:

A) The name, address and license number of the sponsor;

B) The name and license number of the participant;

C) A brief statement of the subject matter;

D) The number of contact hours attended in each program;

E) The date and place of the program; and

F) The signature of the sponsor.

9. The sponsor shall maintain attendance records for not less than 5 years.

10. The sponsor shall be responsible for assuring that a renewal applicant does not receive CE credit for time not actually spent attending the program.

11. Upon the failure of a sponsor to comply with any of the requirements of this Section, the Commission, after notice to the sponsor and hearing before and recommendation by the Board (see 68 Ill. Adm. Code 1110), shall refuse to accept attendance at or participation in any of that sponsor's CE programs until such time as the Commission receives assurances of compliance with this Section.

12. Notwithstanding any other provision of this Section, the Commission or the Board may evaluate any sponsor of any approved CE program at any time to ensure compliance with the requirements of this Section.

f) Restoration of Nonrenewed License. Upon satisfactory evidence of compliance with CE requirements, the Commission shall restore the license upon payment of the fee required by Section 1515.70.

g) Waiver of CE Requirements

1. Any applicant seeking renewal of a license without having fully complied with the CE requirements of this Section shall file with the Commission a renewal application, along with the fee required by Section 1515.70, a statement setting forth the facts concerning non-compliance, and a request for waiver of all or part of the CE requirements on the basis of those facts. A request for waiver shall be made prior to the renewal date. If the Commission, upon the written recommendation of the Board, finds from the application or any other evidence submitted that extreme hardship has been shown for granting a waiver, the Commission shall waive enforcement of the CE requirements for the renewal period for which the applicant has applied.

2. Extreme hardship shall be determined on an individual basis by the Board and be defined as an inability to devote sufficient contact hours to fulfilling the CE requirements during the applicable prerenewal period because of:

A) Full-time service in the armed forces of the United States of America during a substantial part of the prerenewal period;

B) An incapacitating illness documented by a statement from a currently licensed physician;

C) A physical inability to travel to the sites of approved programs documented by a currently licensed physician; or

D) Any other similar extenuating circumstances.

3. Any renewal applicant who, prior to the expiration date of the license, submits a request for a waiver, in whole or in part, pursuant to the provisions of this Section shall be deemed to be in good standing until the final decision on the application is made by the Commission.

History

• Source: Amended at 37 Ill. Reg. 2552, effective July 1, 2013

68 Ill. Adm. Code 1515.90 Proficiency Levels

a) Upon request of any consumer or hiring entity, an interpreter shall show proof of his or her Illinois license indicating proficiency level.

b) As sign language interpreters' credentials are based on proficiency level, in order to protect the health, welfare and safety of the deaf and hard of hearing consumers, interpreters shall only accept assignments appropriate for their proficiency level based upon accepted certifications for licensure. Interpreters should accept, refuse or withdraw from assignments based upon their experience, capabilities and credentials.

c) Provisional License Interpreters with a valid provisional license may appropriately interpret in the following settings:

1. Vocational Rehabilitation

A) Job Coaching

B) Employment Training/Workshops

2. Community Education

3. Recreational/Educational Programs

4. Entertainment/Social Events (not including live, professional stage performances)

d) Interpreters with a valid license with an intermediate proficiency level may appropriately interpret in the following settings:

1. Law Enforcement Education

2. Community Health Education

3. Post-Secondary Education

4. Educational Conferences

A) Workshops

B) Training

C) Professional Development

5. Employment Maintenance

A) Staff Meetings

B) Training

6. Government Services

7. Correctional Education

8. Medical

A) Nursing and Personal Care (nursing homes)

B) Routine, Non-clinical

C) 12 STEP Programs/Group Homes/Day Programs

9. Video Relay Services

10. All settings appropriate to a provisional license

e) Advanced Proficiency Level Interpreters with a valid license with an advanced proficiency level are appropriate to interpret the following settings:

1. Professional Stage Performances – Live

2. Medical

A) Routine Clinical Appointments

B) Emergency Room

C) Obstetrics

D) Life Threatening

3. Mental Health and Psychiatry

A) Routine Clinical

B) Crisis Intervention

C) Hospitalization

4. Employment

A) Interviews

B) Hiring

C) Firing

D) Performance Evaluations

E) Discipline

5. Government/Government Services

A) Administrative Proceedings/Hearings

B) Social Services

i) Department of Children and Family Services

ii) Social Security

iii) Financial Assistance

6. VR Counseling

7. Financial Management

A) Purchasing

B) Tax Preparation

C) Real Estate

D) Insurance

8. Legal

A) Criminal Misdemeanor (non-trial only)

B) Civil (minor)

C) Correctional

D) Attorney-Client Meetings

9. All settings appropriate for provisional licensees and licensees with intermediate proficiency levels.

f) Master Proficiency Level Interpreters with a valid license with a master proficiency level may appropriately interpret in the following settings:

1. Legal

A) Trials

B) Criminal (Felony)

C) Civil (Major)

D) Juvenile/Family Court

E) Law Enforcement

2. All settings appropriate for provisional licensees and licensees with intermediate and advanced proficiency levels

68 Ill. Adm. Code 1515.100 Supervision

Section 25(3) of the Act states that students enrolled in a course of study leading to a certificate or degree in interpreting shall engage only in activities and services that constitute a part of a supervised course of study. The following protocols shall be followed:

a) A written or oral consent shall be procured from the deaf consumer (if present); and

b) The student shall be clearly identified as a student, trainee or intern.

68 Ill. Adm. Code 1515.105 Supervision of Performance

a) A currently licensed interpreter may work one level above his or her current proficiency level when under the direct supervision of a current Illinois licensed interpreter with either an Advanced or Master proficiency level, involving a mentoring program as approved by the Commission.

b) Direct supervision, as applied to this Section, means the supervising interpreter (Mentor) with a valid license is on-site, in a position to view and offer guidance while an assigned activity is performed by the licensed interpreter working outside of his or her proficiency level (Mentee) as prescribed by Section 1515.90.

c) Assigned activities performed by the Mentee shall be within the scope of the Mentor's current proficiency level.

d) The Mentor shall maintain the final responsibility for the accuracy of the interpretation and the performance of the Mentee.

e) The Mentor may supervise no more than two Mentees at one time.

f) The following is not acceptable supervision of a licensed interpreter:

1. Peer supervision (supervision by a person of equivalent but not superior proficiency level); and

2. Supervision by current or former family members or any other person with whom the personal relationship prevents, or makes difficult, the establishment of a supervisory relationship.

g) The following protocols shall be followed in order for the Mentee to work under the direct supervision of the Mentor:

1. Completion of all forms prescribed by the Commission accompanied by the appropriate documentation and the required nonrefundable fee;

2. The Mentee shall not replace a required team interpreter and shall not be compensated;

3. Written consent must be submitted by the client prior to the assignment; and

4. Written or oral consent must be received from the deaf or hard of hearing consumer at the start of the assignment. If the deaf or hard of hearing consumer does not consent, the Mentee will not provide interpreting services and will depart from the assignment unless the assignment is at a public venue.

History

• Source: Added at 37 Ill. Reg. 2552, effective July 1, 2013

68 Ill. Adm. Code 1515.110 Inactive Status

a) Licensed sign language interpreters who notify the Commission may place their licenses on inactive status by submitting the request on forms prescribed by the Commission and paying the fee required by Section 1515.70. Interpreters shall be excused from paying renewal fees until they notify the Commission in writing of the intention to resume active practice.

b) Any licensed sign language interpreter for the deaf seeking restoration from inactive status shall do so in accordance with Section 1515.120 of this Part.

c) Any sign language interpreter for the deaf whose license is on inactive status shall not use the title "sign language interpreter for the deaf" or any of the other designations listed in Section 15 of the Act in the State of Illinois. Any person violating this subsection (c) shall be considered to be practicing without a license and shall be subject to the disciplinary provisions of the Act.

68 Ill. Adm. Code 1515.120 Restoration

a) Any sign language interpreter for the deaf whose license has expired or has been placed on inactive status for 5 years or less may have the license restored by paying the fees required by Section 1515.70 and providing proof of completion of 20 CE hours during the 2 years prior to submitting the restoration application. Acceptable proof of completion shall be certificates of attendance provided by sponsors of approved CE programs or other documentation allowed by Section 1515.80(c)(3).

b) Any person seeking restoration of a license that has been expired or placed on inactive status for more than 5 years shall file an application, on forms supplied by the Commission, for review by the Board, together with the fee required by Section 1515.70 of this Part. In addition, the applicant shall submit one of the following:

1. Sworn evidence of active practice in another jurisdiction. The evidence shall include a statement from an appropriate board or licensing authority in the other jurisdiction that the licensee was authorized to practice;

2. An affidavit attesting to military service as provided in Section 80 of the Act; or

3. Other proof acceptable to the Commission of the applicant's fitness to have the certificate restored.

c) When the accuracy of any submitted documentation or the relevance or sufficiency of the course work or experience is questioned by the Commission because of lack of information, discrepancies or conflicts in information given, or a need for clarification, the licensee seeking restoration shall be requested to:

1. Provide the necessary information; and/or

2. Appear for an interview before the Board, if requested, to explain the relevance or sufficiency, clarify information, or clear up any discrepancies or conflicts in information.

d) Upon recommendation of the Board and approval by the Director, an applicant shall have the license restored or be notified in writing of the reason for denying the application.

68 Ill. Adm. Code 1515.130 Standards of Professional Conduct

In order to establish and maintain a high standard of integrity in the practice of sign language interpreters, the following Standards of Professional Conduct shall be binding on all applicants for licensure and every person holding a license as a sign language interpreter.

a) Pursuant to Section 115 of the Act, dishonorable, unethical or unprofessional conduct in the practice of interpreting shall include, but not be limited to:

1. Interpreting or offering to interpret beyond one's competency or skill level, as indicated by his or her certification or proficiency level;

2. Accepting and performing professional responsibilities that the licensee knows, or has reason to know, that he or she is not competent to perform;

3. Interjecting personal opinion during an assignment or on matters pertaining to the assignment;

4. Delegating an assignment to a person who is not qualified or does not possess the appropriate certification, as defined in Section 1515.50, for the services to be provided;

5. Extending or lengthening an assignment for the sole purpose of financial gain;

6. Engaging in an exploitive relationship with a consumer. An exploitive relationship is any relationship between the interpreter and consumer that may take advantage of, or cause harm to, the consumer.

b) The Commission hereby incorporates by reference "NAD-RID Code of Professional Conduct" of the Registry of Interpreters for the Deaf, 333 Commerce Street Alexandria VA 22314, July 2005, with no later amendments or editions.

68 Ill. Adm. Code 1515.140 Granting Variances

a) The Director may grant variances from this Part in individual cases when he/she finds that:

1. The provision from which the variance is granted is not statutorily mandated;

2. No party will be injured by the granting of the variance; and

3. The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

b) The Director shall notify the Board of the granting of the variance, and the reasons for granting the variance, at the next meeting of the Board.