ILLINOIS · 2018. 3. 23. · ILLINOIS REGISTER RULES OF GOVERNMENTAL AGENCIES PUBLISHED BY JESSE WHITE • SECRETARY OF STATE Index Department Administrative Code Division 111 E

ILLINOIS REGISTER RULES

OF GOVERNMENTAL AGENCIES

PUBLISHED BY JESSE WHITE • SECRETARY OF STATE

Index DepartmentAdministrative Code Division111 E. Monroe St.Springfield, IL 62756217-782-7017www.cyberdriveillinois.com

Printed on recycled paper

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TABLE OF CONTENTS

March 23, 2018 Volume 42, Issue 12

PROPOSED RULES CENTRAL MANAGEMENT SERVICES, DEPARTMENT OF

Pay Plan

80 Ill. Adm. Code 310............................................................................5056

COMMERCE COMMISSION, ILLINOIS

Telephone Assistance Programs

83 Ill. Adm. Code 757............................................................................5141

PUBLIC HEALTH, DEPARTMENT

AIDS Drug Assistance Program

77 Ill. Adm. Code 692............................................................................5167

REVENUE, DEPARTMENT OF

Retailers' Occupation Tax

86 Ill. Adm. Code 130............................................................................5172

ADOPTED RULES CENTRAL MANAGEMENT SERVICES, DEPARTMENT OF

Pay Plan

80 Ill. Adm. Code 310............................................................................5357

HEALTH FACILITIES AND SERVICES REVIEW BOARD, ILLINOIS

Narrative and Planning Policies

77 Ill. Adm. Code 1100..........................................................................5410

Process, Classification Policies and Review Criteria (Repealer)

77 Ill. Adm. Code 1110..........................................................................5444

Process, Classification Policies and Review Criteria (New Part)

77 Ill. Adm. Code 1110..........................................................................5447

Long-Term Care

77 Ill. Adm. Code 1125..........................................................................5610

SECOND NOTICES RECEIVED JOINT COMMITTEE ON ADMINISTRATIVE RULES

Second Notices Received…...........................................................................5623

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INTRODUCTION

The Illinois Register is the official state document for publishing public notice of rulemaking

activity initiated by State governmental agencies. The table of contents is arranged categorically

by rulemaking activity and alphabetically by agency within each category.

Rulemaking activity consists of proposed or adopted new rules; amendments to or repealers of

existing rules; and rules promulgated by emergency or peremptory action. Executive Orders and

Proclamations issued by the Governor; notices of public information required by State Statute;

and activities (meeting agendas; Statements of Objection or Recommendation, etc.) of the Joint

Committee on Administrative Rules (JCAR), a legislative oversight committee which monitors

the rulemaking activities of State Agencies; is also published in the Register.

The Register is a weekly update of the Illinois Administrative Code (a compilation of the rules

adopted by State agencies). The most recent edition of the Code, along with the Register,

comprise the most current accounting of State agencies' rulemakings.

The Illinois Register is the property of the State of Illinois, granted by the authority of the Illinois

Administrative Procedure Act [5 ILCS 100/1-1, et seq.].

ILLINOIS REGISTER PUBLICATION SCHEDULE FOR 2018

Issue# Rules Due Date Date of Issue

1 December 26, 2017 January 5, 2018

2 January 2, 2018 January 12, 2018



5 January 22, 2018 February 2, 2018

6 January 29, 2018 February 9, 2018

7 February 5, 2018 February 16, 2018

8 February 13, 2018 February 23, 2018

9 February 20, 2018 March 2, 2018

10 February 26, 2018 March 9, 2018

11 March 5, 2018 March 16, 2018

12 March 12, 2018 March 23, 2018

13 March 19, 2018 March 30, 2018

14 March 26, 2018 April 6, 2018

15 April 2, 2018 April 13, 2018

16 April 9, 2018 April 20, 2018

17 April 16, 2018 April 27, 2018

18 April 23, 2018 May 4, 2018

19 April 30, 2018 May 11, 2018

20 May 7, 2018 May 18, 2018

21 May 14, 2018 May 25, 2018

22 May 21, 2018 June 1, 2018

23 May 29, 2018 June 8, 2018

24 June 4, 2018 June 15, 2018

25 June 11, 2018 June 22, 2018

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26 June 18, 2018 June 29, 2018

27 June 25, 2018 July 6, 2018

28 July 2, 2018 July 13, 2018

29 July 9, 2018 July 20, 2018

30 July 16, 2018 July 27, 2018

31 July 23, 2018 August 3, 2018

32 July 30, 2018 August 10, 2018

33 August 6, 2018 August 17, 2018

34 August 13, 2018 August 24, 2018

35 August 20, 2018 August 31, 2018

36 August 27, 2018 September 7, 2018

37 September 4, 2018 September 14, 2018



40 September 24, 2018 October 5, 2018

41 October 1, 2018 October 12, 2018

42 October 9, 2018 October 19, 2018

43 October 15, 2018 October 26, 2018

44 October 22, 2018 November 2, 2018

45 October 29, 2018 November 9, 2018

46 November 5, 2018 November 16, 2018



49 November 26, 2018 December 7, 2018

50 December 3, 2018 December 14, 2018



ILLINOIS REGISTER 5056

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DEPARTMENT OF CENTRAL MANAGEMENT SERVICES

NOTICE OF PROPOSED AMENDMENTS

1) Heading of the Part: Pay Plan

2) Code Citation: 80 Ill. Adm. Code 310

3) Section Numbers: Proposed Actions:

310.47 Amendment

310.50 Amendment

310.130 Amendment

310.260 Amendment

310.410 Amendment

310.500 Amendment

310.Appendix A Table O Amendment

310.Appendix A Table Y Amendment

4) Statutory Authority: Authorized by Sections 8, 8a and 9(7) of the Personnel Code [20

ILCS 415/8, 20 ILCS 415/8a, 20 ILCS 415/8c, 20 ILCS 415/8e, 20 ILCS 415/9(7) and 20

ILCS 415/9(14)], subsection (d) of Section 1‑5 of the Illinois Administrative Procedure

Act [5 ILCS 100/1-5(d)] and by Sections 4, 6, 15 and 21 of the Illinois Public Labor

Relations Act [5 ILCS 315/4, 5 ILCS 315/6, 5 ILCS 315/15 and 5 ILCS 315/21].

5) A Complete Description of the Subjects and Issues Involved: In the table of contents,

Educator Trainees are removed from the heading for 310.Appendix A Table Y. The

Educator Trainee title was abolished as approved by the Civil Service Commission

effective May 1, 2017.

In Section 310.47, the Conservation/Historic Preservation Worker title (title code 09317)

positions at the Department of Natural Resources are assigned a $9.00/hour or

$1,468/month in-hire rate effective January 1, 2018.

In Sections 310.50 and 310.500, the definition of Option is updated to include for the

Public Service Administrator title the sub-options 6I, 7A and 9D and for the Senior

Public Service Administrator title the sub-option 7A.

In Section 310.130, the fiscal year is updated to 2019.

In Section 310.260, the following titles are added to the list of Trainee program titles:

Economist Associate (title code 12940); Environmental Health Specialist I (title code

13768); and Insurance Performance Examiner Trainee (title code 21680). The Insurance

Performance Examiner Trainee title was established as approved by the Civil Service


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Commission effective May 1, 2017. The Economist Associate was established as

approved by the Civil Service Commission effective July 1, 2014. The Environmental

Health Specialist I was established as approved by the Civil Service Commission

effective July 1, 2008.

In Section 310.410, the Educator Trainee title is removed because the title was abolished

as approved by the Civil Service Commission effective May 1, 2017. The Construction

Supervisor I and II titles are removed because the titles were abolished as approved by

the Civil Service Commission effective January 1, 2018. The Construction Supervisor

title is added with its title code 09560 and assigned MS-14 salary range because the title

was established as approved by the Civil Service Commission effective January 1, 2018.

The Juvenile Justice Vocational Instructor title’s title code is corrected to 21987.

In Section 310.Appendix A Table O and the title table, the Construction Supervisor I and

II titles are removed because the titles were abolished as approved by the Civil Service

Commission effective January 1, 2018.

In Section 310.Appendix A Table Y and heading, Educator is made plural and Educator

Trainees is removed. In the title table, Educator Trainee is removed because the title was

abolished as approved by the Civil Service Commission effective May 1, 2017. The two

Educator Trainee rate tables are removed.

6) Published studies or reports, and sources of underlying data, used to compose this

rulemaking: The documents used are: Classification Plan Review Proposal/Change

Report for the Construction Supervisor, Construction Supervisor I and Construction

Supervisor II titles effective January 1, 2018; Memo approving the in-hire rate for the

Conservation/Historic Preservation Worker title positions at the Department of Natural

Resources effective January 1, 2018; Classification Plan Review Proposal/Change Report

for the Insurance Performance Examiner Trainee effective May 1, 2017; Classification

Plan Review Proposal/Change Report for the Economist Associate title effective July 1,

2014; Classification Plan Review Proposal/Change Report for the Environmental Health

Specialist I title effective December 20, 2001; and Classification Plan Review

Proposal/Change Report for the Educator Trainee title effective May 1, 2017.

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

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

9) Does this rulemaking contain incorporations by reference? No


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

11) Statement of Statewide Policy Objective: This amendment to the Pay Plan affects only

the employees subject to the Personnel Code and does not set out any guidelines that

affect local or other jurisdictions in the State.

12) Time, Place, and Manner in which interested persons may comment on this proposed

rulemaking:

Lisa Fendrich

Compensation Section

Division of Technical Services

Bureau of Personnel

Department of Central Management Services

504 William G. Stratton Building

Springfield IL 62706

217/782-7976

fax: 217/524-4570

[email protected]

13) Initial Regulatory Flexibility Analysis:

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

affected: None

B) Reporting, bookkeeping or other procedures required for compliance: None

C) Types of professional skills necessary for compliance: None

14) Regulatory Agenda on which this rulemaking was summarized: The changes are in the

January 2018 Regulatory Agenda.

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


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TITLE 80: PUBLIC OFFICIALS AND EMPLOYEES

SUBTITLE B: PERSONNEL RULES, PAY PLANS, AND

POSITION CLASSIFICATIONS

CHAPTER I: DEPARTMENT OF CENTRAL MANAGEMENT SERVICES

PART 310

PAY PLAN

SUBPART A: NARRATIVE

Section

310.20 Policy and Responsibilities

310.30 Jurisdiction

310.40 Pay Schedules

310.45 Comparison of Pay Grades or Salary Ranges Assigned to Classifications

310.47 In-Hire Rate

310.50 Definitions

310.60 Conversion of Base Salary to Pay Period Units

310.70 Conversion of Base Salary to Daily or Hourly Equivalents

310.80 Increases in Pay

310.90 Decreases in Pay

310.100 Other Pay Provisions

310.110 Implementation of Pay Plan Changes (Repealed)

310.120 Interpretation and Application of Pay Plan

310.130 Effective Date

310.140 Reinstitution of Within Grade Salary Increases (Repealed)

310.150 Fiscal Year 1985 Pay Changes in Schedule of Salary Grades, effective July 1,

1984 (Repealed)

SUBPART B: SCHEDULE OF RATES

Section

310.205 Introduction

310.210 Prevailing Rate

310.220 Negotiated Rate

310.230 Part-Time Daily or Hourly Special Services Rate (Repealed)

310.240 Daily or Hourly Rate Conversion

310.250 Member, Patient and Inmate Rate

310.260 Trainee Rate


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310.270 Legislated Rate (Repealed)

310.280 Designated Rate

310.290 Out-of-State Rate (Repealed)

310.295 Foreign Service Rate (Repealed)

310.300 Educator Schedule for RC-063 and HR-010

310.310 Physician Specialist Rate

310.320 Annual Compensation Ranges for Executive Director and Assistant Executive

Director, State Board of Elections (Repealed)

310.330 Excluded Classes Rate (Repealed)

SUBPART C: MERIT COMPENSATION SYSTEM

Section

310.410 Jurisdiction

310.415 Merit Compensation Salary Range Assignments

310.420 Objectives

310.430 Responsibilities

310.440 Merit Compensation Salary Schedule

310.450 Procedures for Determining Annual Merit Increases and Bonuses

310.455 Intermittent Merit Increase (Repealed)

310.456 Merit Zone (Repealed)

310.460 Other Pay Increases

310.470 Adjustment



310.495 Broad-Band Pay Range Classes

310.500 Definitions

310.510 Conversion of Base Salary to Pay Period Units (Repealed)


310.530 Implementation

310.540 Annual Merit Increase and Bonus Guidechart

310.550 Fiscal Year 1985 Pay Changes in Merit Compensation System, effective July 1,

1984 (Repealed)

310.560 Merit Incentive Program

310.570 Gain Sharing Program

SUBPART D: FROZEN NEGOTIATED-RATES-OF-PAY DUE TO

FISCAL YEAR APPROPRIATIONS AND EXPIRED SALARY SCHEDULES IN

COLLECTIVE BARGAINING UNIT AGREEMENTS


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Section

310.600 Jurisdiction (Repealed)

310.610 Pay Schedules (Repealed)

310.620 In-Hiring Rate (Repealed)

310.630 Definitions (Repealed)

310.640 Increases in Pay (Repealed)

310.650 Other Pay Provisions (Repealed)

310.660 Effective Date (Repealed)

310.670 Negotiated Rate (Repealed)

310.680 Trainee Rate (Repealed)

310.690 Educator Schedule for Frozen RC-063 and Frozen HR-010 (Repealed)

310.APPENDIX A Negotiated Rates of Pay

310.TABLE A RC-104 (Conservation Police Supervisors, Illinois Fraternal Order of

Police Labor Council)

310.TABLE B VR-706 (Assistant Automotive Shop Supervisors, Automotive Shop

Supervisors and Meat and Poultry Inspector Supervisors, Laborers' −

ISEA Local #2002)

310.TABLE C RC-056 (Site Superintendents and Departments of Veterans' Affairs,

Natural Resources, Human Services and Agriculture and Historic

Preservation Agency Managers, IFPE)

310.TABLE D HR-001 (Teamsters Local #700)

310.TABLE E RC-020 (Teamsters Locals #330 and #705)

310.TABLE F RC-019 (Teamsters Local #25)

310.TABLE G RC-045 (Automotive Mechanics, IFPE)

310.TABLE H RC-006 (Corrections Employees, AFSCME)

310.TABLE I RC-009 (Institutional Employees, AFSCME)

310.TABLE J RC-014 (Clerical Employees, AFSCME)

310.TABLE K RC-023 (Registered Nurses, INA)

310.TABLE L RC-008 (Boilermakers)

310.TABLE M RC-110 (Conservation Police Lodge)

310.TABLE N RC-010 (Professional Legal Unit, AFSCME)

310.TABLE O RC-028 (Paraprofessional Human Services Employees, AFSCME)

310.TABLE P RC-029 (Paraprofessional Investigatory and Law Enforcement

Employees, Meat and Poultry Inspectors and Meat and Poultry

Inspector Trainees, IFPE)

310.TABLE Q RC-033 (Meat Inspectors, IFPE) (Repealed)

310.TABLE R RC-042 (Residual Maintenance Workers, AFSCME)

310.TABLE S VR-704 (Departments of Corrections, Financial and Professional


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Regulation, Juvenile Justice and State Police Supervisors, Laborers' –

ISEA Local #2002)

310.TABLE T HR-010 (Teachers of Deaf, IFT)

310.TABLE U HR-010 (Teachers of Deaf, Extracurricular Paid Activities)

310.TABLE V CU-500 (Corrections Meet and Confer Employees)

310.TABLE W RC-062 (Technical Employees, AFSCME)

310.TABLE X RC-063 (Professional Employees, AFSCME)

310.TABLE Y RC-063 (Educators, Educator Trainees, Juvenile Justice School

Counselors and Special Education Resources Coordinators, AFSCME)

310.TABLE Z RC-063 (Physicians, AFSCME)

310.TABLE AA NR-916 (Departments of Central Management Services, Natural

Resources and Transportation, Teamsters)

310.TABLE AB RC-150 (Public Service Administrators Option 6, AFSCME)

(Repealed)

310.TABLE AC RC-036 (Public Service Administrators Option 8L Department of

Healthcare and Family Services, INA)

310.TABLE AD RC-184 (Blasting Experts, Blasting Specialists and Blasting

Supervisors Department of Natural Resources, SEIU Local 73)

310.TABLE AE RC-090 (Internal Security Investigators, Metropolitan Alliance of

Police Chapter 294) (Repealed)

310.APPENDIX B Frozen Negotiated-Rates-of-Pay (Repealed)

310.TABLE A Frozen RC-104-Rates-of-Pay (Conservation Police Supervisors,

Laborers' – ISEA Local #2002) (Repealed)

310.TABLE C Frozen RC-056-Rates-of-Pay (Site Superintendents and

Departments of Veterans' Affairs, Natural Resources, Human

Services and Agriculture and Historic Preservation Agency

Managers, IFPE) (Repealed)

310.TABLE H Frozen RC-006-Rates-of-Pay (Corrections Employees, AFSCME)

(Repealed)

310.TABLE I Frozen RC-009-Rates-of-Pay (Institutional Employees, AFSCME)

(Repealed)

310.TABLE J Frozen RC-014-Rates-of-Pay (Clerical Employees, AFSCME)

(Repealed)

310.TABLE K Frozen RC-023-Rates-of-Pay (Registered Nurses, INA) (Repealed)

310.TABLE M Frozen RC-110-Rates-of-Pay (Conservation Police Lodge)

(Repealed)

310.TABLE N Frozen RC-010 (Professional Legal Unit, AFSCME) (Repealed)

310.TABLE O Frozen RC-028-Rates-of-Pay (Paraprofessional Human Services

Employees, AFSCME) (Repealed)


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310.TABLE P Frozen RC-029-Rates-of-Pay (Paraprofessional Investigatory and

Law Enforcement Employees, IFPE) (Repealed)

310.TABLE R Frozen RC-042-Rates-of-Pay (Residual Maintenance Workers,

AFSCME) (Repealed)

310.TABLE S Frozen VR-704-Rates-of-Pay (Departments of Corrections,

Financial and Professional Regulation, Juvenile Justice and State

Police Supervisors, Laborers' – ISEA Local #2002) (Repealed)

310.TABLE T Frozen HR-010-Rates-of-Pay (Teachers of Deaf, IFT) (Repealed)

310.TABLE V Frozen CU-500-Rates-of-Pay (Corrections Meet and Confer

Employees) (Repealed)

310.TABLE W Frozen RC-062-Rates-of-Pay (Technical Employees, AFSCME)

(Repealed)

310.TABLE X Frozen RC-063-Rates-of-Pay (Professional Employees, AFSCME)

(Repealed)

310.TABLE Y Frozen RC-063-Rates-of-Pay (Educators and Educator Trainees,

AFSCME) (Repealed)

310.TABLE Z Frozen RC-063-Rates-of-Pay (Physicians, AFSCME) (Repealed)

310.TABLE AB Frozen RC-150-Rates-of-Pay (Public Service Administrators

Option 6, AFSCME) (Repealed)

310.TABLE AD Frozen RC-184-Rates-of-Pay (Public Service Administrators

Option 8X Department of Natural Resources, SEIU Local 73)

(Repealed)

310.TABLE AE Frozen RC-090-Rates-of-Pay (Internal Security Investigators,

Metropolitan Alliance of Police Chapter 294) (Repealed)

310.APPENDIX C Comparison of Pay Grades or Salary Ranges Assigned to Classifications

310.ILLUSTRATION A Classification Comparison Flow Chart: Both Classes are

Whole

310.ILLUSTRATION B Classification Comparison Flow Chart: One Class is Whole

and One is Divided

310.ILLUSTRATION C Classification Comparison Flow Chart: Both Classes are

Divided

310.APPENDIX D Merit Compensation System Salary Schedule

310.APPENDIX E Teaching Salary Schedule (Repealed)

310.APPENDIX F Physician and Physician Specialist Salary Schedule (Repealed)

310.APPENDIX G Broad-Band Pay Range Classes Salary Schedule

AUTHORITY: Implementing and authorized by Sections 8 and 8a of the Personnel Code [20

ILCS 415/8 and 8a].


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SOURCE: Filed June 28, 1967; codified at 8 Ill. Reg. 1558; emergency amendment at 8 Ill. Reg.

1990, effective January 31, 1984, for a maximum of 150 days; amended at 8 Ill. Reg. 2440,

effective February 15, 1984; emergency amendment at 8 Ill. Reg. 3348, effective March 5, 1984,

for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 4249, effective March 16,

1984, for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 5704, effective April 16,

1984, for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 7290, effective May 11,

1984, for a maximum of 150 days; amended at 8 Ill. Reg. 11299, effective June 25, 1984;

emergency amendment at 8 Ill. Reg. 12616, effective July 1, 1984, for a maximum of 150 days;

emergency amendment at 8 Ill. Reg. 15007, effective August 6, 1984, for a maximum of 150

days; amended at 8 Ill. Reg. 15367, effective August 13, 1984; emergency amendment at 8 Ill.

Reg. 21310, effective October 10, 1984, for a maximum of 150 days; amended at 8 Ill. Reg.

21544, effective October 24, 1984; amended at 8 Ill. Reg. 22844, effective November 14, 1984;

emergency amendment at 9 Ill. Reg. 1134, effective January 16, 1985, for a maximum of 150

days; amended at 9 Ill. Reg. 1320, effective January 23, 1985; amended at 9 Ill. Reg. 3681,

effective March 12, 1985; emergency amendment at 9 Ill. Reg. 4163, effective March 15, 1985,

for a maximum of 150 days; emergency amendment at 9 Ill. Reg. 9231, effective May 31, 1985,

for a maximum of 150 days; amended at 9 Ill. Reg. 9420, effective June 7, 1985; amended at 9

Ill. Reg. 10663, effective July 1, 1985; emergency amendment at 9 Ill. Reg. 15043, effective

September 24, 1985, for a maximum of 150 days; amended at 10 Ill. Reg. 3230, effective

January 24, 1986; peremptory amendment at 10 Ill. Reg. 3325, effective January 22, 1986;

emergency amendment at 10 Ill. Reg. 8904, effective May 13, 1986, for a maximum of 150 days;

peremptory amendment at 10 Ill. Reg. 8928, effective May 13, 1986; emergency amendment at

10 Ill. Reg. 12090, effective June 30, 1986, for a maximum of 150 days; peremptory amendment

at 10 Ill. Reg. 13675, effective July 31, 1986; peremptory amendment at 10 Ill. Reg. 14867,

effective August 26, 1986; amended at 10 Ill. Reg. 15567, effective September 17, 1986;

emergency amendment at 10 Ill. Reg. 17765, effective September 30, 1986, for a maximum of

150 days; peremptory amendment at 10 Ill. Reg. 19132, effective October 28, 1986; peremptory

amendment at 10 Ill. Reg. 21097, effective December 9, 1986; amended at 11 Ill. Reg. 648,

effective December 22, 1986; peremptory amendment at 11 Ill. Reg. 3363, effective February 3,

1987; peremptory amendment at 11 Ill. Reg. 4388, effective February 27, 1987; peremptory

amendment at 11 Ill. Reg. 6291, effective March 23, 1987; amended at 11 Ill. Reg. 5901,

effective March 24, 1987; emergency amendment at 11 Ill. Reg. 8787, effective April 15, 1987,

for a maximum of 150 days; emergency amendment at 11 Ill. Reg. 11830, effective July 1, 1987,

for a maximum of 150 days; peremptory amendment at 11 Ill. Reg. 13675, effective July 29,

1987; amended at 11 Ill. Reg. 14984, effective August 27, 1987; peremptory amendment at 11

Ill. Reg. 15273, effective September 1, 1987; peremptory amendment at 11 Ill. Reg. 17919,

effective October 19, 1987; peremptory amendment at 11 Ill. Reg. 19812, effective November

19, 1987; emergency amendment at 11 Ill. Reg. 20664, effective December 4, 1987, for a

maximum of 150 days; amended at 11 Ill. Reg. 20778, effective December 11, 1987; peremptory


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amendment at 12 Ill. Reg. 3811, effective January 27, 1988; peremptory amendment at 12 Ill.

Reg. 5459, effective March 3, 1988; amended at 12 Ill. Reg. 6073, effective March 21, 1988;

emergency amendment at 12 Ill. Reg. 7734, effective April 15, 1988, for a maximum of 150

days; peremptory amendment at 12 Ill. Reg. 7783, effective April 14, 1988; peremptory

amendment at 12 Ill. Reg. 8135, effective April 22, 1988; peremptory amendment at 12 Ill. Reg.

9745, effective May 23, 1988; emergency amendment at 12 Ill. Reg. 11778, effective July 1,

1988, for a maximum of 150 days; emergency amendment at 12 Ill. Reg. 12895, effective July

18, 1988, for a maximum of 150 days; peremptory amendment at 12 Ill. Reg. 13306, effective

July 27, 1988; corrected at 12 Ill. Reg. 13359; amended at 12 Ill. Reg. 14630, effective

September 6, 1988; amended at 12 Ill. Reg. 20449, effective November 28, 1988; peremptory

amendment at 12 Ill. Reg. 20584, effective November 28, 1988; peremptory amendment at 13

Ill. Reg. 8080, effective May 10, 1989; amended at 13 Ill. Reg. 8849, effective May 30, 1989;


13 Ill. Reg. 10967, effective June 20, 1989, for a maximum of 150 days; emergency amendment

expired November 17, 1989; amended at 13 Ill. Reg. 11451, effective June 28, 1989; emergency

amendment at 13 Ill. Reg. 11854, effective July 1, 1989, for a maximum of 150 days; corrected

at 13 Ill. Reg. 12647; peremptory amendment at 13 Ill. Reg. 12887, effective July 24, 1989;

amended at 13 Ill. Reg. 16950, effective October 20, 1989; amended at 13 Ill. Reg. 19221,

effective December 12, 1989; amended at 14 Ill. Reg. 615, effective January 2, 1990; peremptory

amendment at 14 Ill. Reg. 1627, effective January 11, 1990; amended at 14 Ill. Reg. 4455,

effective March 12, 1990; peremptory amendment at 14 Ill. Reg. 7652, effective May 7, 1990;

amended at 14 Ill. Reg. 10002, effective June 11, 1990; emergency amendment at 14 Ill. Reg.

11330, effective June 29, 1990, for a maximum of 150 days; amended at 14 Ill. Reg. 14361,

effective August 24, 1990; emergency amendment at 14 Ill. Reg. 15570, effective September 11,

1990, for a maximum of 150 days; emergency amendment expired February 8, 1991; corrected at

14 Ill. Reg. 16092; peremptory amendment at 14 Ill. Reg. 17098, effective September 26, 1990;


effective October 19, 1990; amended at 14 Ill. Reg. 18719, effective November 13, 1990;

peremptory amendment at 14 Ill. Reg. 18854, effective November 13, 1990; peremptory

amendment at 15 Ill. Reg. 663, effective January 7, 1991; amended at 15 Ill. Reg. 3296, effective

February 14, 1991; amended at 15 Ill. Reg. 4401, effective March 11, 1991; peremptory

amendment at 15 Ill. Reg. 5100, effective March 20, 1991; peremptory amendment at 15 Ill.

Reg. 5465, effective April 2, 1991; emergency amendment at 15 Ill. Reg. 10485, effective July 1,

1991, for a maximum of 150 days; amended at 15 Ill. Reg. 11080, effective July 19, 1991;

amended at 15 Ill. Reg. 13080, effective August 21, 1991; amended at 15 Ill. Reg. 14210,

effective September 23, 1991; emergency amendment at 16 Ill. Reg. 711, effective December 26,

1991, for a maximum of 150 days; amended at 16 Ill. Reg. 3450, effective February 20, 1992;

peremptory amendment at 16 Ill. Reg. 5068, effective March 11, 1992; peremptory amendment

at 16 Ill. Reg. 7056, effective April 20, 1992; emergency amendment at 16 Ill. Reg. 8239,


18



effective May 19, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 8382, effective

May 26, 1992; emergency amendment at 16 Ill. Reg. 13950, effective August 19, 1992, for a

maximum of 150 days; emergency amendment at 16 Ill. Reg. 14452, effective September 4,

1992, for a maximum of 150 days; amended at 17 Ill. Reg. 238, effective December 23, 1992;

peremptory amendment at 17 Ill. Reg. 498, effective December 18, 1992; amended at 17 Ill. Reg.

590, effective January 4, 1993; amended at 17 Ill. Reg. 1819, effective February 2, 1993;

amended at 17 Ill. Reg. 6441, effective April 8, 1993; emergency amendment at 17 Ill. Reg.

12900, effective July 22, 1993, for a maximum of 150 days; amended at 17 Ill. Reg. 13409,

effective July 29, 1993; emergency amendment at 17 Ill. Reg. 13789, effective August 9, 1993,

for a maximum of 150 days; emergency amendment at 17 Ill. Reg. 14666, effective August 26,

1993, for a maximum of 150 days; amended at 17 Ill. Reg. 19103, effective October 25, 1993;

emergency amendment at 17 Ill. Reg. 21858, effective December 1, 1993, for a maximum of 150

days; amended at 17 Ill. Reg. 22514, effective December 15, 1993; amended at 18 Ill. Reg. 227,

effective December 17, 1993; amended at 18 Ill. Reg. 1107, effective January 18, 1994; amended

at 18 Ill. Reg. 5146, effective March 21, 1994; peremptory amendment at 18 Ill. Reg. 9562,

effective June 13, 1994; emergency amendment at 18 Ill. Reg. 11299, effective July 1, 1994, for

a maximum of 150 days; peremptory amendment at 18 Ill. Reg. 13476, effective August 17,

1994; emergency amendment at 18 Ill. Reg. 14417, effective September 9, 1994, for a maximum

of 150 days; amended at 18 Ill. Reg. 16545, effective October 31, 1994; peremptory amendment

at 18 Ill. Reg. 16708, effective October 28, 1994; amended at 18 Ill. Reg. 17191, effective

November 21, 1994; amended at 19 Ill. Reg. 1024, effective January 24, 1995; peremptory

amendment at 19 Ill. Reg. 2481, effective February 17, 1995; peremptory amendment at 19 Ill.

Reg. 3073, effective February 17, 1995; amended at 19 Ill. Reg. 3456, effective March 7, 1995;

peremptory amendment at 19 Ill. Reg. 5145, effective March 14, 1995; amended at 19 Ill. Reg.

6452, effective May 2, 1995; peremptory amendment at 19 Ill. Reg. 6688, effective May 1, 1995;

amended at 19 Ill. Reg. 7841, effective June 1, 1995; amended at 19 Ill. Reg. 8156, effective

June 12, 1995; amended at 19 Ill. Reg. 9096, effective June 27, 1995; emergency amendment at

19 Ill. Reg. 11954, effective August 1, 1995, for a maximum of 150 days; peremptory

amendment at 19 Ill. Reg. 13979, effective September 19, 1995; peremptory amendment at 19

Ill. Reg. 15103, effective October 12, 1995; amended at 19 Ill. Reg. 16160, effective November

28, 1995; amended at 20 Ill. Reg. 308, effective December 22, 1995; emergency amendment at

20 Ill. Reg. 4060, effective February 27, 1996, for a maximum of 150 days; peremptory


7434, effective May 14, 1996; amended at 20 Ill. Reg. 8301, effective June 11, 1996; amended at

20 Ill. Reg. 8657, effective June 20, 1996; amended at 20 Ill. Reg. 9006, effective June 26, 1996;

amended at 20 Ill. Reg. 9925, effective July 10, 1996; emergency amendment at 20 Ill. Reg.


effective August 5, 1996; peremptory amendment at 20 Ill. Reg. 13408, effective September 24,

1996; amended at 20 Ill. Reg. 15018, effective November 7, 1996; peremptory amendment at 20


18



Ill. Reg. 15092, effective November 7, 1996; emergency amendment at 21 Ill. Reg. 1023,

effective January 6, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 1629, effective

January 22, 1997; amended at 21 Ill. Reg. 5144, effective April 15, 1997; amended at 21 Ill. Reg.

6444, effective May 15, 1997; amended at 21 Ill. Reg. 7118, effective June 3, 1997; emergency

amendment at 21 Ill. Reg. 10061, effective July 21, 1997, for a maximum of 150 days;



amendment at 21 Ill. Reg. 14589, effective October 15, 1997; peremptory amendment at 21 Ill.

Reg. 15030, effective November 10, 1997; amended at 21 Ill. Reg. 16344, effective December 9,

1997; peremptory amendment at 21 Ill. Reg. 16465, effective December 4, 1997; peremptory

amendment at 21 Ill. Reg. 17167, effective December 9, 1997; peremptory amendment at 22 Ill.

Reg. 1593, effective December 22, 1997; amended at 22 Ill. Reg. 2580, effective January 14,




peremptory amendment at 22 Ill. Reg. 7053, effective April 1, 1998; peremptory amendment at

22 Ill. Reg. 7320, effective April 10, 1998; peremptory amendment at 22 Ill. Reg. 7692, effective

April 20, 1998; emergency amendment at 22 Ill. Reg. 12607, effective July 2, 1998, for a

maximum of 150 days; peremptory amendment at 22 Ill. Reg. 15489, effective August 7, 1998;

amended at 22 Ill. Reg. 16158, effective August 31, 1998; peremptory amendment at 22 Ill. Reg.

19105, effective September 30, 1998; peremptory amendment at 22 Ill. Reg. 19943, effective

October 27, 1998; peremptory amendment at 22 Ill. Reg. 20406, effective November 5, 1998;

amended at 22 Ill. Reg. 20581, effective November 16, 1998; amended at 23 Ill. Reg. 664,

effective January 1, 1999; peremptory amendment at 23 Ill. Reg. 730, effective December 29,

1998; emergency amendment at 23 Ill. Reg. 6533, effective May 10, 1999, for a maximum of

150 days; amended at 23 Ill. Reg. 7065, effective June 3, 1999; emergency amendment at 23 Ill.

Reg. 8169, effective July 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 11020,


peremptory amendment at 23 Ill. Reg. 12493, effective September 23, 1999; amended at 23 Ill.

Reg. 12604, effective September 24, 1999; amended at 23 Ill. Reg. 13053, effective September

27, 1999; peremptory amendment at 23 Ill. Reg. 13132, effective October 1, 1999; amended at

23 Ill. Reg. 13570, effective October 26, 1999; amended at 23 Ill. Reg. 14020, effective


amendment at 24 Ill. Reg. 3399, effective February 3, 2000; amended at 24 Ill. Reg. 3537,

effective February 18, 2000; amended at 24 Ill. Reg. 6874, effective April 21, 2000; amended at

24 Ill. Reg. 7956, effective May 23, 2000; emergency amendment at 24 Ill. Reg. 10328, effective

July 1, 2000, for a maximum of 150 days; emergency expired November 27, 2000; peremptory

amendment at 24 Ill. Reg. 10767, effective July 3, 2000; amended at 24 Ill. Reg. 13384, effective

August 17, 2000; peremptory amendment at 24 Ill. Reg. 14460, effective September 14, 2000;


18



peremptory amendment at 24 Ill. Reg. 16700, effective October 30, 2000; peremptory

amendment at 24 Ill. Reg. 17600, effective November 16, 2000; amended at 24 Ill. Reg. 18058,

effective December 4, 2000; peremptory amendment at 24 Ill. Reg. 18444, effective December 1,

2000; amended at 25 Ill. Reg. 811, effective January 4, 2001; amended at 25 Ill. Reg. 2389,

effective January 22, 2001; amended at 25 Ill. Reg. 4552, effective March 14, 2001; peremptory


effective April 4, 2001; amended at 25 Ill. Reg. 6655, effective May 11, 2001; amended at 25 Ill.

Reg. 7151, effective May 25, 2001; peremptory amendment at 25 Ill. Reg. 8009, effective June

14, 2001; emergency amendment at 25 Ill. Reg. 9336, effective July 3, 2001, for a maximum of

150 days; amended at 25 Ill. Reg. 9846, effective July 23, 2001; amended at 25 Ill. Reg. 12087,

effective September 6, 2001; amended at 25 Ill. Reg. 15560, effective November 20, 2001;

peremptory amendment at 25 Ill. Reg. 15671, effective November 15, 2001; amended at 25 Ill.

Reg. 15974, effective November 28, 2001; emergency amendment at 26 Ill. Reg. 223, effective

December 21, 2001, for a maximum of 150 days; amended at 26 Ill. Reg. 1143, effective January

17, 2002; amended at 26 Ill. Reg. 4127, effective March 5, 2002; peremptory amendment at 26

Ill. Reg. 4963, effective March 15, 2002; amended at 26 Ill. Reg. 6235, effective April 16, 2002;


days; amended at 26 Ill. Reg. 10425, effective July 1, 2002; emergency amendment at 26 Ill.


effective September 10, 2002; amended at 26 Ill. Reg. 14965, effective October 7, 2002;

emergency amendment at 26 Ill. Reg. 16583, effective October 24, 2002, for a maximum of 150

days; emergency expired March 22, 2003; peremptory amendment at 26 Ill. Reg. 17280,

effective November 18, 2002; amended at 26 Ill. Reg. 17374, effective November 25, 2002;

amended at 26 Ill. Reg. 17987, effective December 9, 2002; amended at 27 Ill. Reg. 3261,

effective February 11, 2003; expedited correction at 28 Ill. Reg. 6151, effective February 11,

2003; amended at 27 Ill. Reg. 8855, effective May 15, 2003; amended at 27 Ill. Reg. 9114,

effective May 27, 2003; emergency amendment at 27 Ill. Reg. 10442, effective July 1, 2003, for

a maximum of 150 days; emergency expired November 27, 2003; peremptory amendment at 27

Ill. Reg. 17433, effective November 7, 2003; amended at 27 Ill. Reg. 18560, effective December

1, 2003; peremptory amendment at 28 Ill. Reg. 1441, effective January 9, 2004; amended at 28

Ill. Reg. 2684, effective January 22, 2004; amended at 28 Ill. Reg. 6879, effective April 30,

2004; peremptory amendment at 28 Ill. Reg. 7323, effective May 10, 2004; amended at 28 Ill.

Reg. 8842, effective June 11, 2004; peremptory amendment at 28 Ill. Reg. 9717, effective June

28, 2004; amended at 28 Ill. Reg. 12585, effective August 27, 2004; peremptory amendment at

28 Ill. Reg. 13011, effective September 8, 2004; peremptory amendment at 28 Ill. Reg. 13247,

effective September 20, 2004; peremptory amendment at 28 Ill. Reg. 13656, effective September

27, 2004; emergency amendment at 28 Ill. Reg. 14174, effective October 15, 2004, for a

maximum of 150 days; emergency expired March 13, 2005; peremptory amendment at 28 Ill.

Reg. 14689, effective October 22, 2004; peremptory amendment at 28 Ill. Reg. 15336, effective


18



November 15, 2004; peremptory amendment at 28 Ill. Reg. 16513, effective December 9, 2004;


1166, effective January 7, 2005; peremptory amendment at 29 Ill. Reg. 1385, effective January 4,

2005; peremptory amendment at 29 Ill. Reg. 1559, effective January 11, 2005; peremptory


Reg. 4125, effective February 23, 2005; amended at 29 Ill. Reg. 5375, effective April 4, 2005;


29 Ill. Reg. 7217, effective May 6, 2005; peremptory amendment at 29 Ill. Reg. 7840, effective

May 10, 2005; amended at 29 Ill. Reg. 8110, effective May 23, 2005; peremptory amendment at


June 1, 2005; amended at 29 Ill. Reg. 9319, effective July 1, 2005; peremptory amendment at 29

Ill. Reg. 12076, effective July 15, 2005; peremptory amendment at 29 Ill. Reg. 13265, effective

August 11, 2005; amended at 29 Ill. Reg. 13540, effective August 22, 2005; peremptory

amendment at 29 Ill. Reg. 14098, effective September 2, 2005; amended at 29 Ill. Reg. 14166,



days; peremptory amendment at 29 Ill. Reg. 20693, effective December 12, 2005; peremptory


Reg. 1382, effective January 13, 2006; amended at 30 Ill. Reg. 2289, effective February 6, 2006;

peremptory amendment at 30 Ill. Reg. 4157, effective February 22, 2006; peremptory

amendment at 30 Ill. Reg. 5687, effective March 7, 2006; peremptory amendment at 30 Ill. Reg.

6409, effective March 30, 2006; amended at 30 Ill. Reg. 7857, effective April 17, 2006; amended

at 30 Ill. Reg. 9438, effective May 15, 2006; peremptory amendment at 30 Ill. Reg. 10153,

effective May 18, 2006; peremptory amendment at 30 Ill. Reg. 10508, effective June 1, 2006;


12340, effective July 1, 2006, for a maximum of 150 days; peremptory amendment at 30 Ill.

Reg. 12418, effective July 1, 2006; amended at 30 Ill. Reg. 12761, effective July 17, 2006;

peremptory amendment at 30 Ill. Reg. 13547, effective August 1, 2006; peremptory amendment

at 30 Ill. Reg. 15059, effective September 5, 2006; peremptory amendment at 30 Ill. Reg. 16439,

effective September 27, 2006; emergency amendment at 30 Ill. Reg. 16626, effective October 3,

2006, for a maximum of 150 days; peremptory amendment at 30 Ill. Reg. 17603, effective

October 20, 2006; amended at 30 Ill. Reg. 18610, effective November 20, 2006; peremptory


Ill. Reg. 230, effective December 20, 2006; emergency amendment at 31 Ill. Reg. 1483, effective

January 1, 2007, for a maximum of 150 days; peremptory amendment at 31 Ill. Reg. 2485,

effective January 17, 2007; peremptory amendment at 31 Ill. Reg. 4445, effective February 28,

2007; amended at 31 Ill. Reg. 4982, effective March 15, 2007; peremptory amendment at 31 Ill.

Reg. 7338, effective May 3, 2007; amended at 31 Ill. Reg. 8901, effective July 1, 2007;



18



peremptory amendment at 31 Ill. Reg. 10496, effective July 6, 2007; peremptory amendment at

31 Ill. Reg. 12335, effective August 9, 2007; emergency amendment at 31 Ill. Reg. 12608,

effective August 16, 2007, for a maximum of 150 days; emergency amendment at 31 Ill. Reg.

13220, effective August 30, 2007, for a maximum of 150 days; peremptory amendment at 31 Ill.

Reg. 13357, effective August 29, 2007; amended at 31 Ill. Reg. 13981, effective September 21,

2007; peremptory amendment at 31 Ill. Reg. 14331, effective October 1, 2007; amended at 31 Ill.

Reg. 16094, effective November 20, 2007; amended at 31 Ill. Reg. 16792, effective December

13, 2007; peremptory amendment at 32 Ill. Reg. 598, effective December 27, 2007; amended at

32 Ill. Reg. 1082, effective January 11, 2008; peremptory amendment at 32 Ill. Reg. 3095,

effective February 13, 2008; peremptory amendment at 32 Ill. Reg. 6097, effective March 25,

2008; peremptory amendment at 32 Ill. Reg. 7154, effective April 17, 2008; expedited correction

at 32 Ill. Reg. 9747, effective April 17, 2008; peremptory amendment at 32 Ill. Reg. 9360,

effective June 13, 2008; amended at 32 Ill. Reg. 9881, effective July 1, 2008; peremptory

amendment at 32 Ill. Reg. 12065, effective July 9, 2008; peremptory amendment at 32 Ill. Reg.

13861, effective August 8, 2008; peremptory amendment at 32 Ill. Reg. 16591, effective

September 24, 2008; peremptory amendment at 32 Ill. Reg. 16872, effective October 3, 2008;






Reg. 6354, effective April 15, 2009; peremptory amendment at 33 Ill. Reg. 6724, effective May

1, 2009; peremptory amendment at 33 Ill. Reg. 9138, effective June 12, 2009; emergency

amendment at 33 Ill. Reg. 9432, effective July 1, 2009, for a maximum of 150 days; amended at

33 Ill. Reg. 10211, effective July 1, 2009; peremptory amendment at 33 Ill. Reg. 10823, effective

July 2, 2009; peremptory amendment at 33 Ill. Reg. 11082, effective July 10, 2009; peremptory


11895, effective July 31, 2009; peremptory amendment at 33 Ill. Reg. 12872, effective

September 3, 2009; amended at 33 Ill. Reg. 14944, effective October 26, 2009; peremptory




effective January 5, 2010; peremptory amendment at 34 Ill. Reg. 3684, effective March 5, 2010;


34 Ill. Reg. 6214, effective April 16, 2010; amended at 34 Ill. Reg. 6583, effective April 30,


Reg. 7645, effective May 24, 2010; peremptory amendment at 34 Ill. Reg. 7947, effective May

26, 2010; peremptory amendment at 34 Ill. Reg. 8633, effective June 18, 2010; amended at 34



18



July 9, 2010; peremptory amendment at 34 Ill. Reg. 11864, effective July 30, 2010; emergency

amendment at 34 Ill. Reg. 12240, effective August 9, 2010, for a maximum of 150 days;



effective September 30, 2010; peremptory amendment at 34 Ill. Reg. 18912, effective November


35 Ill. Reg. 765, effective December 30, 2010; emergency amendment at 35 Ill. Reg. 1092,

effective January 1, 2011, for a maximum of 150 days; peremptory amendment at 35 Ill. Reg.

2465, effective January 19, 2011; peremptory amendment at 35 Ill. Reg. 3577, effective February

10, 2011; emergency amendment at 35 Ill. Reg. 4412, effective February 23, 2011, for a

maximum of 150 days; peremptory amendment at 35 Ill. Reg. 4803, effective March 11, 2011;

emergency amendment at 35 Ill. Reg. 5633, effective March 15, 2011, for a maximum of 150

days; peremptory amendment at 35 Ill. Reg. 5677, effective March 18, 2011; amended at 35 Ill.

Reg. 8419, effective May 23, 2011; amended at 35 Ill. Reg. 11245, effective June 28, 2011;


emergency expired November 27, 2011; peremptory amendment at 35 Ill. Reg. 12119, effective

June 29, 2011; peremptory amendment at 35 Ill. Reg. 13966, effective July 29, 2011; peremptory

amendment at 35 Ill. Reg. 15178, effective August 29, 2011; emergency amendment at 35 Ill.

Reg. 15605, effective September 16, 2011, for a maximum of 150 days; peremptory amendment

at 35 Ill. Reg. 15640, effective September 15, 2011; peremptory amendment at 35 Ill. Reg.

19707, effective November 23, 2011; amended at 35 Ill. Reg. 20144, effective December 6,

2011; amended at 36 Ill. Reg. 153, effective December 22, 2011; peremptory amendment at 36

Ill. Reg. 564, effective December 29, 2011; peremptory amendment at 36 Ill. Reg. 3957,


2012; peremptory amendment at 36 Ill. Reg. 4437, effective March 9, 2012; amended at 36 Ill.

Reg. 4707, effective March 19, 2012; amended at 36 Ill. Reg. 8460, effective May 24, 2012;

peremptory amendment at 36 Ill. Reg. 10518, effective June 27, 2012; emergency amendment at

36 Ill. Reg. 11222, effective July 1, 2012, for a maximum of 150 days; peremptory amendment

at 36 Ill. Reg. 13680, effective August 15, 2012; peremptory amendment at 36 Ill. Reg. 13973,

effective August 22, 2012; peremptory amendment at 36 Ill. Reg. 15498, effective October 16,


Ill. Reg. 17138, effective November 20, 2012; peremptory amendment at 37 Ill. Reg. 3408,

effective March 7, 2013; amended at 37 Ill. Reg. 4750, effective April 1, 2013; peremptory


9563, effective June 19, 2013; amended at 37 Ill. Reg. 9939, effective July 1, 2013; emergency



37 Ill. Reg. 12588, effective July 19, 2013; peremptory amendment at 37 Ill. Reg. 13762,

effective August 8, 2013; peremptory amendment at 37 Ill. Reg. 14219, effective August 23,


18



2013; amended at 37 Ill. Reg. 16925, effective October 8, 2013; peremptory amendment at 37 Ill.


December 6, 2013; peremptory amendment at 38 Ill. Reg. 2974, effective January 9, 2014;

amended at 38 Ill. Reg. 5250, effective February 4, 2014; peremptory amendment at 38 Ill. Reg.

6725, effective March 6, 2014; emergency amendment at 38 Ill. Reg. 9080, effective April 11,

2014, for a maximum of 150 days; peremptory amendment at 38 Ill. Reg. 9136, effective April

11, 2014; amended at 38 Ill. Reg. 9207, effective April 21, 2014; peremptory amendment at 38

Ill. Reg. 13416, effective June 11, 2014; amended at 38 Ill. Reg. 14818, effective July 1, 2014;


38 Ill. Reg. 17481, effective July 29, 2014; amended at 38 Ill. Reg. 17556, effective August 6,

2014; peremptory amendment at 38 Ill. Reg. 18791, effective August 26, 2014; peremptory


effective October 14, 2014; amended at 38 Ill. Reg. 24005, effective December 9, 2014;

peremptory amendment at 39 Ill. Reg. 728, effective December 23, 2014; emergency amendment

at 39 Ill. Reg. 708, effective December 26, 2014, for a maximum of 150 days; peremptory

amendment at 39 Ill. Reg. 6964, effective April 29, 2015; amended at 39 Ill. Reg. 7878, effective

May 22, 2015; amended at 39 Ill. Reg. 11220, effective July 28, 2015; peremptory amendment at

39 Ill. Reg. 12004, effective August 13, 2015; peremptory amendment at 39 Ill. Reg. 15807,

effective November 25, 2015; amended at 40 Ill. Reg. 5893, effective March 28, 2016;

peremptory amendment at 40 Ill. Reg. 8462, effective June 1, 2016; peremptory amendment at

40 Ill. Reg. 9658, effective June 30, 2016; amended at 40 Ill. Reg. 9356, effective July 1, 2016;


at 41 Ill. Reg. 1210, effective January 19, 2017; amended at 41 Ill. Reg. 1695, effective January

25, 2017; peremptory amendment at 41 Ill. Reg. 2078, effective February 2, 2017; amended at 41


peremptory amendment at 41 Ill. Reg. 5822, effective May 15, 2017; peremptory amendment at



Ill. Reg. 10974, effective August 10, 2017; peremptory amendment at 41 Ill. Reg. 11447,


2017; peremptory amendment at 41 Ill. Reg. 15837, effective December 12, 2017; amended at 42

Ill. Reg. 712, effective December 28, 2017; amended at 42 Ill. Reg. 5357, effective March 9,

2018; amended at 42 Ill. Reg. ______, effective ____________.


Section 310.47 In-Hire Rate


18



a) Use – No employee in a position in which the position and/or the employee meet

the criteria of an in-hire rate receives less than the in-hire rate. The in-hire rate is

used when a candidate only meets the minimum requirements of the class

specification upon entry to State service (Section 310.100(b)(1), 310.490(b)(1) or

310.495(b)(1)), when an employee moves to a vacant position (Section 310.45) or

when an MS salary range is assigned to a Trainee Program (Section 310.415(b)).

b) Request – An agency head may request in writing that the Director of Central

Management Services approve or negotiate an in-hire rate. The in-hire rate is a

Step or dollar amount depending on whether the classification title is assigned to a

negotiated full scale rate, negotiated pay grade, merit compensation salary range

or broad-band salary range. The in-hire rate may be for the classification title or

limited within the classification title to the agency, facilities, counties or other

criteria. The supporting justifications for the requested in-hire rate and the

limitations are included in the agency request. An effective date may be included

in the request.

c) Review – The Director of Central Management Services shall review the

supporting justifications, the turnover rate, the length of vacancies, the currently

filled positions for the classification title, and the market starting rates for similar

classes, and consult with other agencies using the classification title. Other

factors may be included in the review and negotiation of negotiated in-hire rates.

d) Approval or Negotiated –

1) Approval − The Director of Central Management Services indicates in

writing the approved in-hire rate and effective date, which is either the

date requested by the agency or the beginning of the next pay period after

the approval.

2) Negotiated – The Director of Central Management Services and the

bargaining unit representative indicate in writing the in-hire rates and

effective date, which is either the date indicated in the agreement, the date

of the agreement's signature or the beginning of the next pay period after

the signatures are secured on the agreement.

e) Implementation – In the classification title or within the limitations of the

classification title and when the in-hire rate is above the normal minimum of the

assigned salary range or pay grade, an employee paid below the in-hire rate


18



receives the in-hire rate on the approved effective date. The in-hire rate remains

in effect for any employee entering the title or the limits within the title until the

title is abolished or an agency request to rescind the in-hire rate is approved by the

Director of Central Management Services or negotiated by the Director of Central

Management Services and the bargaining unit representative.

f) Approved or Negotiated In-Hire Rates –

1) Assigned to a Classification –

A) Approved and Assigned to a Pay Grade or Salary Range −

Title

Pay Grade or

Salary Range Effective Date

In-Hire

Rate

Commerce Commission Police

Officer Trainee

MS-10 January 1, 2008 $2,943

Correctional Officer RC-006-09 January 1, 2008 Step 1

Correctional Officer Trainee RC-006-05 January 1, 2008 Step 1

Environmental Engineer I RC-063-15 January 1, 2008 Step 2

Environmental Protection

Engineer I

RC-063-15 January 1, 2008 Step 5

Environmental Protection

Engineer II

RC-063-17 January 1, 2008 Step 4

Internal Auditor Trainee MS-09 January 1, 2008 $2,854

B) Negotiated and Assigned to a Full Scale Rate – The rates are

located in Appendix A Table D for bargaining unit HR-001, in

Appendix A Table E for bargaining unit RC-020, in Appendix A

Table F for RC-019 and in Appendix A Table G for bargaining

unit RC-045.

Title

Bargaining

Unit Effective Date

In-Hire

Rate

Auto & Body Repairer RC-045 July 1, 2013 75%

Automotive Attendant I RC-045 July 1, 2013 75%

Automotive Attendant II RC-045 July 1, 2013 75%

Automotive Mechanic RC-045 July 1, 2013 75%


18



Automotive Parts Warehouse

Specialist

RC-045 July 1, 2013 75%

Automotive Parts Warehouser RC-045 July 1, 2013 75%

Bridge Mechanic RC-019 July 8, 2013 75%

Bridge Mechanic RC-020 June 26, 2013 75%

Bridge Tender RC-019 July 8, 2013 75%

Bridge Tender RC-020 June 26, 2013 75%

Building Services Worker HR-001 July 24, 2013 75%

Deck Hand RC-019 July 8, 2013 75%

Elevator Operator HR-001 July 24, 2013 75%

Ferry Operator I RC-019 July 8, 2013 75%

Ferry Operator II RC-019 July 8, 2013 75%

Grounds Supervisor HR-001 July 24, 2013 75%

Heavy Construction

Equipment Operator

HR-001 July 24, 2013 75%

Heavy Construction

Equipment Operator

RC-020 June 26, 2013 75%

Highway Maintainer HR-001 November 1, 2009 75%

Highway Maintainer RC-019 July 8, 2013 75%

Highway Maintainer RC-020 June 26, 2013 75%

Highway Maintenance Lead

Worker

HR-001 July 24, 2013 75%


Worker

RC-019 July 8, 2013 75%


Worker

RC-020 June 26, 2013 75%


Worker (Lead Lead Worker)

RC-019 July 8, 2013 75%


Worker (Lead Lead Worker)

RC-020 June 26, 2013 75%

Janitor I (Including Office of

Administration)

RC-019 July 8, 2013 75%

Janitor II (Including Office of

Administration)

RC-019 July 8, 2013 75%

Labor Maintenance Lead

Worker

RC-019 July 8, 2013 75%

Labor Maintenance Lead

Worker

RC-020 June 26, 2013 75%

Laborer (Maintenance) HR-001 July 24, 2013 75%


18



Laborer (Maintenance) RC-019 July 8, 2013 75%

Laborer (Maintenance) RC-020 June 26, 2013 75%

Maintenance Equipment

Operator

HR-001 July 24, 2013 75%


Operator

RC-019 July 8, 2013 75%


Operator

RC-020 June 26, 2013 75%

Maintenance Worker HR-001 July 24, 2013 75%

Maintenance Worker RC-019 July 8, 2013 75%

Maintenance Worker RC-020 June 26, 2013 75%

Power Shovel Operator

(Maintenance)

HR-001 July 24, 2013 75%


(Maintenance)

RC-019 July 8, 2013 75%


(Maintenance)

RC-020 June 26, 2013 75%

Security Guard I RC-019 July 8, 2013 75%

Security Guard II RC-019 July 8, 2013 75%

Silk Screen Operator RC-019 July 8, 2013 75%

Silk Screen Operator RC-020 June 26, 2013 75%

Small Engine Mechanic RC-045 July 1, 2013 75%

Storekeeper I* RC-045 July 1, 2013 75%

Storekeeper II* RC-045 July 1, 2013 75%

*Storekeeper I & Storekeeper II serving as Automotive Parts Warehouser in Cook

County.

2) Based on the Position's Work Location or Employee's Credential or

Residency –

Title

Pay

Grade

or

Salary

Range

Location or

Residency Credential

Effective

Date In-Hire Rate

Bridge Tender MS-18 Department of

Transportation

Temporary

Employee

January 1,

2017

$4,696/month


18



Civil Engineer

Trainee

NR-

916

None identified Bachelor's

degree in

accredited

civil

engineering

program

January 1,

2008

Add to

minimum

monthly rate

$40/quarter

work

experience up

to 8

Civil Engineer

Trainee

NR-

916

None identified Passed

Engineering

Intern exam

January 1,

2008

Add to

minimum

monthly rate

$60/month

Civil Engineer

Trainee

NR-

916

None identified Job-Related

Master's

degree

January 1,

2012

Add to

minimum

monthly rate

$40/month for

each year of

full-time

graduate study

as a substitute

for job-related

experience up

to two years

Conservation/

Historic

Preservation

Worker

MS-01 Department of

Natural

Resources

None January 1,

2018

$9.00/hour or

$1,468/month

Deck Hand MS-15 Department of

Transportation

Temporary

Employee

January 1,

2017

$4,512/month

Engineering

Technician I

NR-

916

None identified Completed 2

years of

college in

civil

engineering

or job related

technical/

science

curriculum

(60 semester

January 1,

2012

$2,845


18



/90 quarter

hours credit)

Engineering

Technician I

NR-

916


years of

college in

areas other

than civil

engineering

or job related

technical/

science

curriculum

(90 semester

/135 quarter

hours credit)

January 1,

2012

$2,730

Engineering

Technician I

NR-

916

None identified Associate

Degree from

an accredited

2 year civil

engineering

technology

program

January 1,

2012

$2,975

Engineering

Technician I

NR-

916


years of

college

courses in

civil

engineering

or job related

technical/

science

curriculum

(90 semester/

135 quarter

hours credit)

January 1,

2012

$2,975


18



Engineering

Technician I

NR-

916


years of

college

courses in

areas other

than civil

engineering

or job related

technical/

science

curriculum

(120

semester /180

quarter hours

credit)

January 1,

2012

$2,845

Engineering

Technician I

NR-

916


years of

college in

civil

engineering

or job related

technical/

science

curriculum

(120

semester/180

quarter hours

credit

includes

appointees

from

unaccredited

engineering

programs and

those who

have not yet

obtained a

degree)

January 1,

2012

$3,095


18



Engineering

Technician I and II

NR-

916

None identified Bachelor of

Science

Degree from

an accredited

4 year

program in

civil

engineering

technology,

industrial

January 1,

2012

$3,510

technology,

and

construction

technology

Ferry Operator I MS-18 Department of Temporary January 1, $4,696/month Transportation Employee 2017 Forensic Scientist

Trainee

RC-

062-15

None identified Meets

minimum

class

requirements

or completed

Forensic

Science

Residency

Program at

the U of I-

Chicago

January 1,

2008

Step 1

Highway

Maintainer

MS-18 Department of

Transportation

None

identified

beyond class

requirements

October 1,

2007

$20.55/hour or

$3,575/month

Information

Services Intern

RC-

063-15

Work outside

Cook County

Computer

Science

degree at 4-

year college

January 1,

2008

Step 4

Information

Services Intern

RC-

063-15

Work in Cook

County

Computer

Science

degree at 4-

year college

January 1,

2008

Step 6


18



Information

Services Intern

RC-

063-15

Work outside

Cook County

Computer

Science

degree at 2-

year

technical

school

January 1,

2008

Step 2

Information

Services Intern

RC-

063-15

Work in Cook

County

Computer

Science

degree at 2-

year

technical

school

January 1,

2008

Step 4

Information

Services Intern

RC-

063-15

Work in Cook

County

Non-

Computer

Science

degree at 4-

year college

January 1,

2008

Step 3

Information

Services Specialist

I

RC-

063-17

Work in Cook

County

None

identified

beyond class

requirements

January 1,

2008

Step 2

Juvenile Justice

Specialist

RC-

006-14

None identified Master's

degree

September

1, 2008

Step 2

Juvenile Justice

Specialist Intern

RC-

006-11

None identified Master's

degree

September

1, 2008

Step 2

Meat & Poultry

Inspector Trainee

RC-

029

Work in Regions

1 and 6

None

identified

beyond class

requirements

May 15,

2014

Step 1

Physician

Specialist, Option

C

RC-

063-

MD-C

Work in Singer,

McFarland,

Choate, Chester,

Alton, Murray,

and Mabley

facilities

None

identified

beyond class

requirements

January 1,

2008

Step 5


18



Physician

Specialist, Option

D

RC-

063-

MD-D

Work in Singer,

McFarland,

Choate, Chester,

Alton, Murray,

and Mabley

facilities

None

identified

beyond class

requirements

January 1,

2008

Step 5

Products &

Standards

Inspector Trainee

MS-09 Work in Cook,

DuPage, Lake,

Kane, and Will

counties

None

identified

beyond class

requirements

January 1,

2008

$3,057

Products &

Standards

Inspector Trainee

MS-09 Work in counties

outside Cook,

DuPage, Lake,

Kane, and Will

counties

None

identified

beyond class

requirements

January 1,

2008

$2,854

Student Intern

(Governor's

Natural Resources

Fellowship

Program)

MS-01 Department

of Natural

Resources

Bachelor's

degree in plant

or animal

ecology,

botany,

forestry,

wildlife

biology,

ecology or

environmental

zoology and

enrolled in

Master's

program

September

16, 2013

$1,600

Telecommunicator RC-014-

12

Work in District

2

None

identified

beyond class

requirements

January 1,

2008

Step 2

Telecommunicator

Trainee

RC-014-

10

Work in Kane

County

None

identified

beyond class

requirements

January 1,

2008

Step 3


18



Telecommunicator

Trainee

RC-014-

10

Work in Cook

County

None

identified

beyond class

requirements

January 1,

2008

Step 7

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

Section 310.50 Definitions

The following definitions of terms are for purposes of clarification only. They affect the

Schedule of Rates (Subpart B), and Negotiated Rates of Pay (Appendix A). Section 310.500

contains definitions of terms applying specifically to the Merit Compensation System.

"Adjustment in Salary" – A change in salary rate occasioned by a previously

committed error or oversight, or required in the best interest of the State as

defined in Sections 310.80 and 310.90.

"Bargaining Representative" – The sole and exclusive labor organization (union,

chapter, lodge or association) recognized, as noted in an agreement with the State

of Illinois, to negotiate for one or more bargaining units and may include one or

more locals.

"Bargaining Unit" – The sole and exclusive labor organization that represents and

includes at least one position and its appointed employee as specified in a

Certification of Representative, Certification of Clarified Unit or corrected

certification issued by the Illinois Labor Relations Board as authorized by

Sections 6(c) and 9(d) of the Illinois Public Labor Relations Act [5 ILCS 315].

"Base Salary" – A dollar amount of pay specifically designated in the Negotiated

Rates of Pay (Appendix A) or Schedule of Rates (Subpart B). Base salary does

not include commission, incentive pay, bilingual pay, longevity pay, overtime

pay, shift differential pay or deductions for time not worked.

"Bilingual Pay" – The dollar amount per month, or percentage of the employee's

monthly base salary, paid in addition to the employee's base salary when the

individual position held by the employee has a job description that requires the

use of sign language, Braille, or another second language (e.g., Spanish), or that

requires the employee to be bilingual.

"Classification" – The classification established by the Department of Central


18



Management Services and approved by the Civil Service Commission based on

Section 8a(1) of the Personnel Code [20 ILCS 415] and to which one or more

positions are allocated based upon similarity of duties performed, responsibilities

assigned and conditions of employment. Classification may be abbreviated to

"class" and referred to by its title or title code.

"Class Specification" – The document comprising the title, title code, effective

date, distinguishing features of work, illustrative examples of work and desirable

requirements.

"Comparable Classes" – Two or more classes that are in the same pay grade.

"Creditable Service" – All service in full or regularly scheduled part-time pay

status beginning with the date of initial employment or the effective date of the

last salary increase that was at least equivalent to a full step.

"Demotion" – The assignment for cause of an employee to a vacant position in a

class in a lower pay grade than the former class.

"Differential" – The additional compensation added to the base salary of an

employee resulting from conditions of employment imposed on the employee

during normal schedule of work.

"Divided Class" – The classification established by Section 8a(1) of the Personnel

Code [20 ILCS 415], represented by more than one bargaining unit as certified by

the Illinois Labor Relations Board. The divided classes effective May 17, 2017

are:

Title Title Code

Apparel/Dry Goods Specialist III 01233

Bridge Mechanic 05310

Bridge Tender 05320

Civil Engineer I 07601

Civil Engineer II 07602

Civil Engineer III 07603

Clinical Laboratory Associate 08200

Clinical Laboratory Technician I 08215

Clinical Laboratory Technician II 08216

Educator 13100


18



Educator Aide 13130

Engineering Technician II 13732

Engineering Technician III 13733

Engineering Technician IV 13734

Heavy Construction Equipment Operator 18465

Highway Maintainer 18639

Highway Maintenance Lead Worker 18659

Housekeeper II 19602

Labor Maintenance Lead Worker 22809

Laboratory Assistant 22995

Laboratory Associate I 22997

Laboratory Associate II 22998

Laborer (Maintenance) 23080

Licensed Practical Nurse I 23551

Licensed Practical Nurse II 23552

Maintenance Equipment Operator 25020

Maintenance Worker 25500

Pest Control Operator 31810

Power Shovel Operator (Maintenance) 33360

Property and Supply Clerk II 34792

Property and Supply Clerk III 34793

Public Service Administrator 37015

Senior Public Service Administrator 40070

Silk Screen Operator 41020

Social Service Aide Trainee 41285

Storekeeper I 43051

Storekeeper II 43052

Storekeeper III 43053

Stores Clerk 43060

"Entrance Base Salary" – The initial base salary assigned to an employee upon

entering State service.

"Hourly Pay Grade" – The designation for hourly negotiated pay rates is "H".

"In Between Pay Grade" – The designation for negotiated pay rates in between

pay grades is ".5".

"In-hire Rate" – An in-hire rate is a minimum rate/step for a class that is above or


18



below the normal minimum of the range or full scale rate, as approved by the

Director of Central Management Services after a review of competitive market

starting rates for similar classes or as negotiated between the Director of Central

Management Services and a bargaining unit.

"Midpoint Salary" – The rate of pay that is the maximum rate and the minimum

rate in the salary range added together divided by two and rounded up or down to

the nearest whole dollar.

"Option" – The denotation of directly-related education, experience and/or

knowledge, skills and abilities required to qualify for the position allocated to the

classification. The requirements may meet or exceed the requirements indicated

in the class specification. The following options are for the Public Service

Administrator classification and have a negotiated pay grade and/or a broad-

banded salary range assigned:

1 = General Administration/Business/Marketing/Labor/Personnel

2 = Fiscal Management/Accounting/Budget/Internal

Audit/Insurance/Financial

2B = Financial Regulatory

2C = Economist

3 = Management Information System/Data Processing/Telecommunications

3J = Java Application Developer

3N = Networking

4 = Physical Sciences/Environment

6 = Health and Human Services

6C = Health Statistics

6D = Health Promotion/Disease Prevention

6E = Laboratory Specialist

6F = Infectious Disease

6G = Disaster/Emergency Medical Services

6H = Illinois Council on Developmental Disabilities Program Specialist

6I = Rehabilitation Counseling

7 = Law Enforcement/Correctional

7A = Special Agent Supervisor

8A = Special License − Architect License

8B = Special License − Boiler Inspector License


18



8C = Special License − Certified Public Accountant

8D = Special License − Federal Communications Commission

License/National Association of Business and Educational Radio

8E = Special License − Engineer (Professional)

8F = Special License − Federal Aviation Administration Medical

Certificate/First Class

8G = Special License − Clinical Professional Counselor

8H = Special License − Environmental Health Practitioner

8I = Special License − Professional Land Surveyor License

8J = Food Sanitation Certificate/Licensed Dietician

8K = Special License − Licensed Psychologist

8L = Special License − Law License

8N = Special License − Registered Nurse License

8O = Special License − Occupational Therapist License

8P = Special License − Pharmacist License

8Q = Special License − Religious Ordination by Recognized Commission

8R = Special License − Dental Hygienist

8S = Special License − Social Worker/Clinical Social Worker

8T = Special License − Professional Educator License and Administrative

Endorsement

8U = Special License − Physical Therapist License

8V = Special License − Audiologist License

8W = Special License − Speech-Language Pathologist License

8Y = Special License − Plumbing License

8Z = Special License − Special Metrologist Training

9A = Special License – Certified Internal Auditor

9B = Special License – Certified Information Systems Auditor

9C = Special License – Landscape Architect

9D = Special License – Certified Real Estate Appraisal License

9G = Special License − Registered Professional Geologist License

The following options are for the Senior Public Service Administrator

classification and have a negotiated pay grade and/or a broad-banded salary

range assigned:



18



2 = Fiscal Management/Accounting/Budget/ Internal


2A = Revenue Audit Field Manager


2C = Economist



5 = Agriculture/Conservation


6H = Developmental Disabilities Program Policy


7A = Criminal Investigation Chief

8A = Special License – Architect License

8B = Special License – Boiler Inspector License

8C = Special License – Certified Public Accountant/Certified Internal

Auditor/Certified Information Systems Auditor

8D = Special License – Dental License

8E = Special License – Engineer (Professional)

8F = Special License – Clinical Professional Counseling

8G = Special License – Geologist License

8H = Special License – Environmental Health Practitioner

8I = Special License – Illinois Auctioneer License

8K = Special License – Licensed Psychologist

8L = Special License – Law License (Illinois)

8M = Special License – Veterinary Medicine License

8N = Special License – Nurse (Registered IL) License

8O = Special License – Occupational Therapist License

8P = Special License – Pharmacist License

8Q = Special License – Nursing Home Administration License

8R = Special License – Real Estate Brokers License

8S = Special License – Social Worker/Clinical Social Worker

8T = Special License – Professional Educator License and Administrative

Endorsement

8U = Special License – Landscape Architect

8Z = Special License – Certified Real Estate Appraisal License


18



Other classification titles contain an option and the option also may denote

differences in the distinguishing features of work indicated in the classification

specification. The classification titles containing an option are:

Children and Family Service Intern, Option 1


Health Services Investigator II, Option A – General

Health Services Investigator II, Option C – Pharmacy

Substance Inspector

Juvenile Justice Youth and Family Specialist Option 1


Medical Administrator I Option C

Medical Administrator I Option D

Medical Administrator II Option C

Medical Administrator II Option D

Physician Specialist − Option A

Physician Specialist − Option B

Physician Specialist − Option C

Physician Specialist − Option D

Physician Specialist − Option E

Research Fellow, Option B

"Pay Grade" – The numeric designation used for an established set of steps or

salary range.

"Pay Plan Code" – The designation used in assigning a specific salary rate based

on a variety of factors associated with the position. Pay Plan Codes used in the

Pay Plan are:

B = Negotiated regular pension formula rate for the State of Illinois

E = Educator title AFSCME negotiated 12-month regular pension

formula rate for the State of Illinois

J = Negotiated regular pension formula rate for states other than

Illinois, California or New Jersey

L = Educator title AFSCME negotiated 12-month alternative

pension formula rate for the State of Illinois

M = Educator title AFSCME negotiated 9-month regular pension

formula rate at the Illinois School for the Visually Impaired


18



N = Educator title Illinois Federation of Teachers negotiated 9-

month regular pension formula rate for the Illinois School for

the Deaf

O = Educator title AFSCME negotiated 9-month regular pension

formula rate at the Illinois Center for Rehabilitation and

Education-Roosevelt

P = Educator title AFSCME negotiated 12-month maximum-

security institution rate for the State of Illinois

Q = Negotiated alternative pension formula rate for the State of

Illinois

S = Negotiated maximum-security institution rate for the State of

Illinois

U = Negotiated regular pension formula rate for the state of

California or New Jersey

V = Educator title AFSCME negotiated 9-month regular pension

formula rate at the Department of Juvenile Justice

W = Educator title AFSCME negotiated 9-month alternative pension


X = Educator title AFSCME negotiated 9-month maximum security

rate at the Department of Juvenile Justice

"Promotion" – The appointment of an employee, with the approval of the agency

and the Department of Central Management Services, to a vacant position in a

class in a higher pay grade than the former class.

"Reallocation" – A position action in which gradual changes in a single position's

assigned duties and responsibilities accumulate and result in the assignment of the

position to another class.

"Reclassification" − A position action that occurs subsequent to approval of a new

or revised classification by the Civil Service Commission and results in the

assignment of a position or positions to a different class.

"Reevaluation" – The assignment of a different pay grade to a class based upon

change in relation to other classes or to the labor market.

"Salary Range" – The dollar value represented by Steps 1c through 8 of a pay


18



grade assigned to a class title.

"Satisfactory Performance Increase" – An upward revision in the base salary from

one designated step to the next higher step in the pay grade for that class as a

result of having served the required amount of time at the former rate with not

less than a satisfactory level of competence. (Satisfactory level of competence

shall mean work, the level of which, in the opinion of the agency head, is above

that typified by the marginal employee.)

"Transfer" – The assignment of an employee to a vacant position having the same

pay grade.

"Whole Class" – The classification established by Section 8a(1) of the Personnel

Code [20 ILCS 415], represented by no more than one bargaining unit as certified

by the Illinois Labor Relations Board and to which no more than one bargaining

unit pay grade is assigned.

"Work Year" – That period of time determined by the agency and filed with the

Department of Central Management Services in accordance with 80 Ill. Adm.

Code 303.300.


Section 310.130 Effective Date

This Pay Plan Narrative (Subpart A), Schedule of Rates (Subpart B), Merit Compensation

System (Subpart C), Negotiated Rates of Pay (Appendix A), Merit Compensation System Salary

Schedule (Appendix D), and Broad-Band Pay Range Classes Salary Schedule (Appendix G)

shall be effective for Fiscal Year 20192018.



Section 310.260 Trainee Rate

Rates of pay for employees working in classes pursuant to a Trainee Program (80 Ill. Adm. Code

302.170) shall conform to those set forth in negotiated pay grades within Negotiated Rates of

Pay (Appendix A) unless the rate is red-circled (Section 310.220(e)) or salary ranges within the


18



Merit Compensation System Salary Schedule (Appendix D). The process of assigning merit

compensation salary ranges to Trainee Program classifications is in Section 310.415. The

Trainee Program classifications are:

Title

Title

Code

Negotiated

Pay Grade

Merit

Compensation

Salary Range

Account Technician Trainee 00118 None MS-04

Accounting and Fiscal Administration Career Trainee 00140 RC-062-12 MS-09

Actuarial Examiner Trainee 00196 RC-062-13 MS-10

Administrative Services Worker Trainee 00600 RC-014-02 MS-02

Animal and Animal Products Investigator Trainee 01075 None MS-09

Appraisal Specialist Trainee 01255 None MS-09

Arson Investigations Trainee 01485 None MS-12

Behavioral Analyst Associate 04355 RC-062-15 MS-12

Child Support Specialist Trainee 07200 RC-062-12 MS-09

Children and Family Service Intern, Option 1 07241 RC-062-12 MS-09

Children and Family Service Intern, Option 2 07242 RC-062-15 MS-12

Civil Engineer Trainee 07607 NR-916 MS-16

Clerical Trainee 08050 RC-014-TR MS-01

Clinical Laboratory Technologist Trainee 08229 RC-062-14 MS-11

Clinical Psychology Associate 08255 RC-063-18 MS-19

Commerce Commission Police Officer Trainee 08455 None MS-10

Conservation Police Officer Trainee 09345 RC-110 MS-06

Correctional Officer Trainee 09676 RC-006-05 MS-08

Corrections Nurse Trainee 09838 RC-023-17 MS-16

RC-006-

Corrections Treatment Officer Trainee 09866 11 MS-13


18



Criminal Justice Specialist Trainee 10236 RC-062-13 MS-10

Data Processing Operator Trainee 11428 RC-014-02 MS-02

Data Processing Technician Trainee 11443 RC-028-06 MS-04

Disability Claims Adjudicator Trainee 12539 RC-062-13 MS-10

Economist Associate 12940 None MS-12

Economic Development Representative Trainee 12939 None MS-10

Educator Intern 13135 None MS-10

Energy and Natural Resources Specialist Trainee 13715 RC-062-12 MS-09

Environmental Health Specialist I 13768 RC-062-14 MS-11

Financial Institutions Examiner Trainee 14978 RC-062-13 MS-10

Fingerprint Technician Trainee 15209 None MS-05

Fire Prevention Inspector Trainee 15320 RC-029-12 MS-10

Firearms Eligibility Analyst Trainee 15375

Pending

Negotiations

Forensic Scientist Trainee 15897 RC-062-15 MS-12

Gaming Special Agent Trainee 17195 RC-062-14 MS-11

Geographic Information Trainee 17276 RC-063-15 MS-12

Governmental Career Trainee 17325 None MS-09

Graduate Pharmacist 17345 RC-063-20 MS-23

Hearing and Speech Associate 18231 RC-063-18 MS-19

Human Resources Trainee 19694 RC-014-07 MS-04

Human Rights Investigator Trainee 19768 None MS-09

Human Services Grants Coordinator Trainee 19796 RC-062-12 MS-09

Industrial Services Consultant Trainee 21125 RC-062-11 MS-08

Industrial Services Hygienist Trainee 21133 RC-062-12 MS-09

Information Services Intern 21160 RC-063-15 MS-12


18



Insurance Analyst Trainee 21566 RC-014-07 MS-04

Insurance Company Financial Examiner Trainee 21610 RC-062-13 MS-10

Insurance Performance Examiner Trainee 21680 None MS-09

Internal Auditor Trainee 21726 None MS-09

Juvenile Justice Specialist Intern 21976 RC-006-11 MS-13

Land Reclamation Specialist Trainee 23137 None MS-09

Liability Claims Adjuster Trainee 23375 None MS-09

Life Sciences Career Trainee 23600 RC-062-12 MS-09

Management Operations Analyst Trainee 25545 None MS-12

Manpower Planner Trainee 25597 RC-062-12 MS-09

Meat and Poultry Inspector Trainee 26075 RC-029 MS-07

Medicaid Management Intern 26305 None MS-13

Mental Health Administrator Trainee 26817 RC-062-16 MS-12

Mental Health Specialist Trainee 26928 RC-062-11 MS-08

Mental Health Technician Trainee 27020 RC-009-01 MS-03

Methods and Procedures Career Associate Trainee 27137 RC-062-09 MS-06

Natural Resources Coordinator Trainee 28830 None MS-09

Office Occupations Trainee 30075 None MS-01

Polygraph Examiner Trainee 33005 None MS-12

Products and Standards Inspector Trainee 34605 None MS-09

Program Integrity Auditor Trainee 34635 RC-062-12 MS-09

Psychologist Associate 35626 RC-063-15 MS-12

Psychology Intern 35660 None MS-15

Public Administration Intern 35700 None MS-11

Public Aid Investigator Trainee 35874 RC-062-14 MS-11


18



Public Health Program Specialist Trainee 36615 RC-062-12 MS-09

Public Safety Inspector Trainee 37010 RC-062-10 MS-07

Rehabilitation Counselor Trainee 38159 RC-062-15 MS-12

Rehabilitation/Mobility Instructor Trainee 38167 RC-063-15 MS-12

Research Fellow, Option B 38211 None MS-19

Resident Physician 38270 None MS-15

Residential Care Worker Trainee 38279 RC-009-11 MS-05

Retirement Benefits Representative Trainee 38316 None MS-07

Revenue Auditor Trainee (IL) 38375 RC-062-12 MS-09

Revenue Auditor Trainee (states other than IL and not

assigned to RC-062-15) 38375 RC-062-13 MS-09

Revenue Auditor Trainee (see Note in Appendix A

Table W) 38375 RC-062-15 MS-09

Revenue Collection Officer Trainee 38405 RC-062-12 MS-09

Revenue Special Agent Trainee 38565 RC-062-14 MS-11

Revenue Tax Specialist Trainee 38575 RC-062-10 MS-07

Security Therapy Aide Trainee 39905 RC-009-13 MS-06

Seed Analyst Trainee 39953 None MS-07

Social Service Aide Trainee 41285 RC-006-01

RC-009-02 MS-03

Social Services Career Trainee 41320 RC-062-12 MS-09

Social Worker Intern 41430 None MS-15

Student Intern 43190 None MS-01

Student Worker 43200 None MS-01

Telecommunications Systems Technician Trainee 45314 None MS-05

Telecommunicator Trainee 45325 RC-014-10 MS-07


18



Terrorism Research Specialist Trainee 45375 RC-062-14 MS-11

Weatherization Specialist Trainee 49105 RC-062-12 MS-09

Well Inspector Trainee 49425 None MS-09



Section 310.410 Jurisdiction

The Merit Compensation System shall apply to classes of positions, or positions excluded from

bargaining unit representation, designated below and Broad-Band classes in Appendix G. In

addition, the classes are listed in the ALPHABETIC INDEX OF POSITION TITLES. Also see

Section 310.495 for the application of the Merit Compensation System for those Broad-Band

titles listed with their salary ranges in Appendix G.

Title Title Code Salary Range

Account Clerk I 00111 MS-03

Account Clerk II 00112 MS-04

Account Technician I 00115 MS-07

Account Technician II 00116 MS-09

Account Technician Trainee 00118 MS-04

Accountant 00130 MS-11

Accountant Advanced 00133 MS-14

Accountant Supervisor 00135 MS-19

Accounting and Fiscal Administration Career Trainee 00140 MS-09

Activity Program Aide I 00151 MS-04

Activity Program Aide II 00152 MS-05

Activity Therapist 00157 MS-12

Activity Therapist Coordinator 00160 MS-16

Activity Therapist Supervisor 00163 MS-23

Actuarial Assistant 00187 MS-14

Actuarial Examiner 00195 MS-14

Actuarial Examiner Trainee 00196 MS-10

Actuarial Senior Examiner 00197 MS-21

Actuary I 00201 MS-23

Actuary II 00202 MS-31

Actuary III 00203 MS-33


18



Administrative Assistant I 00501 MS-16

Administrative Assistant II 00502 MS-21

Administrative Services Worker Trainee 00600 MS-02

Agricultural Executive 00800 MS-23

Agricultural Land and Water Resources Supervisor 00811 MS-25

Agricultural Market News Assistant 00804 MS-09

Agricultural Marketing Reporter 00807 MS-19

Agricultural Marketing Representative 00810 MS-19

Agriculture Land and Water Resource Specialist I 00831 MS-11

Agriculture Land and Water Resource Specialist II 00832 MS-16

Agriculture Land and Water Resource Specialist III 00833 MS-23

Aircraft Dispatcher 00951 MS-09

Aircraft Lead Dispatcher 00952 MS-11

Aircraft Pilot I 00955 MS-21

Aircraft Pilot II 00956 MS-28

Aircraft Pilot II − Dual Rating 00957 MS-29

Animal and Animal Products Investigator 01072 MS-11

Animal and Animal Products Investigator Trainee 01075 MS-09

Apiary Inspector 01215 MS-03

Apparel/Dry Goods Specialist I 01231 MS-04

Apparel/Dry Goods Specialist II 01232 MS-05

Apparel/Dry Goods Specialist III 01233 MS-10

Appraisal Specialist I 01251 MS-11

Appraisal Specialist II 01252 MS-14

Appraisal Specialist III 01253 MS-19

Appraisal Specialist Trainee 01255 MS-09

Arbitrator 01401 MS-33

Architect 01440 MS-28

Arson Investigations Trainee 01485 MS-12

Arson Investigator I 01481 MS-15

Arson Investigator II 01482 MS-20

Arts Council Associate 01523 MS-09

Arts Council Program Coordinator 01526 MS-19

Arts Council Program Representative 01527 MS-12

Assignment Coordinator 01530 MS-23

Assistant Automotive Shop Supervisor 01565 MS-11

Assistant Reimbursement Officer 02424 MS-05

Audio Visual Technician I 03501 MS-04

Audio Visual Technician II 03502 MS-06


18



Auto and Body Repairer 03680 MS-13

Automotive Attendant I 03696 MS-03

Automotive Attendant II 03697 MS-03

Automotive Mechanic 03700 MS-13

Automotive Parts Warehouse Specialist 03734 MS-11

Automotive Parts Warehouser 03730 MS-11

Automotive Shop Supervisor 03749 MS-18

Bank Examiner I 04131 MS-14

Bank Examiner II 04132 MS-21

Bank Examiner III 04133 MS-28

Behavioral Analyst Associate 04355 MS-12

Behavioral Analyst I 04351 MS-16

Behavioral Analyst II 04352 MS-21

Blasting Expert 04720 MS-27

Blasting Specialist 04725 MS-25

Blasting Supervisor 04730 MS-29

Boat Safety Inspection Supervisor 04850 MS-22

Boiler Safety Audit Specialist 04900 MS-30

Boiler Safety Specialist 04910 MS-26

Breath Alcohol Analysis Technician 05170 MS-15

Bridge Mechanic 05310 MS-17

Bridge Tender 05320 MS-18

Building Construction Inspector I 05541 MS-18

Building Construction Inspector II 05542 MS-20

Building Services Worker 05616 MS-05

Building/Grounds Laborer 05598 MS-08

Building/Grounds Lead I 05601 MS-10

Building/Grounds Lead II 05602 MS-12

Building/Grounds Maintenance Worker 05613 MS-09

Building/Grounds Supervisor 05605 MS-12

Business Administrative Specialist 05810 MS-14

Business Manager 05815 MS-19

Buyer 05900 MS-19

Buyer Assistant 05905 MS-07

Cancer Registrar I 05951 MS-11

Cancer Registrar II 05952 MS-14

Cancer Registrar III 05953 MS-23

Cancer Registrar Assistant Manager 05954 MS-27

Cancer Registrar Manager 05955 MS-31


18



Canine Specialist 06500 MS-20

Capital Development Board Account Technician 06515 MS-08

Capital Development Board Art In Architecture

Technician 06533

MS-09

Capital Development Board Construction Support Analyst 06520 MS-08

Capital Development Board Media Technician 06525 MS-11

Capital Development Board Project Technician 06530 MS-09

Cartographer III 06673 MS-28

Chaplain I 06901 MS-14

Chaplain II 06902 MS-21

Check Issuance Machine Operator 06920 MS-06

Check Issuance Machine Supervisor 06925 MS-08

Chemist I 06941 MS-14

Chemist II 06942 MS-21

Chemist III 06943 MS-25

Child Development Aide 07184 MS-07

Child Protection Advanced Specialist 07161 MS-21

Child Protection Associate Specialist 07162 MS-14

Child Protection Specialist 07163 MS-19

Child Support Specialist I 07198 MS-14

Child Support Specialist II 07199 MS-16

Child Support Specialist Trainee 07200 MS-09

Child Welfare Administrative Case Reviewer 07190 MS-28

Child Welfare Advanced Specialist 07215 MS-21

Child Welfare Associate Specialist 07216 MS-14

Child Welfare Court Facilitator 07196 MS-28

Child Welfare Nurse Specialist 07197 MS-22

Child Welfare Senior Specialist 07217 MS-28

Child Welfare Specialist 07218 MS-19

Child Welfare Staff Development Coordinator I 07201 MS-16

Child Welfare Staff Development Coordinator II 07202 MS-21

Child Welfare Staff Development Coordinator III 07203 MS-23

Child Welfare Staff Development Coordinator IV 07204 MS-28

Children and Family Service Intern, Option 1 07241 MS-09


Civil Engineer I 07601 MS-22

Civil Engineer II 07602 MS-26

Civil Engineer III 07603 MS-30

Civil Engineer IV 07604 MS-31


18



Civil Engineer Trainee 07607 MS-16

Clerical Trainee 08050 MS-01

Clinical Laboratory Associate 08200 MS-05

Clinical Laboratory Phlebotomist 08213 MS-04

Clinical Laboratory Technician I 08215 MS-07

Clinical Laboratory Technician II 08216 MS-09

Clinical Laboratory Technologist I 08220 MS-19

Clinical Laboratory Technologist II 08221 MS-21

Clinical Laboratory Technologist Trainee 08229 MS-11

Clinical Pharmacist 08235 MS-32

Clinical Psychologist 08250 MS-29

Clinical Psychology Associate 08255 MS-19

Clinical Services Supervisor 08260 MS-31

Commerce Commission Police Officer I 08451 MS-18

Commerce Commission Police Officer II 08452 MS-22

Commerce Commission Police Officer Trainee 08455 MS-10

Commerce Commission Police Sergeant 08457 MS-24

Commodities Inspector 08770 MS-08

Communications Dispatcher 08815 MS-06

Communications Equipment Technician I 08831 MS-16

Communications Equipment Technician II 08832 MS-21

Communications Equipment Technician III 08833 MS-23

Communications Systems Specialist 08860 MS-29

Community Management Specialist I 08891 MS-12

Community Management Specialist II 08892 MS-16

Community Management Specialist III 08893 MS-21

Community Planner I 08901 MS-12

Community Planner II 08902 MS-16

Community Planner III 08903 MS-21

Compliance Officer 08919 MS-11

Computer Evidence Recovery Specialist 08980 MS-32

Conservation Education Representative 09300 MS-09

Conservation Grant Administrator I 09311 MS-19

Conservation Grant Administrator II 09312 MS-23

Conservation Grant Administrator III 09313 MS-28

Conservation Police Lieutenant 09339 MS-23

Conservation Police Officer I 09341 MS-18

Conservation Police Officer II 09342 MS-19

Conservation Police Officer Trainee 09345 MS-06


18



Conservation Police Sergeant 09347 MS-22

Conservation/Historic Preservation Worker 09317 MS-01

Construction Program Assistant 09525 MS-09

Construction Supervisor I 09561 MS-10

Construction Supervisor II 0956009562 MS-14

Cook I 09601 MS-04

Cook II 09602 MS-07

Correctional Casework Supervisor 09655 MS-25

Correctional Counselor I 09661 MS-12

Correctional Counselor II 09662 MS-16

Correctional Counselor III 09663 MS-21

Correctional Lieutenant 09673 MS-24

Correctional Officer 09675 MS-11

Correctional Officer Trainee 09676 MS-08

Correctional Sergeant 09717 MS-16

Corrections Apprehension Specialist 09750 MS-21

Corrections Clerk I 09771 MS-11

Corrections Clerk II 09772 MS-13

Corrections Clerk III 09773 MS-18

Corrections Command Center Supervisor 09500 MS-32

Corrections Family Services Coordinator 09600 MS-32

Corrections Food Service Supervisor I 09793 MS-13

Corrections Food Service Supervisor II 09794 MS-18

Corrections Food Service Supervisor III 09795 MS-21

Corrections Grounds Supervisor 09796 MS-16

Corrections Identification Supervisor 09800 MS-24

Corrections Identification Technician 09801 MS-13

Corrections Industries Marketing Representative 09803 MS-16

Corrections Industry Lead Worker 09805 MS-16

Corrections Industry Supervisor 09807 MS-21

Corrections Intelligence Program Unit Manager 09798 MS-31

Corrections Laundry Manager I 09808 MS-18

Corrections Laundry Manager II 09809 MS-20

Corrections Law Library Assistant 09819 MS-11

Corrections Leisure Activities Specialist I 09811 MS-12

Corrections Leisure Activities Specialist II 09812 MS-16

Corrections Leisure Activities Specialist III 09813 MS-21

Corrections Leisure Activities Specialist IV 09814 MS-25

Corrections Locksmith 09818 MS-16


18



Corrections Maintenance Craftsman 09821 MS-16

Corrections Maintenance Supervisor 09822 MS-20

Corrections Maintenance Worker 09823 MS-12

Corrections Medical Technician 09824 MS-12

Corrections Nurse I 09825 MS-20

Corrections Nurse II 09826 MS-25

Corrections Nurse Trainee 09836 MS-16

Corrections Parole Agent 09842 MS-16

Corrections Placement Resources Regional Supervisor 09839 MS-31

Corrections Program Administrator 09849 MS-31

Corrections Psychologist Administrator 09855 MS-32

Corrections Regional Mental Health Services

Administrator

09857 MS-32

Corrections Residence Counselor I 09837 MS-13

Corrections Residence Counselor II 09838 MS-20

Corrections Senior Parole Agent 09844 MS-21

Corrections Supply Supervisor I 09861 MS-13

Corrections Supply Supervisor II 09862 MS-18

Corrections Supply Supervisor III 09863 MS-21

Corrections Training Program Supervisor 09860 MS-32

Corrections Transportation Officer I 09871 MS-13

Corrections Transportation Officer II 09872 MS-20

Corrections Treatment Officer 09864 MS-20

Corrections Treatment Officer Supervisor 09865 MS-27

Corrections Treatment Officer Trainee 09866 MS-13

Corrections Treatment Senior Security Supervisor 09867 MS-31

Corrections Unit Superintendent 09868 MS-32

Corrections Utilities Operator 09875 MS-16

Corrections Vocational Instructor 09879 MS-16

Corrections Vocational School Supervisor 09880 MS-20

Court Reporter 09900 MS-12

Court Reporter Supervisor 09903 MS-26

Crime Scene Investigator 09980 MS-25

Criminal Intelligence Analyst I 10161 MS-19

Criminal Intelligence Analyst II 10162 MS-23

Criminal Intelligence Analyst Specialist 10165 MS-28

Criminal Intelligence Analyst Supervisor 10169 MS-32

Criminal Justice Specialist I 10231 MS-14

Criminal Justice Specialist II 10232 MS-23


18



Criminal Justice Specialist Trainee 10236 MS-10

Curator Of The Lincoln Collection 10750 MS-14

Data Processing Administrative Specialist 11415 MS-11

Data Processing Assistant 11420 MS-04

Data Processing Operator 11425 MS-03

Data Processing Operator Trainee 11428 MS-02

Data Processing Specialist 11430 MS-09

Data Processing Supervisor I 11435 MS-08

Data Processing Supervisor II 11436 MS-11

Data Processing Supervisor III 11437 MS-19

Data Processing Technician 11440 MS-06

Data Processing Technician Trainee 11443 MS-04

Day Care Licensing Representative I 11471 MS-14

Day Care Licensing Representative II 11472 MS-19

Deck Hand 11500 MS-15

Dental Assistant 11650 MS-07

Dental Hygienist 11700 MS-11

Dentist I 11751 MS-29

Dentist II 11752 MS-33

Developmental Disabilities Council Program Planner I 12361 MS-09

Developmental Disabilities Council Program Planner II 12362 MS-14

Developmental Disabilities Council Program Planner III 12363 MS-19

Developmental Psychological Services Administrator 12380 MS-32

Dietary Manager I 12501 MS-14

Dietary Manager II 12502 MS-19

Dietitian 12510 MS-12

Disability Appeals Officer 12530 MS-28

Disability Claims Adjudicator I 12537 MS-14

Disability Claims Adjudicator II 12538 MS-19

Disability Claims Adjudicator Trainee 12539 MS-10

Disability Claims Analyst 12540 MS-25

Disability Claims Specialist 12558 MS-21

Disaster Services Planner 12585 MS-21

Document Examiner 12640 MS-28

Drafting Worker 12749 MS-08

Drug Compliance Investigator 12778 MS-31

Economic Development Representative I 12931 MS-16

Economic Development Representative II 12932 MS-21

Economic Development Representative Trainee 12939 MS-10


18



Economist Associate 12940 MS-12

Educational Diagnostician 12965 MS-09

Educational Media Program Specialist 12980 MS-16

Educator 13100 MS-26

Educator – Career and Technical 13103 MS-16

Educator – Career and Technical Provisional 13104 MS-15

Educator Aide 13130 MS-08

Educator Intern 13135 MS-10

Educator Trainee 13148 MS-09

Electrical Engineer 13180 MS-28

Electroencephalograph Technician 13300 MS-05

Electronic Equipment Installer/Repairer 13340 MS-07

Electronic Equipment Installer/Repairer Lead Worker 13345 MS-09

Electronics Technician 13360 MS-12

Elevator Inspector 13495 MS-21

Elevator Operator 13500 MS-05

Emergency Response Lead Telecommunicator 13540 MS-10

Emergency Response Telecommunicator 13543 MS-08

Employment Security Field Office Supervisor 13600 MS-23

Employment Security Manpower Representative I 13621 MS-09

Employment Security Manpower Representative II 13622 MS-11

Employment Security Program Representative 13650 MS-11

Employment Security Program Representative −

Intermittent

13651 MS-11

Employment Security Service Representative 13667 MS-14

Employment Security Specialist I 13671 MS-11

Employment Security Specialist II 13672 MS-14

Employment Security Specialist III 13673 MS-21

Employment Security Tax Auditor I 13681 MS-16

Employment Security Tax Auditor II 13682 MS-21

End-User Computer Services Specialist I 13691 MS-24

End-User Computer Services Specialist II 13692 MS-28

End-User Computer Systems Analyst 13693 MS-30

Energy and Natural Resources Specialist I 13711 MS-12

Energy and Natural Resources Specialist II 13712 MS-16

Energy and Natural Resources Specialist III 13713 MS-21

Energy and Natural Resources Specialist Trainee 13715 MS-09

Engineering Technician I 13731 MS-10

Engineering Technician II 13732 MS-13


18



Engineering Technician III 13733 MS-20

Engineering Technician IV 13734 MS-30

Environmental Engineer I 13751 MS-12

Environmental Engineer II 13752 MS-16

Environmental Engineer III 13753 MS-21

Environmental Engineer IV 13754 MS-28

Environmental Equipment Operator I 13761 MS-09

Environmental Equipment Operator II 13762 MS-11

Environmental Health Specialist I 13768 MS-11

Environmental Health Specialist II 13769 MS-14

Environmental Health Specialist III 13770 MS-19

Environmental Protection Associate 13785 MS-09

Environmental Protection Engineer I 13791 MS-12

Environmental Protection Engineer II 13792 MS-16

Environmental Protection Engineer III 13793 MS-21

Environmental Protection Engineer IV 13794 MS-28

Environmental Protection Geologist I 13801 MS-12

Environmental Protection Geologist II 13802 MS-16

Environmental Protection Geologist III 13803 MS-21

Environmental Protection Legal Investigator I 13811 MS-10

Environmental Protection Legal Investigator II 13812 MS-11

Environmental Protection Legal Investigator Specialist 13815 MS-13

Environmental Protection Specialist I 13821 MS-11

Environmental Protection Specialist II 13822 MS-14

Environmental Protection Specialist III 13823 MS-19

Environmental Protection Specialist IV 13824 MS-28

Environmental Protection Technician I 13831 MS-05

Environmental Protection Technician II 13832 MS-07

Epidemiology Research and Investigation Scientist 13833 MS-29

Equal Pay Specialist 13837 MS-16

Equine Investigator 13840 MS-09

Executive I 13851 MS-19

Executive II 13852 MS-23

Executive Secretary I 14031 MS-08

Executive Secretary II 14032 MS-11

Executive Secretary III 14033 MS-14

Explosives Inspector I 14051 MS-11

Explosives Inspector II 14052 MS-18

Facility Assistant Fire Chief 14430 MS-10


18



Facility Fire Chief 14433 MS-13

Facility Fire Safety Coordinator 14435 MS-09

Facility Firefighter 14439 MS-07

Ferry Operator I 14801 MS-18

Ferry Operator II 14802 MS-19

Financial Institutions Examiner I 14971 MS-14

Financial Institutions Examiner II 14972 MS-21

Financial Institutions Examiner III 14973 MS-28

Financial Institutions Examiner Trainee 14978 MS-10

Fingerprint Technician 15204 MS-10

Fingerprint Technician Supervisor 15208 MS-18

Fingerprint Technician Trainee 15209 MS-05

Firearms Eligibility Administrator 15280 MS-32

Firearms Eligibility Analyst I 15371 MS-10

Firearms Eligibility Analyst II 15372 MS-14

Firearms Eligibility Analyst Trainee 15375 MS-08

Fire Certification Specialist I 15281 MS-16

Fire Certification Specialist II 15282 MS-18

Fire Certification Specialist Supervisor 15283 MS-22

Fire Prevention Inspector I 15316 MS-13

Fire Prevention Inspector II 15317 MS-20

Fire Prevention Inspector Trainee 15320 MS-10

Fire Protection Engineer 15340 MS‐28

Fire Protection Specialist I 15351 MS-14

Flight Safety Coordinator 15640 MS-28

Florist II 15652 MS-08

Food Services Program Manager 15800 MS-31

Foreign Service Economic Development Executive I 15871 MS-32

Foreign Service Economic Development Executive II 15872 MS-34

Foreign Service Economic Development Representative 15875 MS-30

Forensic Science Administrator I 15911 MS-31

Forensic Science Administrator II 15912 MS-32

Forensic Science Administrator III 15913 MS-33

Forensic Scientist I 15891 MS-19

Forensic Scientist II 15892 MS-23

Forensic Scientist III 15893 MS-28

Forensic Scientist Trainee 15897 MS-12

Gaming Licensing Analyst 17171 MS-10

Gaming Operations Supervisor 17181 MS-33


18



Gaming Senior Special Agent 17191 MS-29

Gaming Shift Supervisor 17187 MS-31

Gaming Special Agent 17192 MS-21

Gaming Special Agent Trainee 17195 MS-11

Gaming Unit Supervisor 17201 MS-33

Geographic Information Specialist I 17271 MS-21

Geographic Information Specialist II 17272 MS-29

Geographic Information Trainee 17276 MS-12

Governmental Career Trainee 17325 MS-09

Graduate Pharmacist 17345 MS-23

Graphic Arts Designer 17366 MS-11

Graphic Arts Designer Advanced 17370 MS-14

Graphic Arts Designer Supervisor 17365 MS-19

Graphic Arts Technician 17400 MS-09

Grounds Supervisor 17549 MS-18

Guard I 17681 MS-04

Guard II 17682 MS-06

Guard III 17683 MS-09

Guard Supervisor 17685 MS-11

Guardianship Representative 17710 MS-16

Guardianship Supervisor 17720 MS-24

Habilitation Program Coordinator 17960 MS-16

Handicapped Services Representative I 17981 MS-08

Health Facilities Surveillance Nurse 18150 MS-22

Health Facilities Surveyor I 18011 MS-14

Health Facilities Surveyor II 18012 MS-21

Health Facilities Surveyor III 18013 MS-23

Health Information Associate 18045 MS-07

Health Information Technician 18047 MS-09

Health Services Investigator I 18179 MS-21

Health Services Investigator II, Option A − General 18185 MS-28

Health Services Investigator II, Option C − Pharmacy 18187 MS-32

Hearing and Speech Advanced Specialist 18227 MS-28

Hearing and Speech Associate 18231 MS-19

Hearing and Speech Specialist 18233 MS-23

Hearing and Speech Technician II 18262 MS-06

Hearings Referee 18300 MS-29

Hearings Referee − Intermittent 18301 MS-29

Heavy Construction Equipment Operator 18465 MS-18


18



Highway Construction Supervisor I 18525 MS-25

Highway Construction Supervisor II 18526 MS-30

Highway Maintainer 18639 MS-18

Highway Maintenance Lead Worker 18659 MS-18

Historical Documents Conservator I 18981 MS-10

Historical Exhibits Designer 18985 MS-12

Historical Library Chief Of Acquisitions 18987 MS-21

Historical Research Editor II 19002 MS-11

Historical Research Specialist 19008 MS-23

Housekeeper II 19602 MS-03

Human Relations Representative 19670 MS-14

Human Resources Assistant 19690 MS-05

Human Resources Associate 19691 MS-08

Human Resources Trainee 19694 MS-04

Human Rights Investigator I 19774 MS-14

Human Rights Investigator II 19775 MS-19

Human Rights Investigator III 19776 MS-21

Human Rights Investigator Trainee 19768 MS-09

Human Rights Mediation Supervisor 19769 MS-23

Human Rights Mediator 19771 MS-16

Human Rights Specialist I 19778 MS-11

Human Rights Specialist II 19779 MS-14

Human Rights Specialist III 19780 MS-19

Human Services Casework Manager 19788 MS-23

Human Services Caseworker 19785 MS-14

Human Services Grants Coordinator I 19791 MS-11

Human Services Grants Coordinator II 19792 MS-16

Human Services Grants Coordinator III 19793 MS-23

Human Services Grants Coordinator Trainee 19796 MS-09

Human Services Sign Language Interpreter 19810 MS-14

Iconographer 19880 MS-09

Industrial and Community Development Representative I 21051 MS-16

Industrial and Community Development Representative II 21052 MS-21

Industrial Commission Reporter 21080 MS-14

Industrial Commission Technician 21095 MS-08

Industrial Services Consultant I 21121 MS-11

Industrial Services Consultant II 21122 MS-14

Industrial Services Consultant Trainee 21125 MS-08

Industrial Services Hygienist 21127 MS-21


18



Industrial Services Hygienist Technician 21130 MS-14

Industrial Services Hygienist Trainee 21133 MS-09

Information Services Intern 21160 MS-12

Information Services Specialist I 21161 MS-16

Information Services Specialist II 21162 MS-21

Information Systems Analyst I 21165 MS-25

Information Systems Analyst II 21166 MS-29

Information Systems Analyst III 21167 MS-32

Information Technology/Communications Systems

Specialist I 21216

MS-21


Specialist II 21217

MS-31

Inhalation Therapist 21259 MS-05

Inhalation Therapy Supervisor 21260 MS-08

Institutional Maintenance Worker 21465 MS-05

Instrument Designer 21500 MS-19

Insurance Analyst I 21561 MS-06

Insurance Analyst II 21562 MS-09

Insurance Analyst III 21563 MS-11

Insurance Analyst IV 21564 MS-14

Insurance Analyst Trainee 21566 MS-04

Insurance Company Claims Examiner I 21601 MS-16

Insurance Company Claims Examiner II 21602 MS-21

Insurance Company Field Staff Examiner 21608 MS-14

Insurance Company Financial Examiner Trainee 21610 MS-10

Insurance Performance Examiner I 21671 MS-11

Insurance Performance Examiner II 21672 MS-16

Insurance Performance Examiner III 21673 MS-23

Insurance Performance Examiner Trainee 21680 MS-09

Intermittent Clerk 21686 MS-02

Intermittent Laborer (Maintenance) 21687 MS-08

Intermittent Unemployment Insurance Representative 21689 MS-09

Intermittent Unemployment Insurance Technician 21690 MS-04

Internal Auditor I 21721 MS-16

Internal Auditor Trainee 21726 MS-09

Internal Investigations Principal Evaluation Supervisor 21735 MS-31

Internal Investigations Supervisor 21740 MS-31

Internal Security Investigator I 21731 MS-22

Internal Security Investigator II 21732 MS-28


18



International Marketing Representative I 21761 MS-11

Janitor I 21951 MS-13

Janitor II 21952 MS-14

Juvenile Justice Chief of Security 21965 MS-31

Juvenile Justice Psychologist Administrator 21967 MS-32

Juvenile Justice School Counselor 21970 MS-26

Juvenile Justice Specialist 21971 MS-20

Juvenile Justice Specialist Intern 21976 MS-13

Juvenile Justice Supervisor 21980 MS-27

Juvenile Justice Unit Superintendent 21985 MS-32

Juvenile Justice Vocational Instructor 2198721787 MS-16

Juvenile Justice Youth and Family Specialist Option 1 21991 MS-19


Juvenile Justice Youth and Family Specialist Supervisor 21995 MS-28

Kidcare Supervisor 22003 MS-23

Labor Conciliator 22750 MS-23

Labor Maintenance Lead Worker 22809 MS-16

Laboratory Assistant 22995 MS-03

Laboratory Associate I 22997 MS-07

Laboratory Associate II 22998 MS-09

Laboratory Equipment Specialist 22990 MS-19

Laboratory Quality Specialist I 23021 MS-21

Laboratory Quality Specialist II 23022 MS-25

Laboratory Research Scientist 23025 MS-29

Laboratory Research Specialist I 23027 MS-21

Laboratory Research Specialist II 23028 MS-25

Laborer (Maintenance) 23080 MS-15

Land Acquisition Agent I 23091 MS-12

Land Acquisition Agent II 23092 MS-19

Land Acquisition Agent III 23093 MS-25

Land Reclamation Specialist I 23131 MS-11

Land Reclamation Specialist II 23132 MS-16

Land Reclamation Specialist Trainee 23137 MS-09

Landscape Architect 23145 MS-28

Landscape Planner 23150 MS-21

Laundry Manager I 23191 MS-10

Law Enforcement Training Administrator 23260 MS-32

Legal Research Assistant 23350 MS-10

Liability Claims Adjuster I 23371 MS-11


18



Liability Claims Adjuster II 23372 MS-19

Liability Claims Adjuster Trainee 23375 MS-09

Librarian I 23401 MS-14

Librarian II 23402 MS-19

Library Aide I 23421 MS-03

Library Aide II 23422 MS-04

Library Aide III 23423 MS-05

Library Associate 23430 MS-09

Library Technical Assistant 23450 MS-07

Licensed Practical Nurse I 23551 MS-09

Licensed Practical Nurse II 23552 MS-10

Licensing Assistant 23568 MS-05

Licensing Investigations Supervisor 23577 MS-32

Licensing Investigator I 23571 MS-10

Licensing Investigator II 23572 MS-13

Licensing Investigator III 23573 MS-15

Licensing Investigator IV 23574 MS-20

Life Sciences Career Trainee 23600 MS-09

Liquor Control Special Agent I 23751 MS-13

Liquor Control Special Agent II 23752 MS-14

Local Historical Services Representative 24000 MS-16

Local Housing Advisor I 24031 MS-11

Local Housing Advisor II 24032 MS-14

Local Housing Advisor III 24033 MS-19

Local Revenue and Fiscal Advisor I 24101 MS-12

Local Revenue and Fiscal Advisor II 24102 MS-16

Local Revenue and Fiscal Advisor III 24103 MS-21

Lock and Dam Tender 24290 MS-07

Locksmith 24300 MS-16

Lottery Commodities Distributor II 24402 MS-09

Lottery Regional Coordinator 24504 MS-21

Lottery Sales Representative 24515 MS-14

Lottery Telemarketing Representative 24520 MS-06

Maintenance Equipment Operator 25020 MS-18

Maintenance Worker 25500 MS-16

Management Operations Analyst I 25541 MS-19

Management Operations Analyst II 25542 MS-23

Management Operations Analyst Trainee 25545 MS-12

Management Systems Specialist 25583 MS-25


18



Manpower Planner I 25591 MS-11

Manpower Planner II 25592 MS-16

Manpower Planner III 25593 MS-23

Manpower Planner Trainee 25597 MS-09

Manuscripts Manager 25610 MS-21

Meat and Poultry Inspector 26070 MS-10

Meat and Poultry Inspector Supervisor 26073 MS-13

Meat and Poultry Inspector Trainee 26075 MS-07

Mechanical Engineer I 26201 MS-12

Mechanical Engineer II 26202 MS-16

Mechanical Engineer III 26203 MS-21

Medicaid Management Analyst 26301 MS-20

Medicaid Management Intern 26305 MS-13

Medical Administrator I Option C 26400 MS-60

Medical Administrator I Option D 26401 MS-62

Medical Administrator II Option C 26402 MS-61

Medical Administrator II Option D 26403 MS-64

Medical Administrator III 26404 MS-65

Medical Administrator IV 26405 MS-66

Medical Administrator V 26406 MS-67

Medical Assistance Consultant I 26501 MS-10

Medical Assistance Consultant II 26502 MS-14

Medical Assistance Consultant III 26503 MS-21

Mental Health Administrator I 26811 MS-19

Mental Health Administrator II 26812 MS-23

Mental Health Administrator Trainee 26817 MS-14

Mental Health Program Administrator 26908 MS-63

Mental Health Recovery Support Specialist I 26921 MS-16

Mental Health Recovery Support Specialist II 26922 MS-19

Mental Health Specialist I 26924 MS-09

Mental Health Specialist II 26925 MS-11

Mental Health Specialist III 26926 MS-14

Mental Health Specialist Trainee 26928 MS-08

Mental Health Technician I 27011 MS-04

Mental Health Technician II 27012 MS-05

Mental Health Technician III 27013 MS-06

Mental Health Technician IV 27014 MS-07

Mental Health Technician V 27015 MS-08

Mental Health Technician VI 27016 MS-09


18



Mental Health Technician Trainee 27020 MS-03

Meteorologist 27120 MS-19

Methods and Procedures Advisor I 27131 MS-11

Methods and Procedures Advisor II 27132 MS-14

Methods and Procedures Advisor III 27133 MS-23

Methods and Procedures Career Associate I 27135 MS-08

Methods and Procedures Career Associate II 27136 MS-09

Methods and Procedures Career Associate Trainee 27137 MS-06

Metrologist Associate 27146 MS-12

Microbiologist I 27151 MS-14

Microbiologist II 27152 MS-21

Microfilm Laboratory Technician I 27175 MS-04

Microfilm Laboratory Technician II 27176 MS-06

Microfilm Operator I 27181 MS-03

Microfilm Operator II 27182 MS-04

Microfilm Operator III 27183 MS-05

Mine Rescue Station Assistant 28150 MS-07

Motorist Assistance Specialist 28490 MS-05

Museum Theater Systems Technician 28700 MS-11

Narcotics and Currency Unit Supervisor 28750 MS-32

Natural Resources Advanced Specialist 28833 MS-23

Natural Resources Coordinator 28831 MS-12

Natural Resources Coordinator Trainee 28830 MS-09

Natural Resources Education Program Coordinator 28834 MS-23

Natural Resources Grant Coordinator 28835 MS-20

Natural Resources Manager I 28836 MS-23

Natural Resources Manager II 28837 MS-26

Natural Resources Manager III 28838 MS-30

Natural Resources Site Manager I 28841 MS-23

Natural Resources Site Manager II 28842 MS-26

Natural Resources Specialist 28832 MS-19

Natural Resources Technician I 28851 MS-07

Natural Resources Technician II 28852 MS-10

Nursing Act Assistant Coordinator 29731 MS-25

Nutritionist 29820 MS-19

Occupational Therapist 29900 MS-16

Occupational Therapist Program Coordinator 29908 MS-21

Occupational Therapist Supervisor 29910 MS-25

Office Administrative Specialist 29990 MS-09


18



Office Administrator I 29991 MS-04

Office Administrator II 29992 MS-06

Office Administrator III 29993 MS-08

Office Administrator IV 29994 MS-11

Office Administrator V 29995 MS-12

Office Aide 30005 MS-02

Office Assistant 30010 MS-04

Office Associate 30015 MS-05

Office Clerk 30020 MS-03

Office Coordinator 30025 MS-06

Office Occupations Trainee 30075 MS-01

Office Specialist 30080 MS-08

Oral Health Consultant 30317 MS-19

Paralegal Assistant 30860 MS-11

Pension and Death Benefits Technician I 30961 MS-09

Pension and Death Benefits Technician II 30962 MS-21

Pest Control Operator 31810 MS-07

Pharmacy Lead Technician 32009 MS-06

Pharmacy Manager 32025 MS-33

Pharmacy Services Coordinator 32010 MS-32

Pharmacy Technician 32011 MS-04

Photographer 32080 MS-11

Photographic Technician I 32091 MS-08

Photographic Technician II 32092 MS-11

Photographic Technician III 32093 MS-12

Physical Therapist 32145 MS-16

Physical Therapist Program Coordinator 32153 MS-21

Physical Therapy Aide II 32192 MS-05

Physical Therapy Aide III 32193 MS-08

Physician 32200 MS-36

Physician Assistant 32210 MS-27

Physician Specialist − Option A 32221 MS-37

Physician Specialist − Option B 32222 MS-38

Physician Specialist − Option C 32223 MS-61

Physician Specialist − Option D 32224 MS-63

Physician Specialist − Option E 32225 MS-65

Plant and Pesticide Specialist I 32501 MS-15

Plant and Pesticide Specialist II 32502 MS-20

Plant and Pesticide Specialist Supervisor 32506 MS-20


18



Plumbing Consultant 32910 MS-28

Plumbing Inspector 32915 MS-22

Podiatrist 32960 MS-11

Police Lieutenant 32977 MS-31

Police Officer I 32981 MS-15

Police Officer II 32982 MS-20

Police Officer III 32983 MS-24

Police Training Specialist 32990 MS-16

Polygraph Examiner I 33001 MS-20

Polygraph Examiner II 33002 MS-24

Polygraph Examiner III 33003 MS-28

Polygraph Examiner Trainee 33005 MS-12

Power Shovel Operator 33360 MS-18

Private Secretary I 34201 MS-14

Private Secretary II 34202 MS-18

Procurement Representative 34540 MS-06

Products and Standards Inspector 34603 MS-11

Products and Standards Inspector Trainee 34605 MS-09

Program Integrity Auditor I 34631 MS-14

Program Integrity Auditor II 34632 MS-21

Program Integrity Auditor Trainee 34635 MS-09

Project Designer 34725 MS-21

Property and Supply Clerk I 34791 MS-03

Property and Supply Clerk II 34792 MS-04

Property and Supply Clerk III 34793 MS-05

Property Consultant 34900 MS-12

Psychologist Associate 35626 MS-12

Psychologist I 35611 MS-16

Psychologist II 35612 MS-23

Psychologist III 35613 MS-28

Psychology Intern 35660 MS-15

Public Administration Intern 35700 MS-11

Public Aid Eligibility Assistant 35825 MS-05

Public Aid Investigator 35870 MS-21

Public Aid Investigator Trainee 35874 MS-11

Public Aid Lead Casework Specialist 35880 MS-16

Public Aid Program Quality Analyst 35890 MS-21

Public Aid Quality Control Reviewer 35892 MS-16

Public Aid Quality Control Supervisor 35900 MS-21


18



Public Aid Staff Development Specialist I 36071 MS-12

Public Aid Staff Development Specialist II 36072 MS-16

Public Aid Staff Development Specialist III 36073 MS-22

Public Health Educator 36430 MS-21

Public Health Educator Associate 36434 MS-11

Public Health Program Specialist I 36611 MS-11

Public Health Program Specialist II 36612 MS-14

Public Health Program Specialist III 36613 MS-21

Public Health Program Specialist Trainee 36615 MS-09

Public Information Coordinator 36750 MS-19

Public Information Officer I 37001 MS-09

Public Information Officer II 37002 MS-11

Public Information Officer III 37003 MS-21

Public Information Officer IV 37004 MS-25

Public Safety Drug Screening Specialist 37006 MS-16

Public Safety Inspector 37007 MS-14

Public Safety Inspector Trainee 37010 MS-07

Public Service Executive 37017 MS-31

Public Service Supervisor 37016 MS-28

Race Track Maintainer I 37551 MS-10

Race Track Maintainer II 37552 MS-12

Radiologic Technologist 37500 MS-08

Radiologic Technologist Chief 37505 MS-17

Radiologic Technologist Program Coordinator 37507 MS-09

Railroad Safety Specialist I 37601 MS-21

Railroad Safety Specialist II 37602 MS-25

Railroad Safety Specialist III 37603 MS-29

Railroad Safety Specialist IV 37604 MS-32

Ranger 37725 MS-10

Real Estate Investigator 37730 MS-21

Real Estate Professions Examiner 37760 MS-28

Recreation Worker I 38001 MS-09

Recreation Worker II 38002 MS-11

Refrigeration and Air Conditioning Repairer 38119 MS-12

Registered Nurse − Advanced Practice 38135 MS-26

Registered Nurse I 38131 MS-18

Registered Nurse II 38132 MS-22

Rehabilitation Case Coordinator I 38141 MS-05

Rehabilitation Case Coordinator II 38142 MS-07


18



Rehabilitation Counselor 38145 MS-16

Rehabilitation Counselor Aide I 38155 MS-06

Rehabilitation Counselor Aide II 38156 MS-08

Rehabilitation Counselor Senior 38158 MS-21

Rehabilitation Counselor Trainee 38159 MS-12

Rehabilitation Services Advisor I 38176 MS-23

Rehabilitation Workshop Instructor I 38192 MS-05

Rehabilitation Workshop Instructor II 38193 MS-09

Rehabilitation Workshop Supervisor I 38194 MS-09

Rehabilitation Workshop Supervisor II 38195 MS-11

Rehabilitation Workshop Supervisor III 38196 MS-14

Rehabilitation/Mobility Instructor 38163 MS-21

Rehabilitation/Mobility Instructor Trainee 38167 MS-12

Reimbursement Officer I 38199 MS-11

Reimbursement Officer II 38200 MS-14

Reproduction Service Supervisor I 38201 MS-10

Reproduction Service Supervisor II 38202 MS-18

Reproduction Service Technician I 38203 MS-03

Reproduction Service Technician II 38204 MS-06

Reproduction Service Technician III 38205 MS-08

Research Economist 38209 MS-18

Research Fellow, Option B 38211 MS-19

Research Scientist I 38231 MS-10

Research Scientist II 38232 MS-14

Research Scientist III 38233 MS-23

Resident Physician 38270 MS-15

Residential Care Program Supervisor I 38271 MS-22

Residential Care Worker 38277 MS-09

Residential Care Worker Trainee 38279 MS-05

Resource Planner I 38281 MS-16

Resource Planner II 38282 MS-21

Resource Planner III 38283 MS-28

Retirement Benefits Representative 38313 MS-09

Retirement Benefits Representative Supervisor 38314 MS-11

Retirement Benefits Representative Trainee 38316 MS-07

Retirement System Disability Specialist 38310 MS-21

Revenue Audit Supervisor 38369 MS-32

Revenue Auditor I 38371 MS-14

Revenue Auditor II 38372 MS-21


18



Revenue Auditor III 38373 MS-28

Revenue Auditor Trainee 38375 MS-09

Revenue Collection Officer I 38401 MS-12

Revenue Collection Officer II 38402 MS-16

Revenue Collection Officer III 38403 MS-21

Revenue Collection Officer Trainee 38405 MS-09

Revenue Computer Audit Specialist 38425 MS-29

Revenue Senior Special Agent 38557 MS-29

Revenue Special Agent 38558 MS-21

Revenue Special Agent Trainee 38565 MS-11

Revenue Tax Specialist I 38571 MS-09

Revenue Tax Specialist II 38572 MS-11

Revenue Tax Specialist III 38573 MS-16

Revenue Tax Specialist Trainee 38575 MS-07

Safety Responsibility Analyst 38910 MS-09

Safety Responsibility Analyst Supervisor 38915 MS-11

School Psychologist 39200 MS-21

Security Guard I 39851 MS-13

Security Guard II 39852 MS-14

Security Officer 39870 MS-10

Security Officer Chief 39875 MS-13

Security Officer Lieutenant 39876 MS-11

Security Officer Sergeant 39877 MS-10

Security Therapy Aide I 39901 MS-10

Security Therapy Aide II 39902 MS-11

Security Therapy Aide III 39903 MS-13

Security Therapy Aide IV 39904 MS-16

Security Therapy Aide Trainee 39905 MS-06

Seed Analyst I 39951 MS-09

Seed Analyst II 39952 MS-10

Seed Analyst Trainee 39953 MS-07

Senior Ranger 40090 MS-11

Sex Offender Registration Unit Supervisor 40700 MS-33

Sex Offender Therapist I 40531 MS-16

Sex Offender Therapist II 40532 MS-21

Shift Supervisor 40800 MS-31

Sign Hanger 40900 MS-16

Sign Hanger Foreman 40910 MS-18

Sign Shop Foreman 41000 MS-12


18



Silk Screen Operator 41020 MS-17

Site Assistant Superintendent I 41071 MS-12

Site Assistant Superintendent II 41072 MS-16

Site Interpreter 41090 MS-07

Site Interpretive Coordinator 41093 MS-10

Site Security Officer 41115 MS-06

Site Services Specialist I 41117 MS-12

Site Services Specialist II 41118 MS-16

Site Superintendent I 41211 MS-20

Site Superintendent II 41212 MS-25

Site Superintendent III 41213 MS-29

Site Technician I 41131 MS-07

Site Technician II 41132 MS-09

Small Engine Mechanic 41150 MS-10

Social Service Aide I 41281 MS-05

Social Service Aide II 41282 MS-08

Social Service Aide Trainee 41285 MS-03

Social Service Community Planner 41295 MS-08

Social Service Consultant I 41301 MS-19

Social Service Consultant II 41302 MS-21

Social Service Program Planner I 41311 MS-12

Social Service Program Planner II 41312 MS-16

Social Service Program Planner III 41313 MS-23

Social Service Program Planner IV 41314 MS-28

Social Services Career Trainee 41320 MS-09

Social Worker I 41411 MS-16

Social Worker II 41412 MS-21

Social Worker III 41413 MS-23

Social Worker IV 41414 MS-28

Social Worker Intern 41430 MS-15

Special Education Resources Coordinator 41680 MS-26

Staff Development Specialist I 41771 MS-19

Staff Development Technician I 41781 MS-09

Staff Development Technician II 41782 MS-12

Staff Pharmacist 41787 MS-31

State Mine Inspector 42230 MS-21

State Mine Inspector-At-Large 42240 MS-31

State Police Crime Information Evaluator 41801 MS-08

State Police Evidence Technician I 41901 MS-09


18



State Police Evidence Technician II 41902 MS-10

State Police Field Specialist I 42001 MS-19

State Police Field Specialist II 42002 MS-23

State Police Inspector 42100 MS-33

Statistical Research Specialist I 42741 MS-09

Statistical Research Specialist II 42742 MS-11

Statistical Research Specialist III 42743 MS-16

Statistical Research Supervisor 42745 MS-23

Statistical Research Technician 42748 MS-08

Storage Tank Safety Specialist 43005 MS-19

Storekeeper I 43051 MS-11

Storekeeper II 43052 MS-12

Storekeeper III 43053 MS-13

Stores Clerk 43060 MS-03

Student Intern 43190 MS-01

Student Worker 43200 MS-01

Supervising Vehicle Testing Compliance Officer 43680 MS-22

Support Service Coordinator I 44221 MS-07

Support Service Coordinator II 44222 MS-09

Support Service Lead 44225 MS-04

Support Service Worker 44238 MS-03

Switchboard Chief Operator 44410 MS-11

Switchboard Operator I 44411 MS-03

Switchboard Operator II 44412 MS-04

Switchboard Operator III 44413 MS-06

Technical Advisor Advanced Program Specialist 45256 MS-31

Technical Advisor I 45251 MS-19

Technical Advisor II 45252 MS-23

Technical Advisor III 45253 MS-29

Technical Manager I 45261 MS-18

Telecommunications Specialist 45295 MS-12

Telecommunications Supervisor 45305 MS-23

Telecommunications Systems Analyst 45308 MS-16

Telecommunications Systems Technician I 45312 MS-07

Telecommunications Systems Technician II 45313 MS-10

Telecommunications Systems Technician Trainee 45314 MS-05

Telecommunicator 45321 MS-09

Telecommunicator − Command Center 45316 MS-10

Telecommunicator Call Taker 45322 MS-11


18



Telecommunicator Lead Call Taker 45323 MS-14

Telecommunicator Lead Specialist 45327 MS-16

Telecommunicator Lead Worker 45324 MS-11

Telecommunicator Lead Worker − Command Center 45318 MS-12

Telecommunicator Specialist 45326 MS-12

Telecommunicator Trainee 45325 MS-07

Terrorism Research Specialist I 45371 MS-19

Terrorism Research Specialist II 45372 MS-23

Terrorism Research Specialist III 45373 MS-28

Terrorism Research Specialist Trainee 45375 MS-11

Transportation Officer 45830 MS-11

Truck Weighing Inspector 46100 MS-10

Unemployment Insurance Adjudicator I 47001 MS-08

Unemployment Insurance Adjudicator II 47002 MS-10

Unemployment Insurance Adjudicator III 47003 MS-12

Unemployment Insurance Revenue Analyst I 47081 MS-12

Unemployment Insurance Revenue Analyst II 47082 MS-16

Unemployment Insurance Revenue Specialist 47087 MS-10

Unemployment Insurance Special Agent 47096 MS-19

Utility Engineer I 47451 MS-20

Utility Engineer II 47452 MS-24

Vehicle Compliance Inspector 47570 MS-15

Vehicle Emission Compliance Inspector 47580 MS-10

Vehicle Emission Compliance Supervisor 47583 MS-12

Vehicle Emission Quality Assurance Auditor 47584 MS-10

Vehicle Permit Evaluator 47585 MS-08

Veterans Educational Specialist I 47681 MS-12

Veterans Educational Specialist II 47682 MS-16

Veterans Educational Specialist III 47683 MS-25

Veterans Employment Representative I 47701 MS-11

Veterans Employment Representative II 47702 MS-14

Veterans Nursing Assistant − Certified 47750 MS-05

Veterans Service Officer 47800 MS-11

Veterans Service Officer Associate 47804 MS-10

Veterinarian I 47901 MS-19

Veterinarian II 47902 MS-23

Veterinarian III 47903 MS-25

Veterinary Consumer Safety Officer 47911 MS-20

Veterinary Pathologist 47916 MS-29


18



Veterinary Supervisor I 47917 MS-25

Veterinary Supervisor II 47918 MS-26

Vision/Hearing Consultant I 47941 MS-14

Vision/Hearing Consultant II 47942 MS-23

Vision/Hearing Consultant III 47943 MS-25

Vital Records Quality Control Inspector 48000 MS-10

Vocational Instructor 48200 MS-09

Volunteer Services Coordinator I 48481 MS-10

Volunteer Services Coordinator II 48482 MS-14

Volunteer Services Coordinator III 48483 MS-19

Wage Claims Specialist 48770 MS-06

Warehouse Claims Specialist 48780 MS-22

Warehouse Examiner 48881 MS-13

Warehouse Examiner Specialist 48882 MS-18

Warehouse Examiner Supervisor 48786 MS-20

Waterways Construction Supervisor I 49061 MS-14

Waterways Construction Supervisor II 49062 MS-19

Weatherization Specialist I 49101 MS-11

Weatherization Specialist II 49102 MS-16

Weatherization Specialist III 49103 MS-23

Weatherization Specialist Trainee 49105 MS-09

Well Inspector I 49421 MS-11

Well Inspector II 49422 MS-18

Well Inspector Trainee 49425 MS-09

Workers Compensation Insurance Compliance

Investigator

49640 MS-23

NOTE: Effective January 1, 2008, the merit compensation grade 12 in the Personnel Code [20

ILCS 415/8b.18(a) and (b) and 8b.19(a) and (b)] that formerly was indicated by MC-12

is MS-32.



The following are definitions of certain terms and are for purposes of clarification as they affect

the Merit Compensation System only.

"Adjustment in Salary" − A change in salary occasioned by previously committed


18



error or oversight, or required in the best interest of the agency or the state as


"Base Salary" − The dollar amount of pay of an employee as determined under

the provisions of the Merit Compensation System. Base salary does not include

commission, incentive pay, bilingual pay, longevity pay, overtime pay, shift

differential pay or deductions for time not worked.














requirements.

"Creditable Service" − All service in full or regularly scheduled part-time pay


last in-range or promotional salary increase. Reevaluations (Sections 310.460(c)

and 310.480(d)), reallocations (Sections 310.460(b) and 310.480(b)), adjustments

(Sections 310.470, 310.480(e) and 310.495(c)) and interim assignments (Section

310.490(p)) shall not change the creditable service date.

"Comparable Classes" − Two or more classes that are in the same salary range.

"Demotion" − The assignment for cause of an employee to a vacant position in a

class in a lower salary range than the former class.

"Differential" − The additional compensation added to the base salary of an

employee resulting from conditions of employment imposed during the normal


18



schedule of work.

"Entrance Base Salary" − The initial base salary assigned to an employee upon







"Maximum Rate of Pay" − The highest rate of pay for a given salary range.

"Minimum Rate of Pay" − The lowest rate of pay for a given salary range.

Normally the minimum rate of pay represents the salary to be paid a qualified

employee who is appointed to a position in a class assigned to a given salary

range.

"Option" − The denotation of directly-related education, experience and/or






1 = General

Administration/Business/Marketing/Labor/Personnel




2C = Economist

3 = Management Information System/Data Processing/

Telecommunications


3N = Networking






18






6H = Illinois Council on Developmental Disabilities Program

Specialist


7A = Special Agent Supervisor





License/National Association of Business and

Educational Radio


8F = Special License − Federal Aviation Administration

Medical Certificate/First Class




8J = Food Sanitation Certificate/Licensed Dietitian






8Q = Special License − Religious Ordination by Recognized

Commission



8T = Special License − Professional Educator License and

Administrative Endorsement










18



9D = Special License – Certified Real Estate Appraisal License

9G = Special License − Registered Professional Geologist

License



range assigned:

1 = General

Administration/Business/Marketing/Labor/Personnel





2C = Economist

3 = Management Information System/Data

Processing/Telecommunications






7A = Criminal Investigation Chief



8C = Special License – Certified Public Accountant/Certified

Internal Auditor/Certified Information Systems Auditor











18









8T = Special License – Professional Educator License and

Administrative Endorsement










Substance Inspector













"Performance Review" − The required review of an employee's on-the-job

performance as measured by a specific set of criteria.

"Performance Review Date" − The date on which the annual merit increase and

bonus shall be made effective if a performance review indicates it is appropriate.


18



Actual performance review procedures are to be completed prior to the effective

date of any recommendation to allow sufficient time for the records to be

processed by the originating agency.

"Promotion" − The appointment of an employee, with the approval of the agency


class in a higher salary range than the former class.

"Reallocation" − A position action in which gradual changes in a single position's



"Reclassification" – A position action that occurs subsequent to approval of a new



"Reevaluation" − The assignment of a different salary range to a class of positions

based upon a change in relation to other classes or to the labor market.

"Salary Range" − The dollar values encompassed by the minimum and maximum

rates of pay of a salary range assigned to a class title.

"Transfer" − The assignment of an employee to a vacant position in a class having

the same salary range.

"Work Year" − That period of time determined by the agency and filed with the


Code 303.300.



18



Section 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE O RC-028 (Paraprofessional Human Services Employees, AFSCME)

Title Title Code Bargaining Unit Pay Grade

Administrative Assistant I 00501 RC-028 17

Administrative Assistant II 00502 RC-028 19

Apparel/Dry Goods Specialist III 01233 RC-028 12.5

Assistant Reimbursement Officer 02424 RC-028 08

Capital Development Board Media Technician 06525 RC-028 14

Child Development Aide 07184 RC-028 10

Clinical Laboratory Associate 08200 RC-028 08

Clinical Laboratory Technician I 08215 RC-028 10

Clinical Laboratory Technician II 08216 RC-028 12

Compliance Officer 08919 RC-028 14

Construction Supervisor I 09561 RC-028 13

Construction Supervisor II 09562 RC-028 16

Crime Scene Investigator 09980 RC-028 21

Data Processing Administrative Specialist 11415 RC-028 14

Data Processing Specialist 11430 RC-028 12

Data Processing Technician 11440 RC-028 09

Data Processing Technician Trainee 11443 RC-028 06

Dental Assistant 11650 RC-028 10

Dental Hygienist 11700 RC-028 14

Electroencephalograph Technician 13300 RC-028 08

Environmental Equipment Operator I 13761 RC-028 12

Environmental Equipment Operator II 13762 RC-028 14

Environmental Protection Technician I 13831 RC-028 08

Environmental Protection Technician II 13832 RC-028 10

Guard Supervisor 17685 RC-028 14

Health Information Associate 18045 RC-028 10

Health Information Technician 18047 RC-028 12

Hearing & Speech Technician II 18262 RC-028 09

Housekeeper II 19602 RC-028 03.5

Inhalation Therapist 21259 RC-028 08

Inhalation Therapy Supervisor 21260 RC-028 11

Intermittent Unemployment Insurance

Technician (Hourly)

21690 RC-028 06H

Laboratory Assistant 22995 RC-028 04


18



Laboratory Associate I 22997 RC-028 10

Laboratory Associate II 22998 RC-028 12

Legal Research Assistant 23350 RC-028 13

Licensed Practical Nurse I 23551 RC-028 10.5

Licensed Practical Nurse II 23552 RC-028 11.5

Lock and Dam Tender 24290 RC-028 10

Lottery Commodities Distributor II 24402 RC-028 12

Natural Resources Technician I 28851 RC-028 10

Natural Resources Technician II 28852 RC-028 13

Office Administrative Specialist 29990 RC-028 12

Office Administrator IV 29994 RC-028 14

Office Administrator V 29995 RC-028 15

Office Specialist 30080 RC-028 11

Pharmacy Lead Technician 32009 RC-028 09

Pharmacy Technician 32011 RC-028 07

Public Aid Eligibility Assistant 35825 RC-028 08

Radiologic Technologist 37500 RC-028 11

Radiologic Technologist Program Coordinator 37507 RC-028 12

Ranger 37725 RC-028 13

Rehabilitation Counselor Aide I 38155 RC-028 09

Rehabilitation Counselor Aide II 38156 RC-028 11

Senior Ranger 40090 RC-028 14

Site Interpreter 41090 RC-028 10

Site Technician I 41131 RC-028 10

Site Technician II 41132 RC-028 12

Social Service Community Planner 41295 RC-028 11

State Police Crime Information Evaluator 41801 RC-028 11

State Police Evidence Technician I 41901 RC-028 12

State Police Evidence Technician II 41902 RC-028 13

Statistical Research Technician 42748 RC-028 11

Veterans Service Officer 47800 RC-028 14

Vocational Instructor 48200 RC-028 12

Waterways Construction Supervisor I 49061 RC-028 16

Waterways Construction Supervisor II

(Department of Natural Resources) 49062 RC-028 18

NOTES: Shift Differential Pay – Employees shall be paid a shift differential of $0.80 per hour in

addition to their base salary rate for all hours worked if their normal work

schedule for that day provides that they are scheduled to work and they work ½ or


18



more of the work hours before 7 a.m. or after 3 p.m. The payment shall be for all

paid time. Incumbents who currently receive a percentage shift differential

providing more than the cents per hour indicated in this Note based on the base

rate of pay prior to the effective date shall have that percentage converted to the

cents per hour equivalent rounded to the nearest cent and shall continue to receive

the higher cents per hour rate. This provision shall not apply to employees who,

because of "flex-time" scheduling made at their request, are scheduled and work

hours that would otherwise qualify them for premium pay under this provision.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25

per month for those employees who attain 10 years of continuous service and

have three or more years of creditable service on Step 7 in the same or higher pay

grade on or before January 1, 2002. For those employees who attain 15 years of

continuous service and have three or more years of creditable service on Step 7 in

the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be

increased by $50 per month. For employees not eligible for longevity pay on or

before January 1, 2002, the Step 8 rate shall be increased by $25 per month for

those employees who attain 10 years of continuous service and have three or more

years of creditable service on Step 8 in the same or higher pay grade. For those

employees who attain 15 years of continuous service and have three or more years

of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate

shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall

be increased by $50 per month for those employees who attain 10 years of

continuous service and have three or more years of creditable service on Step 8 in

the same or higher pay grade on or before July 1, 2010. For those employees who

attain 15 years of continuous service and have three or more years of creditable

service on Step 8 in the same or higher pay grade on or before July 1, 2010, the

Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step

8 rate shall be increased by $25 per month to $75 a month for those employees

who attain 10 years of continuous service and have three or more years of

creditable service on Step 8 in the same or higher pay grade on or before July 1,

2013. For those employees who attain 15 years of continuous service and have

three or more years of creditable service on Step 8 in the same or higher pay grade

on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to

$100 a month. Employees whose salaries are red-circled above the maximum

Step rate continue to receive all applicable general increases and any other

adjustments (except the longevity pay) provided for in the Agreement. For these

employees, the longevity pay shall be limited to the amount that would increase

the employee's salary to the amount that is equal to that of an employee on the


18



maximum Step rate with the same number of years of continuous and creditable

service. Employees receiving the longevity pay shall continue to receive the

longevity pay as long as they remain in the same or successor classification as a

result of a reclassification or reevaluation. Employees who are eligible for the

increase provided for longevity pay on or before January 1, 2002, shall continue

to receive longevity pay after being placed on Step 8 while they remain in the

same or lower pay grade.

Effective July 1, 2014

Bargaining Unit: RC-028

Pay

Grade

Pay

Plan

Code

S T E P S

1c 1b 1a 1 2 3 4 5 6 7 8

03.5 B 2636 2721 2809 2896 2967 3042 3118 3190 3271 3409 3543

03.5 Q 2738 2827 2917 3008 3082 3165 3241 3314 3398 3542 3685

03.5 S 2804 2896 2988 3080 3162 3240 3317 3388 3473 3620 3765

04 B 2636 2721 2809 2896 2972 3053 3120 3207 3279 3418 3557

04 Q 2738 2827 2917 3008 3087 3169 3243 3334 3409 3554 3696

04 S 2804 2896 2988 3080 3165 3244 3321 3411 3483 3628 3775

06 B 2782 2874 2966 3058 3135 3220 3310 3394 3489 3636 3781

06 Q 2889 2982 3078 3173 3259 3349 3443 3532 3626 3781 3933

06 S 2954 3052 3149 3246 3335 3421 3520 3609 3704 3860 4016

06H B 17.12 17.69 18.25 18.82 19.29 19.82 20.37 20.89 21.47 22.38 23.27

06H Q 17.78 18.35 18.94 19.53 20.06 20.61 21.19 21.74 22.31 23.27 24.20

06H S 18.18 18.78 19.38 19.98 20.52 21.05 21.66 22.21 22.79 23.75 24.71

07 B 2854 2948 3042 3135 3225 3320 3413 3504 3604 3767 3917

07 Q 2965 3063 3161 3259 3352 3452 3547 3645 3747 3922 4079

07 S 3035 3135 3235 3335 3428 3525 3623 3723 3821 4000 4159

08 B 2935 3031 3128 3225 3327 3424 3532 3628 3731 3908 4065


18



08 Q 3051 3152 3252 3352 3462 3560 3676 3774 3888 4070 4234

08 S 3119 3222 3325 3428 3533 3636 3753 3855 3965 4148 4314

09 B 3027 3127 3227 3327 3430 3539 3649 3766 3877 4061 4223

09 Q 3151 3254 3358 3462 3568 3683 3796 3920 4037 4230 4401

09 S 3215 3321 3427 3533 3641 3759 3874 3999 4116 4311 4484

09.5 B 3102 3204 3307 3409 3514 3630 3745 3871 3984 4178 4344

09.5 Q 3224 3330 3436 3542 3654 3777 3900 4034 4148 4355 4530

09.5 S 3294 3402 3512 3620 3729 3857 3976 4113 4229 4439 4617

10 B 3124 3227 3330 3433 3559 3664 3785 3905 4025 4231 4402

10 Q 3250 3358 3465 3572 3702 3814 3944 4067 4195 4418 4594

10 S 3318 3427 3536 3645 3776 3891 4020 4144 4280 4500 4679

10.5 B 3226 3333 3439 3546 3676 3796 3929 4057 4189 4441 4621

10.5 Q 3357 3467 3578 3688 3827 3957 4091 4228 4369 4640 4825

10.5 S 3426 3539 3652 3765 3905 4033 4170 4308 4451 4722 4910

11 B 3240 3347 3453 3560 3681 3800 3938 4067 4194 4416 4592

11 Q 3371 3481 3592 3704 3836 3961 4102 4240 4373 4610 4793

11 S 3436 3550 3663 3777 3910 4036 4181 4319 4456 4692 4879

11.5 B 3319 3428 3537 3647 3772 3890 4023 4159 4302 4537 4720

11.5 Q 3453 3567 3681 3794 3929 4053 4191 4336 4491 4736 4927

11.5 S 3520 3636 3752 3868 4005 4131 4275 4422 4579 4828 5021

12 B 3371 3481 3592 3704 3840 3965 4114 4248 4405 4641 4826

12 Q 3508 3625 3740 3856 3998 4130 4289 4435 4595 4846 5041

12 S 3577 3694 3813 3931 4074 4208 4371 4520 4681 4933 5132

12.5 B 3450 3564 3678 3791 3932 4068 4224 4368 4511 4758 4948

12.5 Q 3593 3712 3831 3949 4096 4242 4405 4561 4709 4975 5169

12.5 S 3663 3784 3905 4025 4176 4321 4491 4646 4793 5060 5261


18



13 B 3498 3612 3728 3843 3984 4136 4290 4446 4614 4871 5063

13 Q 3642 3762 3883 4002 4148 4312 4481 4645 4816 5090 5294

13 S 3711 3834 3956 4078 4229 4396 4567 4727 4902 5178 5385

14 B 3647 3767 3887 4008 4159 4321 4511 4675 4852 5137 5342

14 Q 3803 3928 4053 4178 4336 4515 4709 4886 5073 5367 5580

14 S 3872 4000 4127 4255 4422 4594 4793 4973 5159 5453 5668

15 B 3792 3917 4042 4167 4351 4530 4706 4898 5082 5388 5601

15 Q 3957 4087 4218 4348 4538 4727 4918 5121 5310 5626 5854

15 S 4029 4163 4295 4428 4623 4810 5004 5208 5396 5715 5943

16 B 3969 4099 4230 4362 4556 4758 4954 5162 5368 5685 5913

16 Q 4141 4278 4415 4550 4758 4975 5182 5395 5610 5944 6184

16 S 4221 4361 4498 4638 4843 5060 5269 5480 5699 6027 6267

17 B 4159 4295 4432 4570 4780 4999 5212 5423 5643 5979 6218

17 Q 4338 4481 4625 4767 4996 5226 5444 5665 5898 6248 6500

17 S 4417 4562 4708 4853 5085 5314 5534 5753 5982 6339 6591

18 B 4377 4522 4665 4809 5041 5274 5516 5740 5971 6326 6581

18 Q 4571 4722 4873 5024 5271 5515 5766 6001 6240 6615 6878

18 S 4646 4800 4953 5106 5355 5601 5853 6088 6330 6697 6967

19 B 4612 4764 4916 5067 5325 5577 5834 6083 6336 6722 6990

19 Q 4821 4980 5138 5297 5568 5825 6103 6357 6624 7023 7304

19 S 4901 5062 5224 5387 5656 5915 6189 6445 6711 7109 7393

21 B 5146 5315 5485 5655 5946 6233 6523 6820 7105 7548 7849

21 Q 5377 5555 5732 5910 6214 6513 6817 7129 7428 7889 8204

21 S 5457 5637 5817 5997 6299 6597 6906 7215 7511 7975 8293



18




Section 310.TABLE Y RC-063 (EducatorsEducator, Educator Trainees, Juvenile Justice

School Counselors and Special Education Resources Coordinators, AFSCME)

Title Title Code Bargaining Unit

Educator

Educator Trainee

13100

13148

RC-063

RC-063

Juvenile Justice School Counselor 21970 RC-063

Special Education Resources Coordinator 41680 RC-063

NOTES: Shift Differential Pay – Employees shall be paid a shift differential of $0.80 per hour

in addition to their base salary rate for all hours worked if their normal work schedule

for that day provides that they are scheduled to work and they work ½ or more of the

work hours before 7 a.m. or after 3 p.m. The payment shall be for all paid time.

Incumbents who currently receive a percentage shift differential providing more than

the cents per hour indicated in this Note based on the base rate of pay prior to the

effective date shall have that percentage converted to the cents per hour equivalent

rounded to the nearest cent and shall continue to receive the higher cents per hour rate.

This provision shall not apply to employees who, because of "flex-time" scheduling

made at their request, are scheduled and work hours which would otherwise qualify

them for premium pay under this provision.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25

per month for those employees who attain 10 years of continuous service and have

three or more years of creditable service on Step 7 in the same or higher pay grade on

or before January 1, 2002. For those employees who attain 15 years of continuous

service and have three or more years of creditable service on Step 7 in the same or

higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by

$50 per month. For employees not eligible for longevity pay on or before January 1,

2002, the Step 8 rate shall be increased by $25 per month for those employees who

attain 10 years of continuous service and have three or more years of creditable

service on Step 8 in the same or higher pay grade. For those employees who attain 15

years of continuous service and have three or more years of creditable service on Step

8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month.

Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those

employees who attain 10 years of continuous service and have three or more years of

creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010.

For those employees who attain 15 years of continuous service and have three or more


18



years of creditable service on Step 8 in the same or higher pay grade on or before July

1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013,

the Step 8 rate shall be increased by $25 per month to $75 a month for those

employees who attain 10 years of continuous service and have three or more years of

creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013.

For those employees who attain 15 years of continuous service and have three or more

years of creditable service on Step 8 in the same or higher pay grade on or before July

1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month.

Employees whose salaries are red-circled above the maximum Step rate continue to

receive all applicable general increases and any other adjustments (except the

longevity pay) provided for in the Agreement. For these employees, the longevity pay

shall be limited to the amount that would increase the employee's salary to the amount

that is equal to that of an employee on the maximum Step rate with the same number

of years of continuous and creditable service. Employees receiving the longevity pay

shall continue to receive the longevity pay as long as they remain in the same or

successor classification as a result of a reclassification or reevaluation. Employees

who are eligible for the increase provided for longevity pay on or before January 1,

2002, shall continue to receive longevity pay after being placed on Step 8 while they

remain in the same or lower pay grade.

Educator


12-

Month

Lane

Educational

Level

Pay

Plan

Code

S T E P S

1c 1b 1a 1 2 3 4 5 6 7 8

1 BA E 4248 4388 4528 4669 4888 5101 5336 5610 5871 6369 6624

1 BA L 4311 4453 4594 4737 4955 5178 5417 5694 5958 6463 6721

1 BA P 4386 4531 4676 4821 5046 5260 5500 5778 6047 6548 6810

2 BA + 8 Hours E 4361 4505 4648 4792 5014 5240 5515 5798 6072 6585 6850

2 BA + 8 Hours L 4428 4574 4721 4866 5088 5315 5594 5880 6161 6683 6949

2 BA + 8 Hours P 4506 4653 4802 4951 5177 5402 5681 5968 6248 6766 7036

3 BA + 16 Hours E 4466 4612 4760 4906 5142 5404 5690 5964 6266 6797 7068

3 BA + 16 Hours L 4530 4680 4829 4979 5216 5481 5773 6052 6358 6896 7172

3 BA + 16 Hours P 4608 4760 4911 5063 5302 5569 5860 6138 6447 6982 7262

4 BA + 24 Hours E 4568 4719 4868 5018 5270 5567 5861 6162 6460 7020 7300


18



4 BA + 24 Hours L 4634 4787 4940 5093 5349 5649 5947 6255 6555 7120 7407

4 BA + 24 Hours P 4715 4871 5027 5182 5433 5734 6030 6343 6641 7212 7499

5 MA E 4685 4839 4994 5148 5420 5730 6035 6354 6649 7230 7520

5 MA L 4751 4908 5064 5221 5500 5813 6123 6445 6754 7337 7633

5 MA P 4833 4992 5151 5310 5585 5898 6207 6531 6839 7424 7720

6 MA + 16 Hours E 4770 4927 5084 5241 5549 5854 6161 6480 6783 7377 7670

6 MA + 16 Hours L 4839 4998 5158 5317 5626 5938 6250 6579 6882 7486 7784

6 MA + 16 Hours P 4917 5079 5241 5403 5715 6024 6342 6664 6973 7566 7870

7 MA + 32 Hours E 4916 5078 5240 5402 5705 6020 6333 6646 6956 7554 7856

7 MA + 32 Hours L 4988 5152 5316 5480 5790 6107 6428 6749 7058 7661 7969

7 MA + 32 Hours P 5066 5235 5401 5568 5875 6195 6513 6837 7144 7751 8061

Effective December 1, 2017

9-

Month

Lane

Educational

Level

Pay

Plan

Code

S T E P S

1c 1b 1a 1 2 3 4 5 6 7 8

01 BA M 3137 3240 3344 3447 3636 3835 4024 4231 4428 4858 5051

01 BA O 3137 3240 3344 3447 3636 3835 4024 4231 4428 4858 5051

01 BA V 3137 3240 3344 3447 3636 3835 4024 4231 4428 4858 5051

01 BA W 3184 3288 3393 3497 3686 3893 4085 4294 4494 4930 5125

01 BA X 3239 3346 3453 3559 3754 3955 4148 4358 4561 4995 5193

02 BA + 8 Hours M 3234 3342 3448 3555 3746 3951 4155 4371 4579 5016 5217

02 BA + 8 Hours O 3234 3342 3448 3555 3746 3951 4155 4371 4579 5016 5217

02 BA + 8 Hours V 3234 3342 3448 3555 3746 3951 4155 4371 4579 5016 5217

02 BA + 8 Hours W 3284 3393 3502 3610 3801 4008 4215 4433 4646 5091 5292

02 BA + 8 Hours X 3342 3452 3562 3673 3868 4073 4280 4499 4712 5154 5359

03 BA + 16 Hours M 3319 3428 3537 3647 3861 4077 4290 4495 4722 5181 5388

03 BA + 16 Hours O 3319 3428 3537 3647 3861 4077 4290 4495 4722 5181 5388

03 BA + 16 Hours V 3319 3428 3537 3647 3861 4077 4290 4495 4722 5181 5388

03 BA + 16 Hours W 3367 3479 3588 3701 3917 4135 4353 4561 4791 5256 5467

03 BA + 16 Hours X 3425 3538 3649 3764 3981 4201 4418 4626 4858 5322 5536

04 BA + 24 Hours M 3412 3524 3636 3749 3975 4198 4420 4650 4872 5347 5563

04 BA + 24 Hours O 3412 3524 3636 3749 3975 4198 4420 4650 4872 5347 5563

04 BA + 24 Hours V 3412 3524 3636 3749 3975 4198 4420 4650 4872 5347 5563


18



04 BA + 24 Hours W 3461 3575 3690 3805 4035 4260 4485 4720 4944 5423 5645

04 BA + 24 Hours X 3522 3638 3755 3872 4098 4324 4547 4787 5009 5493 5715

05 MA M 3517 3632 3749 3864 4090 4318 4550 4787 5014 5503 5724

05 MA O 3517 3632 3749 3864 4090 4318 4550 4787 5014 5503 5724

05 MA V 3517 3632 3749 3864 4090 4318 4550 4787 5014 5503 5724

05 MA W 3567 3684 3802 3919 4150 4381 4616 4856 5093 5584 5810

05 MA X 3628 3747 3867 3986 4215 4445 4680 4920 5157 5651 5876

06 MA + 16 Hours M 3600 3718 3837 3956 4184 4415 4648 4888 5110 5609 5831

06 MA + 16 Hours O 3600 3718 3837 3956 4184 4415 4648 4888 5110 5609 5831

06 MA + 16 Hours V 3600 3718 3837 3956 4184 4415 4648 4888 5110 5609 5831

06 MA + 16 Hours W 3652 3772 3893 4013 4242 4478 4715 4963 5185 5692 5918

06 MA + 16 Hours X 3711 3833 3955 4078 4309 4543 4785 5027 5253 5753 5983

07 MA + 32 Hours M 3708 3831 3953 4075 4304 4537 4774 5011 5242 5745 5976

07 MA + 32 Hours O 3708 3831 3953 4075 4304 4537 4774 5011 5242 5745 5976

07 MA + 32 Hours V 3708 3831 3953 4075 4304 4537 4774 5011 5242 5745 5976

07 MA + 32 Hours W 3762 3887 4010 4134 4368 4603 4846 5089 5319 5826 6062

07 MA + 32 Hours X 3821 3949 4074 4200 4432 4669 4910 5155 5384 5895 6132

Educator Trainee


12-Month

Lane Educational Level

Pay Plan

Code

Hired on or after

May 20, 2013

Hired before

May 20, 2013

1 BA E 3893 4278

1 BA L 3950 4341

1 BA P 4021 4419

2 BA + 8 Hours E 3893 4278

2 BA + 8 Hours L 3950 4341

2 BA + 8 Hours P 4021 4419

3 BA + 16 Hours E 3996 4391

3 BA + 16 Hours L 4053 4454

3 BA + 16 Hours P 4125 4533

4 BA + 24 Hours E 4087 4491


18



4 BA + 24 Hours L 4145 4555

4 BA + 24 Hours P 4218 4635

5 MA E 4179 4592

5 MA L 4242 4661

5 MA P 4315 4741

6 MA + 16 Hours E 4286 4711

6 MA + 16 Hours L 4349 4779

6 MA + 16 Hours P 4426 4864

7 MA + 32 Hours E 4364 4795

7 MA + 32 Hours L 4430 4868

7 MA + 32 Hours P 4502 4947


9-Month

Lane Educational Level

Pay Plan

Code

Hired on or after

May 20, 2013

Hired before

May 20, 2013

1 BA M 2957 3249

1 BA O 2957 3249

2 BA + 8 Hours M 3050 3351

2 BA + 8 Hours O 3050 3351

3 BA + 16 Hours M 3128 3437

3 BA + 16 Hours O 3128 3437

4 BA + 24 Hours M 3215 3533

4 BA + 24 Hours O 3215 3533

5 MA M 3314 3641

5 MA O 3314 3641

6 MA + 16 Hours M 3393 3728

6 MA + 16 Hours O 3393 3728

7 MA + 32 Hours M 3497 3842

7 MA + 32 Hours O 3497 3842

Juvenile Justice School Counselor


18



Effective June 2, 2016

12-

Month

Lane

Educational

Level

Pay Plan

Code

S T E P S

1c 1b 1a 1 2 3 4 5 6 7 8

5 MA L 4751 4908 5064 5221 5500 5813 6123 6445 6754 7337 7633

5 MA P 4833 4992 5151 5310 5585 5898 6207 6531 6839 7424 7720

6 MA + 16 Hours L 4839 4998 5158 5317 5626 5938 6250 6579 6882 7486 7784

6 MA + 16 Hours P 4917 5079 5241 5403 5715 6024 6342 6664 6973 7566 7870

7 MA + 32 Hours L 4988 5152 5316 5480 5790 6107 6428 6749 7058 7661 7969

7 MA + 32 Hours P 5066 5235 5401 5568 5875 6195 6513 6837 7144 7751 8061

Special Education Resources Coordinator

Effective June 2, 2016

12-

Month

Lane

Educational

Level

Pay

Plan

Code

S T E P S

1c 1b 1a 1 2 3 4 5 6 7 8

1 BA L 4311 4453 4594 4737 4955 5178 5417 5694 5958 6463 6721

1 BA P 4386 4531 4676 4821 5046 5260 5500 5778 6047 6548 6810

2 BA + 8 Hours L 4428 4574 4721 4866 5088 5315 5594 5880 6161 6683 6949

2 BA + 8 Hours P 4506 4653 4802 4951 5177 5402 5681 5968 6248 6766 7036

3 BA + 16 Hours L 4530 4680 4829 4979 5216 5481 5773 6052 6358 6896 7172

3 BA + 16 Hours P 4608 4760 4911 5063 5302 5569 5860 6138 6447 6982 7262

4 BA + 24 Hours L 4634 4787 4940 5093 5349 5649 5947 6255 6555 7120 7407

4 BA + 24 Hours P 4715 4871 5027 5182 5433 5734 6030 6343 6641 7212 7499

5 MA L 4751 4908 5064 5221 5500 5813 6123 6445 6754 7337 7633

5 MA P 4833 4992 5151 5310 5585 5898 6207 6531 6839 7424 7720

6 MA + 16 Hours L 4839 4998 5158 5317 5626 5938 6250 6579 6882 7486 7784

6 MA + 16 Hours P 4917 5079 5241 5403 5715 6024 6342 6664 6973 7566 7870

7 MA + 32 Hours L 4988 5152 5316 5480 5790 6107 6428 6749 7058 7661 7969

7 MA + 32 Hours P 5066 5235 5401 5568 5875 6195 6513 6837 7144 7751 8061



18

ILLINOIS COMMERCE COMMISSION


1) Heading of the Part: Telephone Assistance Programs



757.10 Amendment

757.200 Amendment

757.205 Amendment

757.210 Amendment

757.215 Amendment

757.220 Amendment

757.225 Amendment

757.230 Amendment

757.235 Amendment

757.245 Amendment

757.250 New Section

757.400 Amendment

757.425 Amendment

757.500 New Section

757.EXHIBIT A Amendment

757.EXHIBIT C Amendment

4) Statutory Authority: Implementing Sections 13-301 and 13-301.1 and authorized by

Section 10-101 of the Public Utilities Act [220 ILCS 13-301, 13-301.1 and 10-101].

5) A Complete Description of the Subjects and Issues Involved: The proposed amendments

are in large part prompted by the release of an order of the Federal Communications

Commission on April 27, 2016, that made a number of changes to the Federal Lifeline

program, including the types of assistance used to determine Lifeline eligibility. The

revisions proposed here would bring the eligibility criteria under the State program into

alignment with the criteria used in the Federal program. Other proposed changes to the

rules result from a recent amendment to Section 13-501 of the Public Utilities Act in PA

98-45 that now allows telecommunication carriers to provide information about their

service offerings through material posted on their websites as an alternative to tariff

filings. Revisions proposed here would incorporate this statutory change. Finally, the

FCC's April 2016 Lifeline Order added broadband internet access as a supported service

for the Lifeline program. The General Assembly, as part of PA 100-220, amended

Section 13-301.1(a) of the Public Utilities Act [220 ILCS 5/1-101] to give the

Commission express authority to include, as part of UTSAP, assistance or programs to


18



increase the availability to low-income customers of broadband internet access service.

Further amendments provide a mechanism for the UTAC Board to develop and obtain

Commission approval for low-income support programs for broadband internet access

service or other voice telephony services.


rulemaking: None

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


9) Does this rulemaking contain incorporations by reference? Yes


11) Statement of Statewide Policy Objective: The proposed rulemaking neither creates nor

expands any State mandate on units of local government, school districts, or community

college districts.

12) Time, Place and Manner in which interested persons may comment on this proposed

rulemaking: Comments should be filed, within 45 days after the date of this issue of the

Illinois Register, in Docket No. 16-0566 with:

Elizabeth Rolando, Chief Clerk

Illinois Commerce Commission

527 East Capitol Avenue


217/782-7434



affected: This rulemaking will affect any subject jurisdictional entities that are

also small businesses as defined in the Illinois Administrative Procedure Act. This

rulemaking will not affect any small municipalities or not-for-profit corporations.


18



B) Reporting, bookkeeping or other procedures required for compliance:

Bookkeeping and filing procedures

C) Types of professional skills necessary for compliance: Managerial and

accounting skills

14) Regulatory Agenda on which this rulemaking was summarized: This rulemaking was not

included on either of the two most recent agendas because: The Commission did not

anticipate the need for this rulemaking at that time.



18



TITLE 83: PUBLIC UTILITIES

CHAPTER I: ILLINOIS COMMERCE COMMISSION

SUBCHAPTER f: TELEPHONE UTILITIES

PART 757

TELEPHONE ASSISTANCE PROGRAMS

SUBPART A: GENERAL PROVISIONS

Section

757.10 Definitions

757.15 Dispute Procedures

SUBPART B: LINK UP PROGRAM

Section

757.100 Link Up Service Requirement (Repealed)

757.105 Link Up Recovery Mechanism (Repealed)

757.110 Link Up Publicity (Repealed)

757.115 Link Up Application Procedure and Processing (Repealed)

757.120 Link Up Filing Requirements (Repealed)

757.125 Link Up Eligibility (Repealed)

757.130 Link Up Eligibility Certification (Repealed)

SUBPART C: UNIVERSAL TELEPHONE SERVICE ASSISTANCE PROGRAM

Section

757.200 Service Requirement

757.205 UTSAP Funding

757.210 UTSAP Recovery

757.215 UTSAP Administrator

757.220 UTSAP Contribution Solicitation and Program Publicity

757.225 UTSAP Eligibility

757.230 UTSAP Application Procedure and Processing

757.235 LEC UTSAP Eligibility DeterminationCertification

757.240 Recertification (Repealed)

757.245 UTSAP Filing Requirements

757.250 LEC Filing Requirements


18



SUBPART D: STAFF LIAISON

Section

757.300 Staff Liaison

SUBPART E: LIFELINE SERVICE

Section

757.400 Lifeline Service Requirements

757.405 Lifeline Recovery Mechanism (Repealed)

757.410 Lifeline Publicity (Repealed)

757.415 Lifeline Application Procedures and Processing (Repealed)

757.420 Lifeline Filing Requirements (Repealed)

757.425 Lifeline Eligibility

757.430 Lifeline Eligibility Certification and Verification (Repealed)

SUBPART F: BIAS ASSISTANCE

Section

757.500 BIAS Program Administration

757.EXHIBIT A LEC and ETC Quarterly Report to Commission

757.EXHIBIT B LEC Annual Report to the Commission

757.EXHIBIT C Monthly LEC Supplemental Assistance Charge and Contributions Report

757.EXHIBIT D Quarterly UTSAP Administrator Report to Commission

757.EXHIBIT E Lifeline Verification Ineligibility Notice (Repealed)

757.EXHIBIT F Link Up/Lifeline Programs Certification Form (Repealed)

AUTHORITY: Implementing Sections 13-301 and 13-301.1 and authorized by Section 10-101

of the Public Utilities Act [220 ILCS 5/13-301, 13-301.1 and 10-101].

SOURCE: Adopted at 13 Ill. Reg. 14366, effective October 1, 1989; amended at 14 Ill. Reg.

17923, effective October 15, 1990; emergency repealer at 15 Ill. Reg. 5082, effective March 25,

1991, for a maximum of 150 days; Part repealed at 15 Ill. Reg. 11929, effective August 12, 1991;

new Part adopted at 16 Ill. Reg. 17981, effective December 15, 1992; amended at 20 Ill. Reg.

15257, effective December 1, 1996; emergency amendments at 21 Ill. Reg. 16416, effective

December 10, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 8810, effective May 9,

1998; amended at 23 Ill. Reg. 11875, effective October 1, 1999; amended at 28 Ill. Reg. 346,


18



effective January 1, 2004; amended at 30 Ill. Reg. 18196, effective November 1, 2006; amended

at 32 Ill. Reg. 8583, effective June 1, 2008; amended at 37 Ill. Reg. 11287, effective July 2,


SUBPART A: GENERAL PROVISIONS


For the purpose of this Part:

"Act" means the Public Utilities Act [220 ILCS 5].

"Broadband internet access service" or "BIAS" has the meaning ascribed in 47

CFR 54.400 (July 1, 2017).

"Commission" means the Illinois Commerce Commission.

"Eligible new subscriber" is an applicant for local exchange service or broadband

internet access service who meets the eligibility guidelines set forth in Section

757.225757.425. As used in this Part, a subscriber who meets the eligibility

criteria set forth in Section 757.225757.425 who relocates his or her principal

place of residence is also an eligible new subscriber.

"Eligible subscriber" is any individual currently subscribing to local exchange

service who meets the eligibility guidelines set forth in Section 757.225757.425.

"Eligible telecommunications carrier" has the meaning given to it at 47 CFR

54.201, as amended through the FCC's Third Report and Order, Further Report

and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42,

09-197 and 10-90 (released April 27, 2016) as of February 6, 2013. This

incorporation does not include any later amendments or editions.

"LEC" means "local exchange carrier", which is a telecommunications carrier

providing local exchange telecommunications service as defined in Section 13-

204 of the Act [220 ILCS 5/13-204].

"Lifeline" means "Lifeline service", as defined in Section 13-301.1(c) of the

Act.the retail local service offering defined and established at 47 CFR 54.401 as

of February 6, 2013. This incorporation does not include any later amendments


18



or editions.

"Local exchange service charge waiverWaiver" means any reduction in a

participant's initial local exchangetelephone service installation charge or local

exchange service obligation in the amount established under the provisions of this

Part.

"Local exchange service installationInstallation charge" means those tariffed

charges pursuant to either a tariff filed with the Commission or, if no tariff is

filed, a written service offering available on the local exchange carrier's website

assessed for connecting an eligible new subscriber to the network. These charges

do not include security deposit requirements.

"Local exchange service" means local exchange telecommunications service as

defined in Section 13-204 of the Act.

"Local exchange service obligation" means those tariffed charges pursuant to

either a tariff filed with the Commission or, if no tariff is filed, a written service

offering available on the local exchange carrier's website assessed on a monthly

basis for access to the network. These charges do not include taxes.

"Member Agreement" means the contract between aneach LEC and a

UTACmember of the Universal Telephone Assistance Corporation, a not for

profit corporation, and the UTSAP Administrator.

"Program" or "plan" means the telephone assistance programs offered by LECs

and eligible telecommunications carriers under this Part.

"Proxy Programs" include the assistance programs identified in 47 CFR 54.409,

as amended through the FCC's Third Report and Order, Further Report and Order

and Order on Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and

10-90 (released April 27, 2016), which include, with respect to Illinois, only:

Medicaid; Supplemental Nutrition Assistance Program; Supplemental Security

Income; Federal Public Housing Assistance; and Veterans and Survivors Pension

Benefitas of February 6, 2013. This incorporation does not include any later

amendments or editions.

"Staff" means individuals employed by the Illinois Commerce Commission,

exclusive of Commissioners.


18



"UTAC" means the Universal Telephone Assistance Corporation, an Illinois not-

for-profit corporation responsible for the administration of the UTSAP as

described in Section 757.215.

"UTSAP" means the Universal Telephone Service Assistance Program in which

all Illinois LECs shall participate as provided in Section 757.200.

"UTSAP Administrator" is the Universal Telephone Assistance Corporation, an

Illinois not-for-profit corporation responsible for the administration of the UTSAP

as described in Section 757.215.


SUBPART C: UNIVERSAL TELEPHONE SERVICE ASSISTANCE PROGRAM

Section 757.200 Service Requirement

a) Each LEC shall participate in the local exchange service portions of the Universal

Telephone Service Assistance Program (UTSAP) as required and authorized by

Section 13-301.1 of the Public Utilities Act and as ordered by the Commission.

All voluntary contributions received by an LEC under Section 757.205 from the

date of initial participation until a determination is made by the Commission

under Section 757.200(b) shall be forwarded to the UTSAP Administrator,

consistent with the provisions of Section 757.210(d). The UTSAP Administrator

shall invest these funds in:

1) Securities backed by the United States government or its agencies;

2) Investment grade bonds with remaining terms to maturity of three years or

less;

3) Mutual funds that invest no less than 80% of their assets in bonds backed

by the United States government or its agencies;

4) Investment grade bonds, with weighted-average remaining terms to

maturity of three years or less; or

5) Federal Deposit Insurance Corporation (FDIC)-insured certificates of


18



deposit, FDIC-insured money market accounts, and other cash equivalent

FDIC-insured investments.

b) On July 1 of each year, UTAC shall file with the Commission a petition

requesting the Commission to determine the amount of supplemental assistance, if

any, UTAC shall provide each eligible new subscriber or eligible subscriber under

the programs set forth in subsection (c) of this Section. The petition shall contain

recommendations of the UTSAP Administrator as provided in Section

757.215(c)(e)(5). The Commission may enter an order without a hearing;

however, a hearing shall be held if requested by a party or by Staff within 30 days

after the date the petition is filed, and a hearing may also be held on the

Commission's or the Administrative Law Judge's own motion. The Commission

shall determine, subject to the availability of funds, the amount of supplemental

assistance, if any, the LECs shall provide each eligible new subscriber or eligible

subscriber under the programs set forth in subsection (c) of this Section.

c) The UTSAP may provide assistance or, in the case of customers of eligible

telecommunications carriers, supplement the assistance as provided by Section

13-301.1 of the Act, including, but not limited to:

1) a local exchange service charge waiver of the local exchangetelephone

service installation charges for eligible new subscribers of local exchange

service;

2) a local exchange service charge waiver of all or a portion of the local

exchange service obligation of eligible subscribers or eligible new

subscribers, which, in the case of eligible telecommunications carriers, is

supplemental to any federal Lifeline assistancein the form of State Lifeline

service support;

3) a combination of both subsections (c)(1) and (2) above as ordered by the

Commission under subsections (b), (d), and (e); or

4) any other program authorized by Section 13-301.1 of the Act.

d) Limitation of Eligibilityeligibility

1) If the Commission determines that a local exchange service charge waiver

of all or a portion of the local exchange service obligation should be


18



provided by the UTSAP, in the form of State Lifeline service support or

otherwise, the Commission may, if it deems necessary, limit eligibility

under Section 757.425(a) to:

A) one or more of the individual Proxy Programs identified in the

definition of "Proxy Programs" in Section 757.10;, or

B) one or more subprograms within, or components of, an individual

Proxy Program.

2) Any proposals to limit eligibility pursuant to this subsection (d) shall be

made as part of the petition filed annually under subsection (b) of this

Section.

3) The Commission shall adopt a proposal that limits eligibility for assistance

to one or more Proxy Programs or subprograms or components thereof

pursuant to this subsection (d) only if it finds that:

A) participation in the Proxy Program, subprogram, or component

thereof can be verified;

B) the funds available to the UTSAP from voluntary contributions are

sufficient and predictable, so as to permit the UTSAP to provide

State Lifeline support to all subscribers or all new subscribers

within the Proxy Program, subprogram, or component on an

ongoing basis;

C) the proposal will increase accessibility to telecommunications

services;

D) the proposal adequately considers the needs of and potential

benefits to participants in the Proxy Programs; and

E) the proposal establishes narrowly targeted qualification criteria that

are based solely on income or factors directly related to income,

consistent with 47 CFR 54.409, as amended through the FCC's

Third Report and Order, Further Report and Order and Order on

Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and

10-90 (released April 27, 2016) as of February 6, 2013. This


18




e) The Commission, on its own motion, or based upon a petition filed by the UTSAP

Administrator, may order the LECs to temporarily suspend payment of or

temporarily reduce the amount of the supplemental assistance provided under the

programs set forth in Section 757.200(c), if the total program costs, in

combination with the costs of any other programs administered by UTAC subject

to this Part, exceed, or will exceed, the funds available from contributions

specified in Section 757.205. If the Commission suspends or reduces the amount

of payments under this Section, the Commission shall determine, subject to the

availability of funds, the amount of supplemental assistance, if any, the LECs

shall provide each eligible new subscriber or eligible subscriber under the

programs set forth in subsection (c) of this Section.


Section 757.205 UTSAP Funding

a) All funding for UTSAP will be by voluntary contributions.

b) Customers wishing to participate in the funding of UTSAP may do so by electing

to contribute, on a monthly basis, a fixed amount to be included by the LEC on

the customer's monthly bill for local exchange service. This contribution shall not

reduce the customer's total amount due for local exchangetelephone services or

other charges appearing on the bill.

c) Residential customers may elect to contribute either $.50, $1.00, $2.00 or $5.00

per month. Business customers may elect to contribute $1.00, $5.00, $10.00 or

$25.00 per month. Contributions will be collected on a recurring basis each

month from the customer's bill remittance and will be reported and transferred to

the UTSAP Administrator as specified in Section 757.210(c)757.210(d).

d) Customers may elect to discontinue or change the amount of the monthly

contribution on their bill at any time upon providing at least 30 days'days notice

to the LEC.

e) LECs shall provide local exchange service customers the ability and the

opportunity to make the elections referred to in subsections (b), (c) and (d) above

on the bill inserts required by Section 757.220(a).


18



f) Failure by the customer in any month to remit the entire billed amount shall

reduce the UTSAP contribution accordingly.

g) One time or periodic contributions in excess of those amounts shown in

subsection (d) above shall be made directly to the UTSAP Administrator.

h) There are no other funding requirements on any party or individual for UTSAP

above and beyond those shown in this Section.


Section 757.210 UTSAP Recovery

Costs incurred as a result of providing local exchange service under Section 757.200 shall be

recovered in the following manner:

a) The LECs shall deduct the local exchange service charge waivers provided to

participants for local exchange service obligations and any additional local

exchange service charge waivers of the initial local exchangetelephone service

installation charge as specified in Section 757.200 from the voluntary UTSAP

contributions. Each LEC shall forward to the UTSAP Administrator voluntary

UTSAP contributions net of installation local exchange service charge waivers

and Lifeline local exchange service charge waivers provided pursuant to Section

757.200(c) to the UTSAP Administrator.

b) The LECs shall be allowed to recover their administrative costs associated with

the UTSAP from the voluntary UTSAP contributions. If seeking recovery,

administrative costs shall be reported by LECs annually to the Commission and

the UTSAP Administrator through reports in the form of Exhibit B to this Part.

c) Each LEC with more than 35,000 access lines shall report in the form of Exhibit

C and remit monthly to the UTSAP Administrator, and shall report quarterly in

the form of Exhibit A to the Commission and the UTSAP Administrator. Each

LEC with 35,000 or fewer access lines shall report quarterly in the form of

Exhibits A and C to the Commission and the UTSAP Administrator, and shall

remit quarterly to the UTSAP Administrator.

d) The monthly LEC reports to the UTSAP Administrator required of LECs with


18



more than 35,000 access lines shall be in the form of Exhibit C and shall include:

1) the total UTSAP contributions billed, less adjustments for previous

months UTSAP contributions billed but not collected;

2) the total amount of local exchange service obligations waived;

3) the amount of the additional local exchange service charge waivers of the

initial local exchangetelephone service installation charges as specified in

Section 757.200; and

4) any allowable administrative expenses incurred as specified in subsection

(b) of this Section.

e) Costs of the UTSAP Administrator and its functions will be recovered from the

UTSAP contributions before any other payments are made under the plan.

f) Subject to its jurisdiction, the Commission may examine at any time the

reasonableness of the LEC's costs incurred solely because of participation in

UTSAP. If the Commission determines, after notice and hearing, that thosesuch

expenditures are not reasonable, the LEC shall remit the amounts determined not

to be reasonable to the UTSAP Administrator.


Section 757.215 UTSAP Administrator

a) All Illinois LECs shall be members of the Universal Telephone Assistance

Corporation (UTAC), an Illinois not-for-profit corporation that will serve as the

UTSAP Administrator.

b) The UTAC Board will consist of 9 members. There shall be three classes of

directors: one class consisting of 5 directors who shall be elected from five or

more nominations made by the LECs, one class consisting of two directors who

shall be elected from two or more nominations made by the Attorney General and

the Citizens Utility Board, and one class consisting of two directors who shall be

elected from two or more nominations made by the National People's Action, the

Community Action for Fair Utility Practice, and the South Austin Coalition

Community Council. The directors of all three classes shall be elected by a vote


18



of the members of UTAC.

c) The responsibilities of the UTAC, as the UTSAP Administrator, shall be:

1) to administer a statewide UTSAP pool to which all LECs will report

UTSAP contributions and expenses.

2) to collect UTSAP contributions net of installation and Lifeline local

exchange service charge waivers provided pursuant to Section 757.200(c)

and reimburse LECs for their administrative expenses.

3) to advise the Commission at any time that the total program costs exceed

or will exceed the total contributions, so that the Commission may

consider suspending any UTSAP programs or reducing the amount of

assistance until such time as there are sufficient funds available to offset

the costs.

4) to assess the total UTSAP costs and the total UTSAP revenues and to

petition the Commission pursuant to Section 757.200(b) and (d) for the

purpose of recommending any changes in the local exchange service

charge waiver amounts, the establishment of any new UTSAP programs,

or the discontinuance of any existing programs.

5) to provide external promotion and advertising of UTSAP programs in

conformance with and in addition to that specified in Section 757.220.

d) The UTAC, with Board approval, may contract with an outside agency to

establish and maintain the UTSAP pooling function. The UTAC shall obtain

Commission approval of any such contract.

e) The UTSAP Administrator shall request bids and seek Commission approval of

all contracts exceeding $25,000$10,000.

f) To receive a payment from the UTSAP Administrator, an LEC must comply with

Section 13-301.1 of the Act, all requirements of this Part, and the bylaws and

Member Agreement of the UTSAP Administrator.

1) The UTSAP Administrator may request information in writing regarding

an LEC's payment request. An LEC shall have 14 business days to


18



respond. The UTSAP Administrator may temporarily withhold payment

for 60 calendar days after the filing due dates in Section

757.250757.400(d), or deny, in whole or in part, an LEC payment request

if the request is not adequately documented, is inaccurate, or does not

comply with all requirements of this Part, Section 13-301.1 of the Act, and

the bylaws and Member Agreement of the UTSAP Administrator.

2) The UTSAP Administrator shall notify an LEC in writing, by U.S. mail to

the LEC's address of record, of a decision to deny a payment request.

3) An LEC denied a payment request shall have 60 calendar days after the

mailing date of the UTSAP Administrator's denial notification to file a

complaint pursuant to 83 Ill. Adm. Code 200.170.


Section 757.220 UTSAP Contribution Solicitation and Program Publicity

a) All LECs shall publicize the UTSAP to encourage contributions.

1) Annually, each LEC shall notify its local exchange service customers that

they may elect to participate in the funding of the UTSAP by electing to

contribute, on a monthly basis, a fixed amount to be included in monthly

bills until canceled by the customer.

2) The customer notification specified in subsection (a)(1) of this Section

shall be in the form of an insert in the customer bill. The mailing will

specify fixed monthly amounts from which customers wishing to

contribute may choose. In addition, the bill insert shall contain a phone

number, post card or a mailing address that the customer may use to

contact the LEC in order to initiate monthly contribution billing.

3) On an ongoing basis, at least once each quarter, each LEC shall solicit

UTSAP contributions from its local exchange service customers through

bill inserts, news releases, LEC publications or other suitable means.

4) The LEC will inform customers that they may contribute to UTSAP in

connection with all orders for new service installation or move of service

within the LEC's territory.


18



b) Each LEC shall publicize, in all of its exchanges, each local exchange service

program offered by the LEC under this Subpart C at least once each calendar

quarter. These advertisements may appear in press releases, brochures, bill

inserts, LEC publications, newspapers, radio, television and/or any other suitable

means in the LEC's service territory.


Section 757.225 UTSAP Eligibility

a) In order to be eligible to receive benefits under the UTSAP Program described in

this Subpart C, an individual must meet the Lifeline Program eligibility criteria

adopted by the FCC in 47 CFR 54.409, as amended through the FCC's Third

Report and Order, Further Report and Order and Order on Reconsideration, FCC

16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27, 2016)

participate in a Proxy Program as defined in this Part.

b) Benefits available under the UTSAP program shall be limited to one discount per

household at the principal place of residence of the eligible subscriber.


Section 757.230 UTSAP Application Procedure and Processing

a)The LECs shall be responsible for processing all UTSAP applications related to local exchange

service.

b) The UTSAP application procedures and processing shall be the same as those

shown in Section 757.115.


Section 757.235 LEC UTSAP Eligibility DeterminationCertification

a)The certification and verification procedures in Section 757.430 will be applicable for the

UTSAP. b)The LEC shall verify that theplace an individual in the UTSAP for local exchange

service qualifies as an eligible subscriber or eligible new subscriber, as applicable. The LEC may

rely on eligibility verification provided by a National FCC Lifeline Eligibility Verifier, if one is


18



available for the federal Lifeline Program, or directly verify that the individual in the UTSAP for

local exchange service qualifies as an eligible subscriber or eligible new subscriber, as

applicable.upon determination of eligibility.


Section 757.245 UTSAP Filing Requirements

a) LECs shall provide for, in tariffs filedfile with the Commission or in written

service offerings available on their websites,appropriate tariffs for the provision

of an additional local exchange service charge waiver of the initial local

exchangetelephone service installation charge and/or a Lifeline local exchange

service charge waiver pursuant to orders of the Commission under Section

757.200 authorizing such supplemental assistance programs.

b) UTAC shall file with the Commission, on a quarterly basis, a report containing

the information specified in Exhibit D of this Part.

c) UTAC shall file with the Commission copies of the minutes of all meetings of the

Board of Directors of UTAC.


Section 757.250 LEC Filing Requirements

Each LEC shall complete Exhibit A and file an original of this report with the Chief Clerk of the

Illinois Commerce Commission within 30 days after the end of each calendar quarter. Any LEC

seeking administrative cost reimbursement shall complete Exhibit B and file an original of this

report with the Chief Clerk of the Illinois Commerce Commission within 30 days after the end of

each calendar year.

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

SUBPART E: LIFELINE SERVICE

Section 757.400 Lifeline Service Requirements

a) Each eligible telecommunications carrier shall participate in the Lifeline Program

adopted by the FCC in 47 CFR 54.Subpart E, as amended through the FCC's


18



Third Report and Order, Further Report and Order and Order on Reconsideration,

FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released April 27,

2016)as of February 6, 2013. This incorporation does not include any later

amendments or editions.

b) Each eligible telecommunications carrier shall comply with all Lifeline Program

requirements adopted by the FCC in 47 CFR 54.Subpart E, as amended through

the FCC's Third Report and Order, Further Report and Order and Order on

Reconsideration, FCC 16-38, WC Docket Nos. 11-42, 09-197 and 10-90 (released

April 27, 2016)as of February 6, 2013. This incorporation does not include any

later amendments or editions.

c) Each eligible telecommunications carrier shall meet additional Lifeline service

requirements, if any, established by Commission Order.

d) Each eligible telecommunications carrier shall complete Exhibit A and file an

original of this report with the Chief Clerk of the Illinois Commerce Commission

within 30 days after the end of each calendar quarter. Carriers that have eligible

telecommunications carrier designations for both wireline and wireless operations

shall report separately for wireline and wireless operations. Any LEC seeking

administrative cost reimbursement shall complete Exhibit B and file an original of

this report with the Chief Clerk of the Illinois Commerce Commission within 30

days after the end of each calendar year.


Section 757.425 Lifeline Eligibility

In order to be eligible to receive benefits under the Lifeline Program described in this Subpart E

an individual must:

a) Meet Lifeline Program eligibility criteria adopted by the FCC in 47 CFR

54.Subpart E, as amended through the FCC's Third Report and Order, Further

Report and Order and Order on Reconsideration, FCC 16-38, WC Docket Nos.

11-42, 09-197 and 10-90 (released April 27, 2016)as of February 6, 2012. This


b) Meet additional eligibility criteria, if any, established by the Commission pursuant

to Section 757.200(d)757.100(d).


18




SUBPART F: BIAS ASSISTANCE

Section 757.500 BIAS Program Administration

a) Notwithstanding any other provision of this Part, UTAC may develop a

recommendation for UTAC to administer a program to provide assistance to

eligible customers and/or eligible new customers of BIAS offered by BIAS

providers that voluntarily participate in that program. If UTAC elects to develop

such a recommendation, UTAC shall file with the Commission a petition

requesting the Commission to approve the recommended program and determine

the amount of assistance UTAC shall provide each eligible new subscriber or

eligible subscriber under the program. The petition shall contain

recommendations of the UTSAP Administrator as to the amount of the

assistance. The Commission may enter an order adopting UTAC's

recommendation without a hearing; however, a hearing shall be held if requested

by a party or by Staff within 30 days after the date the petition is filed, and a

hearing may also be held on the Commission's own motion.

b) On July 1 of each year, UTAC shall file with the Commission a petition

requesting the Commission to redetermine the amount, if any, UTAC shall

provide each eligible new subscriber or eligible subscriber under the programs set

forth in this Section. The petition shall contain recommendations of the UTSAP

Administrator of the amount of that assistance. The Commission may enter an

order without a hearing; however, a hearing shall be held if requested by a party

or by Staff within 30 days after the date the petition is filed, and a hearing may

also be held on the Commission's own motion. The Commission shall determine,

subject to the availability of funds, the amount of supplemental assistance, if any,

the providers shall provide each eligible new subscriber or eligible

subscriber. The petition filed pursuant to this Section shall be filed together with

the petition filed pursuant to Section 757.200(b).

c) The Commission, on its own motion, or based upon a petition filed by the UTSAP

Administrator, may order the suspension of payments or temporarily reduce the

amount of the supplemental assistance provided under the programs set forth in

this Section if the total program costs, in combination with the costs of any other

programs administered by UTAC subject to this Part, exceed, or will exceed, the


18



funds available from contributions specified in Section 757.205. If the

Commission suspends or reduces the amount of payments under this Section, the

Commission shall determine, subject to the availability of funds, the amount of

supplemental assistance, if any, the providers shall provide each eligible new

subscriber or eligible subscriber.

d) Whenever UTAC elects or is obligated to make a filing under this Section or any

other provision of this Part, UTAC may address BIAS and Local Exchange

Service in the same filing, provided that any discussion of programs,

supplemental assistance or recommendations shall clearly identify whether the

discussion pertains to BIAS, Local Exchange Service, or both.

e) If and when UTAC develops a recommendation for UTAC to administer a

program to provide assistance to eligible customers and/or eligible new customers

of BIAS offered by BIAS providers that voluntarily participate in that program,

UTAC may propose to extend the BIAS program to include assistance to eligible

customers and/or eligible new customers of Voice Telephony Service (as that

term is defined in 47 CFR 54.400 (July 1, 2017)) other than local exchange

service offered by Voice Telephony Service providers that voluntarily participate

in the BIAS program.

(Source: Added at 42 Ill. Reg. _________, effective ____________)


18



Section 757.EXHIBIT A LEC and ETC Quarterly Report to Commission

LIFELINE AND

UNIVERSAL TELEPHONE SERVICE ASSISTANCE PROGRAMS

QUARTERLY REPORT TO THE ILLINOIS COMMERCE COMMISSION

Company

Mailing

Address

Date of Submission

Data Period: Year

Quarter: 1st 2nd 3rd 4th

Contact Name Type of Filing: Original Correction

Telephone Service Type: Wireline Wireless

Program (a)

Month:

(b)

Month:

(c)

Month:

(d)

Quarter

Totals

(e)

Year-to-

Date Totals:

1.0 UTSAP INSTALLATION

WAIVER

1.1 Number of applications

approved during the month

1.2 Number of customers for whom

supplemental local exchange

service installation charges were

waived during the month

1.3 Supplemental local exchange

service installation charges waived $ $ $ $ $

2.0 LIFELINE – FEDERAL

2.1 Number of Federal Lifeline

customers at end of month

2.2 Number of Illinois Federal

Lifeline applications approved

during the month


Lifeline customers added during the

month


Lifeline customers lost during the

month

2.5 Total Illinois Federal Lifeline

Assistance $ $ $ $ $


18



3.0 LIFELINE – UTSAP

SUPPLEMENTAL

MONTHLY ASSISTANCE

3.1 Number of UTSAP funded

Lifeline customers at end of month **


Lifeline applications approved

during the month


Lifeline customers added during the

month $ $ $ $ $


Lifeline customers lost during the

month

3.5 UTSAP funded total Lifeline

Supplemental Assistance

a) NOTE: Each LECLocal Telecommunications Carrier must file the original of this

Exhibit A with the Chief Clerk of Illinois Commerce Commission and forward a copy to

the UTSAP Administrator and the Staff Liaison within 30 days after the end of each

calendar quarter. Each ETCeligible telecommunications carrier, if not otherwise required

by this Part, shall complete the "LIFELINE AND UNIVERSAL TELEPHONE

SERVICE ASSISTANCE PROGRAMS QUARTERLY REPORT TO THE ILLINOIS

COMMERCE COMMISSION" portion of this Exhibit A and file an original of this

report with the Chief Clerk of the Illinois Commerce Commission within 30 days after

the end of each calendar quarter unless the ETC participates solely in BIAS programs

subject to this Part.

b) A Lifeline customer should be counted as approved during the month if the LEC accepts

the customer for participation in the Lifeline Program during the month. A Lifeline

customer should be counted as added during a month if the LEC provided an initial

Lifeline subsidy to the customer during the month and claimed reimbursement for the

subsidy. Please note that counts of approved and added customers will differ to the

extent that customers approved in a month are not added (i.e., provided service and

Lifeline subsidies) until subsequent months. A Lifeline customer should be counted as

lost during a month if the LEC ceased providing the Lifeline subsidy to the customer

during the month and did not claim reimbursement for the subsidy.


18



QUARTERLY REPORT TO THE ILLINOIS COMMERCE COMMISSION

STATUS OF UTSAP EXPENDITURES

LOCAL EXCHANGE COMPANY:

FOR CALENDAR QUARTER ENDING:

UTSAP EXPENDITURE REPORT

Current

Quarter

Year to

Date*

1. Telecommunications Expenses

a. Billing and Data Processing $ $

b. Customer Notification and Bill Inserts

c. Certification Administration (LEC) and Contact Time

(Total of Lines 1-6 below)

1. Salaries & Fringe Benefits

2. Materials

3 Postage

4. Transportation Expenses

5. Preprinted Forms

6. Other

d. Certification Administration (IDPA/SSI)

e. Service Representative Training

f. Other, please specify

__________________________________


18



TOTALS $ $

Less UTSAP Reimbursement Received $ $

BALANCES $ $

* Includes Current Quarter

NOTES:

Note:

Each Local Exchange Company must file the original of this Exhibit A with the

Chief Clerk of the Illinois Commerce Commission and forward a copy to the

UTSAP Administrator and the Staff Liaison within 30 days after the end of each

calendar quarter. Expenses associated with the Federal Lifeline Program should

not be reported on this form.

LECs shall maintain supporting documentation in such a manner as to be able to

readily identify the above expenses in appropriate subaccounts.

Quarterly "Totals" reported on this page should correspond to the sum of the

monthly "Administrative Costs" reported on Exhibit B by LECs with over 35,000

access lines.



18



Section 757.EXHIBIT C Monthly LEC Supplemental Assistance Charge and

Contributions Report

Monthly/Quarterly LEC Supplemental Assistance Charge and Contribution Report

LEC

Month/Quarter

Contributions:

a) Total Contribution Billed

b) Less Uncollectible Contributions

from previous months

c) Total Contributions

Supplemental Assistance:

a) Total Supplemental Local Exchange

Service Installation Charges

(Exhibit A, line 1.3)

b) Total Monthly Supplemental

Assistance (Exhibit A, line 3.53.45)

c) Total Supplemental Assistance

Amount Due from UTSAP Administrator

(Supplemental Assistance exceeds Contributions)

or

Amount to be Remitted to UTSAP

Administrative (Contributions exceed

Supplemental Assistance

Administrative Costs


18



Note: Exhibit CB is to be forwarded monthly to the UTSAP Administrator by LECs with more

than 35,000 access lines and quarterly by LECs with fewer than 35,000 access lines.



18

DEPARTMENT OF PUBLIC HEALTH

NOTICE OF PROPOSED AMENDMENT

1) Heading of the Part: AIDS Drug Assistance Program


3) Section Number: Proposed Action:

692.Appendix A Amendment

4) Statutory Authority: Ryan White HIV/AIDS Treatment Extension Act of 2009 [Public

Law 111-87]; Section 314 of the Civil Administrative Code of Illinois [20 ILCS

2310/315]

5) A Complete Description of the Subjects and Issues Involved: This rulemaking updates

Appendix A with respect to the federal poverty level changing from the 2017 federal

poverty level to the 2018 federal poverty level.

6) Published studies or reports, and sources of underlying data used to compose this

rulemaking: Federal poverty level, issued by the US Department of Health and Human

Services





11) Statement of Statewide Policy Objective: This rulemaking does not create or expand a

State mandate.


rulemaking: Interested persons may present their comments concerning this rulemaking

within 45 days after the publication of the issue of the Illinois Register to:

Elizabeth Paton

Assistant General Counsel

Division of Legal Services

Illinois Department of Public Health

535 W. Jefferson St., 5th floor


18




217/782-2043

[email protected]



affected: None

B) Reporting, bookkeeping or other procedures required for compliance: None

C) Types of professional skills necessary for compliance: None

14) Regulatory Agenda on which this rulemaking was summarized: January 2018

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


18



TITLE 77: PUBLIC HEALTH

CHAPTER I: DEPARTMENT OF PUBLIC HEALTH

SUBCHAPTER k: COMMUNICABLE DISEASE CONTROL AND IMMUNIZATIONS

PART 692

AIDS DRUG ASSISTANCE PROGRAM

Section

692.5 Definitions

692.6 Incorporated and Referenced Materials

692.10 Drugs to Prolong the Lives of Non-Medicaid Persons with Acquired

Immunodeficiency Syndrome (AIDS) or Human Immunodeficiency Virus (HIV)

Infection

692.15 Application Requirements

692.16 Non-Discrimination

692.APPENDIX A 20182017 Poverty Income Guidelines

692.APPENDIX B Ryan White HIV/AIDS Treatment Extension Act of 2009 Sliding Fee

Scale

AUTHORITY: Implementing the Ryan White HIV/AIDS Treatment Extension Act of 2009

(P.L. 111-87) and authorized by Section 315 of the Civil Administrative Code of Illinois [20

ILCS 2310/315].

SOURCE: Emergency rule adopted at 15 Ill. Reg. 14699, effective September 30, 1991, for a

maximum of 150 days; adopted at 16 Ill. Reg. 4052, effective February 27, 1992; emergency


emergency expired December 20, 1993; amended at 18 Ill. Reg. 1427, effective January 20,

1994; amended at 18 Ill. Reg. 17678, effective November 30, 1994; amended at 20 Ill. Reg.

7531, effective May 15, 1996; emergency amendment at 20 Ill. Reg. 8353, effective June 4,

1996, for a maximum of 150 days; emergency expired November 1, 1996; amended at 21 Ill.

Reg. 1203, effective January 10, 1997; amended at 22 Ill. Reg. 14468, effective July 24, 1998;

amended at 24 Ill. Reg. 11876, effective August 1, 2000; emergency amendment at 35 Ill. Reg.

16105, effective September 26, 2011, for a maximum of 150 days; amended at 36 Ill. Reg. 3909,

effective February 22, 2012 ; peremptory amendment at 37 Ill. Reg. 2563, effective February 15,

2013; emergency amendment at 37 Ill. Reg. 3899, effective March 18, 2013, for a maximum of

150 days; amended at 37 Ill. Reg. 11371, effective July 2, 2013; emergency amendment at 38 Ill.

Reg. 7997, effective March 28, 2014, for a maximum of 150 days; amended at 38 Ill. Reg.

17363, effective August 1, 2014; amended at 39 Ill. Reg. 9978, effective July 2, 2015; amended


18



at 40 Ill. Reg. 9527, effective June 29, 2016; amended at 41 Ill. Reg. 10657, effective August 2,



18



Section 692.APPENDIX A 20182017 Poverty Income Guidelines

20182017 Health and Human Services Poverty Guidelines

Persons in Family

100%

Poverty Guideline

Maximum Gross Annual Income

ADAP 300% Eligibility

1 $12,14012,060 $36,42036,180

2 16,46016,240 49,38048,720

3 20,78020,240 62,34061,260

4 25,10024,600 75,30073,800

5 29,42028,780 88,26086,240

6 33,74032,960 101,22098,880

7 38,06037,140 114,180111,420

8 42,38041,320 127,140123,960

For additional persons, add 4,3204,180 12,96012,540

See: Federal Register: 83 FR 2642, January 18, 201882 FR 8831, January 31, 2017



18

DEPARTMENT OF REVENUE


1) Heading of the Part: Retailers' Occupation Tax



130.101 Amendment

130.111 Amendment

130.310 Amendment

130.321 Amendment

130.325 Repealed

130.331 Repealed

130.332 Repealed

130.335 Amendment

130.341 Repealed

130.345 Repealed

130.415 Amendment

130.535 Amendment

130.551 Amendment

130.552 Amendment

130.701 Amendment

130.901 Amendment

130.905 Amendment

130.1951 Amendment

130.1952 Amendment

130.1954 Amendment

130.1980 Amendment

130.1990 Amendment

130.2000 Amendment

130.2005 Amendment

130.2011 Amendment

130.2012 Amendment

130.2020 Amendment

130.2035 Amendment

130.2060 Amendment

130.2095 Repealed

130.2135 Amendment

130 Illustration A Amendment

4) Statutory Authority: 35 ILCS 120/12


18



5) A Complete Description of the Subjects and Issues Involved: The amended sections are

being amended to remove out-of-date and obsolete language and make technical changes.

The repealed sections are being repealed to remove out-of-date and obsolete language.


rulemaking: None





11) Statement of Statewide Policy Objective: This rulemaking does not create a State

mandate, nor does it modify any existing State mandates.


rulemaking: Persons who wish to submit comments on this proposed rulemaking may

submit them in writing by no later than 45 days after publication of this Notice to:

Debra M. Boggess

Legal Services Office

Illinois Department of Revenue

101 West Jefferson


217/782-2844



affected: Retailers of tangible personal property

B) Reporting, bookkeeping or other procedures required for compliance: Simple

accounting and computer skills


18



C) Types of professional skills necessary for compliance: Simple accounting and

computer skills

14) Regulatory Agenda on which this rulemaking was summarized: January 2018



18



TITLE 86: REVENUE

CHAPTER I: DEPARTMENT OF REVENUE

PART 130

RETAILERS' OCCUPATION TAX

SUBPART A: NATURE OF TAX

Section

130.101 Character and Rate of Tax

130.105 Responsibility of Trustees, Receivers, Executors or Administrators

130.110 Occasional Sales

130.111 Sale of Used Motor Vehicles, Aircraft, or Watercraft by Leasing or Rental

Business

130.115 Habitual Sales

130.120 Nontaxable Transactions

SUBPART B: SALE AT RETAIL

Section

130.201 The Test of a Sale at Retail

130.205 Sales for Transfer Incident to Service

130.210 Sales of Tangible Personal Property to Purchasers for Resale

130.215 Further Illustrations of Sales for Use or Consumption Versus Sales for Resale

130.220 Sales to Lessors of Tangible Personal Property

130.225 Drop Shipments

SUBPART C: CERTAIN STATUTORY EXEMPTIONS

Section

130.305 Farm Machinery and Equipment

130.310 Food, Soft Drinks and Candy

130.311 Drugs, Medicines, Medical Appliances and Grooming and Hygiene Products

130.315 Fuel Sold for Use in Vessels on Rivers Bordering Illinois

130.320 Gasohol, Majority Blended Ethanol, Biodiesel Blends, and 100% Biodiesel

130.321 Fuel Used by Air Common Carriers in Flights Engaged in Foreign Trade or

Engaged in Trade Between the United States and any of its Possessions

130.325 Graphic Arts Machinery and Equipment Exemption (Repealed)

130.330 Manufacturing Machinery and Equipment


18



130.331 Manufacturer's Purchase Credit (Repealed)

130.332 Automatic Vending Machines (Repealed)

130.335 Pollution Control Facilities and Low Sulfur Dioxide Emission Coal-Fueled

Devices

130.340 Rolling Stock

130.341 Commercial Distribution Fee Sales Tax Exemption (Repealed)

130.345 Oil Field Exploration, Drilling and Production Equipment (Repealed)

130.350 Coal Exploration, Mining, Off Highway Hauling, Processing, Maintenance and

Reclamation Equipment

130.351 Aggregate Exploration, Mining, Off Highway Hauling, Processing, Maintenance

and Reclamation Equipment

SUBPART D: GROSS RECEIPTS

Section

130.401 Meaning of Gross Receipts

130.405 How to Avoid Paying Tax on State or Local Tax Passed on to the Purchaser

130.410 Cost of Doing Business Not Deductible

130.415 Transportation and Delivery Charges

130.420 Finance or Interest Charges – Penalties – Discounts

130.425 Traded-In Property

130.430 Deposit or Prepayment on Purchase Price

130.435 State and Local Taxes Other Than Retailers' Occupation Tax

130.440 Penalties

130.445 Federal Taxes

130.450 Installation, Alteration and Special Service Charges

130.455 Motor Vehicle Leasing and Trade-In Allowances

SUBPART E: RETURNS

Section

130.501 Monthly Tax Returns – When Due – Contents

130.502 Quarterly Tax Returns

130.505 Returns and How to Prepare

130.510 Annual Tax Returns

130.515 First Return

130.520 Final Returns When Business is Discontinued

130.525 Who May Sign Returns

130.530 Returns Covering More Than One Location Under Same Registration – Separate


18



Returns for Separately Registered Locations

130.535 Payment of the Tax, Including Quarter Monthly Payments in Certain Instances

130.540 Returns on a Transaction by Transaction Basis

130.545 Registrants Must File a Return for Every Return Period

130.550 Filing of Returns for Retailers by Suppliers Under Certain Circumstances

130.551 Prepayment of Retailers' Occupation Tax on Motor Fuel

130.552 Alcoholic Liquor Reporting

130.555 Vending Machine Information Returns

130.560 Verification of Returns

SUBPART F: INTERSTATE COMMERCE

Section

130.601 Preliminary Comments (Repealed)

130.605 Sales of Property Originating in Illinois; Questions of Interstate Commerce

130.610 Sales of Property Originating in Other States (Repealed)

SUBPART G: CERTIFICATE OF REGISTRATION

Section

130.701 General Information on Obtaining a Certificate of Registration

130.705 Procedure in Disputed Cases Involving Financial Responsibility Requirements

130.710 Procedure When Security Must be Forfeited

130.715 Sub-Certificates of Registration

130.720 Separate Registrations for Different Places of Business of Same Taxpayer Under

Some Circumstances

130.725 Display

130.730 Replacement of Certificate

130.735 Certificate Not Transferable

130.740 Certificate Required For Mobile Vending Units

130.745 Revocation of Certificate

SUBPART H: BOOKS AND RECORDS

Section

130.801 General Requirements

130.805 What Records Constitute Minimum Requirement

130.810 Records Required to Support Deductions

130.815 Preservation and Retention of Records


18



130.820 Preservation of Books During Pendency of Assessment Proceedings

130.825 Department Authorization to Destroy Records Sooner Than Would Otherwise be

Permissible

SUBPART I: PENALTIES AND INTEREST

Section

130.901 Civil Penalties

130.905 Interest

130.910 Criminal Penalties

SUBPART J: BINDING OPINIONS

Section

130.1001 When Opinions from the Department are Binding

SUBPART K: SELLERS LOCATED ON, OR SHIPPING TO, FEDERAL AREAS

Section

130.1101 Definition of Federal Area

130.1105 When Deliveries on Federal Areas Are Taxable

130.1110 No Distinction Between Deliveries on Federal Areas and Illinois Deliveries

Outside Federal Areas

SUBPART L: TIMELY MAILING TREATED AS TIMELY FILING AND PAYING

Section

130.1201 General Information

130.1205 Due Date that Falls on Saturday, Sunday or a Holiday

SUBPART M: LEASED PORTIONS OF LESSOR'S BUSINESS SPACE

Section

130.1301 When Lessee of Premises Must File Return for Leased Department

130.1305 When Lessor of Premises Should File Return for Business Operated on Leased

Premises

130.1310 Meaning of "Lessor" and "Lessee" in this Regulation

SUBPART N: SALES FOR RESALE


18



Section

130.1401 Seller's Responsibility to Determine the Character of the Sale at the Time of the

Sale

130.1405 Seller's Responsibility to Obtain Certificates of Resale and Requirements for

Certificates of Resale

130.1410 Requirements for Certificates of Resale (Repealed)

130.1415 Resale Number – When Required and How Obtained

130.1420 Blanket Certificate of Resale (Repealed)

SUBPART O: CLAIMS TO RECOVER ERRONEOUSLY PAID TAX

Section

130.1501 Claims for Credit – Limitations – Procedure

130.1505 Disposition of Credit Memoranda by Holders Thereof

130.1510 Refunds

130.1515 Interest

SUBPART P: PROCEDURE TO BE FOLLOWED UPON

SELLING OUT OR DISCONTINUING BUSINESS

Section

130.1601 When Returns are Required After a Business is Discontinued

130.1605 When Returns Are Not Required After Discontinuation of a Business

130.1610 Cross Reference to Bulk Sales Regulation

SUBPART Q: NOTICE OF SALES OF GOODS IN BULK

Section

130.1701 Bulk Sales: Notices of Sales of Business Assets

SUBPART R: POWER OF ATTORNEY

Section

130.1801 When Powers of Attorney May be Given

130.1805 Filing of Power of Attorney With Department

130.1810 Filing of Papers by Agent Under Power of Attorney

SUBPART S: SPECIFIC APPLICATIONS


18



Section

130.1901 Addition Agents to Plating Baths

130.1905 Agricultural Producers

130.1910 Antiques, Curios, Art Work, Collectors' Coins, Collectors' Postage Stamps and

Like Articles

130.1915 Auctioneers and Agents

130.1920 Barbers and Beauty Shop Operators

130.1925 Blacksmiths

130.1930 Chiropodists, Osteopaths and Chiropractors

130.1934 Community Water Supply

130.1935 Computer Software

130.1940 Construction Contractors and Real Estate Developers

130.1945 Co-operative Associations

130.1946 Tangible Personal Property Used or Consumed in Graphic Arts Production within

Enterprise Zones Located in a County of more than 4,000 Persons and less than

45,000 Persons

130.1947 Tangible Personal Property Used or Consumed in the Process of Manufacturing

and Assembly within Enterprise Zones or by High Impact Businesses

130.1948 Tangible Personal Property Used or Consumed in the Operation of Pollution

Control Facilities Located within Enterprises Zones

130.1949 Sales of Building Materials Incorporated into the South Suburban Airport

130.1950 Sales of Building Materials Incorporated into the Illiana Expressway

130.1951 Sales of Building Materials Incorporated into Real Estate within Enterprise Zones

130.1952 Sales of Building Materials to a High Impact Business

130.1953 Sales of Building Materials to be Incorporated into a Redevelopment Project Area

within an Intermodal Terminal Facility Area

130.1954 Sales of Building Materials Incorporated into Real Estate within River Edge

Redevelopment Zones

130.1955 Farm Chemicals

130.1956 Dentists

130.1960 Finance Companies and Other Lending Agencies – Installment Contracts – Bad

Debts

130.1965 Florists and Nurserymen

130.1970 Hatcheries

130.1971 Sellers of Pets and the Like

130.1975 Operators of Games of Chance and Their Suppliers

130.1980 Optometrists and Opticians

130.1985 Pawnbrokers


18



130.1990 Peddlers, Hawkers and Itinerant Vendors

130.1995 Personalizing Tangible Personal Property

130.2000 Persons Engaged in the Printing, Graphic Arts or Related Occupations, and Their

Suppliers

130.2004 Sales to Nonprofit Arts or Cultural Organizations

130.2005 Persons Engaged in Nonprofit Service Enterprises and in Similar Enterprises

Operated As Businesses, and Suppliers of ThoseSuch Persons

130.2006 Sales by Teacher-Sponsored Student Organizations

130.2007 Exemption Identification Numbers

130.2008 Sales by Nonprofit Service Enterprises

130.2009 Personal Property Purchased Through Certain Fundraising Events for the Benefit

of Certain Schools

130.2010 Persons Who Rent or Lease the Use of Tangible Personal Property to Others

130.2011 Sales to Persons Who Lease Tangible Personal Property to Exempt Hospitals

130.2012 Sales to Persons Who Lease Tangible Personal Property to Governmental Bodies

130.2013 Persons in the Business of Both Renting and Selling Tangible Personal Property –

Tax Liabilities, Credit

130.2015 Persons Who Repair or Otherwise Service Tangible Personal Property

130.2020 Physicians and Surgeons

130.2025 Picture-Framers

130.2030 Public Amusement Places

130.2035 Registered Pharmacists and Druggists

130.2040 Retailers of Clothing

130.2045 Retailers on Premises of the Illinois State Fair, County Fairs, Art Shows, Flea

Markets and the Like

130.2050 Sales and Gifts By Employers to Employees

130.2055 Sales by Governmental Bodies

130.2060 Sales of Alcoholic Beverages, Motor Fuel and Tobacco Products

130.2065 Sales of Automobiles for Use In Demonstration (Repealed)

130.2070 Sales of Containers, Wrapping and Packing Materials and Related Products

130.2075 Sales To Construction Contractors, Real Estate Developers and Speculative

Builders

130.2076 Sales to Purchasers Performing Contracts with Governmental Bodies

130.2080 Sales to Governmental Bodies, Foreign Diplomats and Consular Personnel

130.2085 Sales to or by Banks, Savings and Loan Associations and Credit Unions

130.2090 Sales to Railroad Companies

130.2095 Sellers of Gasohol, Coal, Coke, Fuel Oil and Other Combustibles (Repealed)

130.2100 Sellers of Feeds and Breeding Livestock

130.2101 Sellers of Floor Coverings


18



130.2105 Sellers of Newspapers, Magazines, Books, Sheet Music and Musical Recordings,

and Their Suppliers; Transfer of Data Downloaded Electronically

130.2110 Sellers of Seeds and Fertilizer

130.2115 Sellers of Machinery, Tools and Special Order Items

130.2120 Suppliers of Persons Engaged in Service Occupations and Professions

130.2125 Discount Coupons, Gift Situations, Trading Stamps, Automobile Rebates and

Dealer Incentives

130.2130 Undertakers and Funeral Directors

130.2135 Vending Machines

130.2140 Vendors of Curtains, Slip Covers and Other Similar Items Made to Order

130.2145 Vendors of Meals

130.2150 Vendors of Memorial Stones and Monuments

130.2155 Tax Liability of Sign Vendors

130.2156 Vendors of Steam

130.2160 Vendors of Tangible Personal Property Employed for Premiums, Advertising,

Prizes, Etc.

130.2165 Veterinarians

130.2170 Warehousemen

SUBPART T: DIRECT PAYMENT PROGRAM

Section

130.2500 Direct Payment Program

130.2505 Qualifying Transactions, Non-transferability of Permit

130.2510 Permit Holder's Payment of Tax

130.2515 Application for Permit

130.2520 Qualification Process and Requirements

130.2525 Application Review

130.2530 Recordkeeping Requirements

130.2535 Revocation and Withdrawal

130.ILLUSTRATION A Examples of Tax Exemption Cards

130.ILLUSTRATION B Example of Notice of Revocation of Certificate of Registration

130.ILLUSTRATION C Food Flow Chart

AUTHORITY: Implementing the Illinois Retailers' Occupation Tax Act [35 ILCS 120] and

authorized by Section 2505-25 of the Civil Administrative Code of Illinois [20 ILCS 2505/2505-

25].


18



SOURCE: Adopted July l, 1933; amended at 2 Ill. Reg. 50, p. 71, effective December 10, 1978;

amended at 3 Ill. Reg. 12, p. 4, effective March 19, 1979; amended at 3 Ill. Reg. 13, pp. 93 and

95, effective March 25, 1979; amended at 3 Ill. Reg. 23, p. 164, effective June 3, 1979; amended

at 3 Ill. Reg. 25, p. 229, effective June 17, 1979; amended at 3 Ill. Reg. 44, p. 193, effective

October 19, 1979; amended at 3 Ill. Reg. 46, p. 52, effective November 2, 1979; amended at 4

Ill. Reg. 24, pp. 520, 539, 564 and 571, effective June l, 1980; amended at 5 Ill. Reg. 818,

effective January 2, 1981; amended at 5 Ill. Reg. 3014, effective March 11, 1981; amended at 5

Ill. Reg. 12782, effective November 2, 1981; amended at 6 Ill. Reg. 2860, effective March 3,

1982; amended at 6 Ill. Reg. 6780, effective May 24, 1982; codified at 6 Ill. Reg. 8229;

recodified at 6 Ill. Reg. 8999; amended at 6 Ill. Reg. 15225, effective December 3, 1982;

amended at 7 Ill. Reg. 7990, effective June 15, 1983; amended at 8 Ill. Reg. 5319, effective April

11, 1984; amended at 8 Ill. Reg. 19062, effective September 26, 1984; amended at 10 Ill. Reg.

1937, effective January 10, 1986; amended at 10 Ill. Reg. 12067, effective July l, 1986; amended

at 10 Ill. Reg. 19538, effective November 5, 1986; amended at 10 Ill. Reg. 19772, effective

November 5, 1986; amended at 11 Ill. Reg. 4325, effective March 2, 1987; amended at 11 Ill.

Reg. 6252, effective March 20, 1987; amended at 11 Ill. Reg. 18284, effective October 27, 1987;



amended at 12 Ill. Reg. 5652, effective March 15, 1988; emergency amendment at 12 Ill. Reg.

14401, effective September 1, 1988, for a maximum of 150 days, modified in response to an

objection of the Joint Committee on Administrative Rules at 12 Ill. Reg. 19531, effective

November 4, 1988, not to exceed the 150 day time limit of the original rulemaking; emergency

expired January 29, 1989; amended at 13 Ill. Reg. 11824, effective June 29, 1989; amended at 14

Ill. Reg. 241, effective December 21, 1989; amended at 14 Ill. Reg. 872, effective January 1,

1990; amended at 14 Ill. Reg. 15463, effective September 10, 1990; amended at 14 Ill. Reg.

16028, effective September 18, 1990; amended at 15 Ill. Reg. 6621, effective April 17, 1991;


effective October 15, 1991; amended at 16 Ill. Reg. 1642, effective January 13, 1992; amended

at 17 Ill. Reg. 860, effective January 11, 1993; amended at 17 Ill. Reg. 18142, effective October

4, 1993; amended at 17 Ill. Reg. 19651, effective November 2, 1993; amended at 18 Ill. Reg.

1537, effective January 13, 1994; amended at 18 Ill. Reg. 16866, effective November 7, 1994;

amended at 19 Ill. Reg. 13446, effective September 12, 1995; amended at 19 Ill. Reg. 13568,

effective September 11, 1995; amended at 19 Ill. Reg. 13968, effective September 18, 1995;

amended at 20 Ill. Reg. 4428, effective March 4, 1996; amended at 20 Ill. Reg. 5366, effective

March 26, 1996; amended at 20 Ill. Reg. 6991, effective May 7, 1996; amended at 20 Ill. Reg.

9116, effective July 2, 1996; amended at 20 Ill. Reg. 15753, effective December 2, 1996;

expedited correction at 21 Ill. Reg. 4052, effective December 2, 1996; amended at 20 Ill. Reg.

16200, effective December 16, 1996; amended at 21 Ill. Reg. 12211, effective August 26, 1997;

amended at 22 Ill. Reg. 3097, effective January 27, 1998; amended at 22 Ill. Reg. 11874,


18



effective June 29, 1998; amended at 22 Ill. Reg. 19919, effective October 28, 1998; amended at

22 Ill. Reg. 21642, effective November 25, 1998; amended at 23 Ill. Reg. 9526, effective July 29,

1999; amended at 23 Ill. Reg. 9898, effective August 9, 1999; amended at 24 Ill. Reg. 10713,

effective July 7, 2000; emergency amendment at 24 Ill. Reg. 11313, effective July 12, 2000, for a

maximum of 150 days; amended at 24 Ill. Reg. 15104, effective October 2, 2000; amended at 24

Ill. Reg. 18376, effective December 1, 2000; amended at 25 Ill. Reg. 941, effective January 8,

2001; emergency amendment at 25 Ill. Reg. 1792, effective January 16, 2001, for a maximum of

150 days; amended at 25 Ill. Reg. 4674, effective March 15, 2001; amended at 25 Ill. Reg. 4950,

effective March 19, 2001; amended at 25 Ill. Reg. 5398, effective April 2, 2001; amended at 25

Ill. Reg. 6515, effective May 3, 2001; expedited correction at 25 Ill. Reg. 15681, effective May

3, 2001; amended at 25 Ill. Reg. 6713, effective May 9, 2001; amended at 25 Ill. Reg. 7264,

effective May 25, 2001; amended at 25 Ill. Reg. 10917, effective August 13, 2001; amended at

25 Ill. Reg. 12841, effective October 1, 2001; amended at 26 Ill. Reg. 958, effective January 15,



26 Ill. Reg. 5946, effective April 15, 2002; amended at 26 Ill. Reg. 8423, effective May 24,

2002; amended at 26 Ill. Reg. 9885, effective June 24, 2002; amended at 27 Ill. Reg. 795,

effective January 3, 2003; emergency amendment at 27 Ill. Reg. 11099, effective July 7, 2003,

for a maximum of 150 days; emergency expired December 3, 2003; amended at 27 Ill. Reg.

17216, effective November 3, 2003; emergency amendment at 27 Ill. Reg. 18911, effective

November 26, 2003, for a maximum of 150 days; emergency expired April 23, 2004; amended at

28 Ill. Reg. 9121, effective June 18, 2004; amended at 28 Ill. Reg. 11268, effective July 21,

2004; emergency amendment at 28 Ill. Reg. 15193, effective November 3, 2004, for a maximum

of 150 days; emergency expired April 1, 2005; amended at 29 Ill. Reg. 7004, effective April 26,

2005; amended at 31 Ill. Reg. 3574, effective February 16, 2007; amended at 31 Ill. Reg. 5621,

effective March 23, 2007; amended at 31 Ill. Reg. 13004, effective August 21, 2007; amended at

31 Ill. Reg. 14091, effective September 21, 2007; amended at 32 Ill. Reg. 4226, effective March

6, 2008; emergency amendment at 32 Ill. Reg. 8785, effective May 29, 2008, for a maximum of

150 days; emergency expired October 25, 2008; amended at 32 Ill. Reg. 10207, effective June

24, 2008; amended at 32 Ill. Reg. 17228, effective October 15, 2008; amended at 32 Ill. Reg.

17519, effective October 24, 2008; amended at 32 Ill. Reg. 19128, effective December 1, 2008;

amended at 33 Ill. Reg. 1762, effective January 13, 2009; amended at 33 Ill. Reg. 2345, effective

January 23, 2009; amended at 33 Ill. Reg. 3999, effective February 23, 2009; amended at 33 Ill.

Reg. 15781, effective October 27, 2009; amended at 33 Ill. Reg. 16711, effective November 20,

2009; amended at 34 Ill. Reg. 9405, effective June 23, 2010; amended at 34 Ill. Reg. 12935,

effective August 19, 2010; amended at 35 Ill. Reg. 2169, effective January 24, 2011; amended at

36 Ill. Reg. 6662, effective April 12, 2012; amended at 38 Ill. Reg. 12909, effective June 9,

2014; amended at 38 Ill. Reg. 17060, effective July 25, 2014; amended at 38 Ill. Reg. 17421,

effective July 31, 2014; amended at 38 Ill. Reg. 17756, effective August 6, 2014; amended at 38


18



Ill. Reg. 19998, effective October 1, 2014; amended at 39 Ill. Reg. 1793, effective January 12,

2015; amended at 39 Ill. Reg. 12597, effective August 26, 2015; amended at 39 Ill. Reg. 14616,

effective October 22, 2015; amended at 40 Ill. Reg. 6130, effective April 1, 2016; amended at 40

Ill. Reg. 13448, effective September 9, 2016; amended at 41 Ill. Reg. 10721, effective August 1,

2017; amended at 42 Ill. Reg. 2850, effective January 26, 2018; amended at 42 Ill. Reg. ______,

effective ____________.

SUBPART A: NATURE OF TAX

Section 130.101 Character and Rate of Tax

The Retailers' Occupation Tax Act (the Act) [35 ILCS 120] imposes a tax upon persons engaged

in this State in the business of selling tangible personal property to purchasers for use or

consumption. On and after January 1, 2001, prepaid telephone calling arrangements shall be

considered tangible personal property subject to the tax imposed under the Act regardless of the

form in which those arrangements may be embodied, transmitted, or fixed by any method now

known or hereafter developed (Section 2 of the Act). "Prepaid telephone calling arrangements"

means the right to exclusively purchase telephone or telecommunications services that must be

paid for in advance and enable the origination of one or more intrastate, interstate, or

international telephone calls or other telecommunications using an access number, an

authorization code, or both, whether manually or electronically dialed, for which payment to a

retailer must be made in advance, provided that, unless recharged, no further service is provided

once that prepaid amount of service has been consumed. Prepaid telephone calling

arrangements include the recharge of a prepaid calling arrangement. For purposes of this

Section, "recharge" means the purchase of additional prepaid telephone or telecommunications

services whether or not the purchaser acquires a different access number or authorization code.

For purposes of this Section, "telecommunications" means that term as defined in Section 2 of

the Telecommunications Excise Tax Act [35 ILCS 630]. "Prepaid telephone calling

arrangement" does not include an arrangement whereby the service provider reflects the amount

of the purchase as a credit on an account for a customer under an existing subscription plan.

(Section 2-27 of the Act) The tax is measured by the seller's gross receipts from such sales made

in the course of thatsuch business. (For further information concerning "Gross Receipts", see

Subpart D of this Part.)

a) How to Determine Effective Rate

1) For the purposes of the Retailers' Occupation Tax Act, any tax liability

incurred in respect to a sale of tangible personal property made in the

regular course of business shall be computed by applying, to the gross


18



receipts from thesuch sale, the tax rate in effect as of the date of delivery

of thesuch property, provided that if delivery occurs after the tax rate

changes, in a transaction in which receipts were received before the date

of the rate change and tax was paid on thesuch receipts when received by

the seller in accordance with Section 130.430 of this Part at the rate

thatwhich was in effect when the seller received thesuch receipts, no

additional tax will be due or credit allowed because of the delivery of the

property occurring after the rate changes.

2) Furthermore, in the case of sales of building materials to real estate

improvement construction contractors for use in performing construction

contracts for third persons, if thesuch property is delivered to the

contractor after the effective date of a rate increase but will be used in

performing a binding construction contract thatwhich was entered into

before the effective date of the increase and under which the contractor is

legally unable to shift the burden of the tax rate increase to his customer,

the applicable tax rate will be the rate thatwhich was in effect before the

effective date of the rate increase. Before a supplier may deliver materials

to a construction contractor after the effective date of a tax rate increase at

the rate thatwhich was in effect prior thereto, the purchasing contractor

must give thesuch supplier a written, signed certification stating that

specifically described materials are being purchased for use in performing

a binding contract thatwhich was entered into before the effective date of

the rate increase (specifying thesuch date) and under which the contractor

is legally unable to shift the burden of the tax rate increase to his or her

customer, identifying the construction contract in question by its date and

by naming the contractor's construction work involved, and by giving the

location on the job site where the construction contract is being performed

or is to be performed.

b) Tax Rate in Effect

1) The effective rate from January 1, 1985, through December 31, 1989, is

5%. On and after January 1, 1990, the effective rate is 6.25%. Beginning

on July 1, 2000 through December 31, 2000, with respect to motor fuel

and gasohol, the tax is imposed at the rate of 1.25%. (Section 2-10 of the

Act)

2) Definitions


18



A) "Diesel Fuel" is defined as any petroleum product intended for use

or offered for sale as a fuel for engines in which the fuel is injected

into the combustion chamber and ignited by pressure without

electric spark. [35 ILCS 505/2]

B) "Gasohol" means motor fuel that is a blend of denatured ethanol

and gasoline that contains no more than 1.25% water by weight.

The blend must contain 90% gasoline and 10% denatured ethanol.

A maximum of one percent error factor in the amount of denatured

ethanol used in the blend is allowable to compensate for blending

equipment variations. [35 ILCS 105/3-40]

C) "Motor Fuel" means all volatile and inflammable liquids

produced, blended or compounded for the purpose of, or thatwhich

are suitable or practicable for, operating motor vehicles. Among

other things, "Motor Fuel" includes "Special Fuel". [35 ILCS

505/1.1]

i) By way of illustration and not limitation, the following are

considered motor fuel:

▪ Gasoline

▪ Diesel fuel

▪ Combustible gases (e.g., liquified petroleum gas

and compressed natural gas) delivered directly into

the fuel supply tanks of motor vehicles

▪ Gasohol.

ii) By way of illustration and not limitation, the following are

not considered motor fuel:

▪ Avgas

▪ Jet fuel


18



▪ 1-K kerosene

▪ Combustible gases unless delivered directly into the

fuel supply tanks of motor vehicles

▪ Heating oil (e.g., kerosene and fuel oil) unless

delivered directly into the fuel supply tanks of

motor vehicles, in which case it is considered diesel

fuel.

D) "Special Fuel" means all volatile and inflammable liquids capable

of being used for the generation of power in an internal

combustion engine except that it does not include gasoline as

defined in Section 5, example (A) of the Motor Fuel Tax Law or

combustible gases as defined in Section 5, example (B) of the

Motor Fuel Tax Law. "Special Fuel" includes diesel fuel. [35

ILCS 505/1.13]

c) Effective Date of New Taxes

When something that has been exempted becomes taxable as to sales that are

made on and after some particular date, the date of sale for this purpose shall be

deemed to be the date of the delivery of the property. This is true even if such

delivery is made under a contract that was entered into before the effective date of

the new tax.

d) Relation of Retailers' Occupation Tax to Use Tax

The Retailers' Occupation Tax is an occupation tax whose legal incidence is on

the seller, rather than on the purchaser. However, with the enactment of the Use

Tax Act in 1955 [35 ILCS 105], the retailer became a tax collector under that Act

and is required to comply with the bracket systems or tax collection schedules

prescribed in the Department's Use Tax Regulations for the collection of the Use

Tax by retailers from users.


Section 130.111 Sale of Used Motor Vehicles, Aircraft, or Watercraft by Leasing or Rental

Business

a) Any person engaged in the business of leasing or renting motor vehicles, aircraft


18



or watercraft, to others and who, in connection therewith, sells any used motor

vehicle, aircraft or watercraft, to a purchaser or lessor for use and not for resale is

a retailer selling tangible personal property at retail to the extent of the value of

the vehicle, aircraft, or watercraft sold.

b) For purposes of this Section, "motor vehicle" has the meaning prescribed in

Section 1-157 of the Illinois Vehicle Code [625 ILCS 5/1-157]. "Motor vehicle"

means a motor vehicle of the First Division, including a multipurpose passenger

vehicle that is designed for carrying not more than 10 persons.

c) For purposes of this Section, "aircraft" means any device used or designed to

carry humans in flight as specified by the Department of Transportation by rule.

(See 92 Ill. Adm. Code 14.105.) All devices required to be licensed as "aircraft"

by the Federal Aviation Administration (FAA) are "aircraft". [620 ILCS 5/3]

d) For purposes of this Section, "watercraft" has the meaning prescribed in Section

15-5 of the Watercraft Use Tax Law [35 ILCS 158/15-5625 ILCS 158/15-5].

"Watercraft" means any watercraft 16 feet or greater in length, except kayaks and

canoes. "Watercraft" includes any "personal watercraft" as defined in Section 1-2

of the Illinois Boat Registration and Safety Act [625 ILCS 45/1-2]. An example

of a "personal watercraft" is a jet ski, regardless of its size or length.


SUBPART C: CERTAIN STATUTORY EXEMPTIONS

Section 130.310 Food, Soft Drinks and Candy

a) Food. With respect to food for human consumption that is to be consumed off the

premises where it is sold (other than alcoholic beverages, soft drinks, candy and

food that has been prepared for immediate consumption), the tax is imposed at the

rate of 1%. Food for human consumption that is to be consumed off the premises

where it is sold includes all food sold through a vending machine, except soft

drinks, candy, and food products that are dispensed hot from a vending machine,

regardless of the location of the vending machine. (Section 2-10 of the Act)

Public Acts 96-34, 96-37 and 96-38 included changes to the definition of soft

drinks and provided that candy is not considered "food for human consumption

that is to be consumed off the premises where it is sold". For further information

on the definition and taxation of soft drinks, see subsection (d)(6). For further


18



information regarding the definition and taxation of candy, see subsection (d)(7).

b) The manner in which food is taxed depends upon 2 distinct factors that must both

be considered in determining if food is taxed at the high rate as "food prepared for

immediate consumption" or the low rate as "food prepared for consumption off

the premises where sold".

1) The first factor is whether the retailer selling the food provides premises

for consumption of food. If so, a rebuttable presumption is created that all

sales of food by that retailer are considered to be prepared for immediate

consumption and subject to tax at the high rate. As a result of this

presumption, even bulk food could potentially be taxable at the high rate.

However, this presumption is rebutted if a retailer demonstrates that:

A) the area for on-premises consumption is physically separated or

otherwise distinguishable from the area where food not for

immediate consumption is sold; and

B) the retailer has a separate means of recording and accounting for

collection of receipts from sales of both high and low rate foods.

For purposes of this subsection (b)(1)(B), the phrase "separate

means of recording and accounting for collection of receipts"

includes cash registers that separately identify high rate and low

rate sales, separate cash registers, and any other methods by which

the tax on high and low rate sales are recorded at the time of

collection.

2) The second factor is the nature of the food item being sold. As provided

in subsection (c), some foods, such as hot foods, are always considered to

be "food prepared for immediate consumption", and thus subject to the

high rate of tax.

3) Numerous examples applying these factors to different types of food and

food retailers are provided in subsection (d)(4)(A) through -(I).

c) Definitions

1) "Food". Food is any solid, liquid, powder or item intended by the seller

primarily for human internal consumption, whether simple, compound or


18



mixed, including foods such as condiments, spices, seasonings, vitamins,

bottled water and ice.

2) "Food Prepared for Immediate Consumption". Food prepared for

immediate consumption means food that is prepared or made ready by a

retailer to be eaten without substantial delay after the final stage of

preparation by the retailer.

A) Food prepared for immediate consumption includes, but is not

limited to, the following:

i) all hot foods, whether sold in a restaurant, delicatessen,

grocery store, discount store, concession stand, bowling

alley, vending machine or any other location. At a grocery

store, hot foods subject to the high rate of tax include, but

are not limited to, pizza, soup, rotisserie or fried chicken

and coffee; other examples of food prepared for immediate

consumption include popcorn or nachos sold at a movie

concession stand; hot dogs sold by a street vendor; and hot

precooked meals sold to customers, such as a Thanksgiving

dinner. For purposes of this Section, "hot" means any

temperature that is greater than room temperature;

ii) sandwiches, either hot or cold, prepared by a retailer to the

individual order of a customer;

iii) salad, olive or sushi bars offered by a retailer at which

individuals prepare their own salads (hot or cold);

iv) all coffee, tea, cappuccino and other drinks prepared by a

retailer for individual consumption, whether hot or cold, are

subject to the high rate of tax;

v) all food sold for consumption on the premises where sold.

B) "Food prepared for immediate consumption" does not include:

i) doughnuts, cookies, bagels or other bakery items prepared

by a retailer and sold either individually or in another


18



quantity selected by the customer, provided they are for

consumption off the premises where sold;

ii) whole breads, pies and cakes prepared by a retailer, even

when prepared to the individual order of a customer;

iii) sandwiches that are prepared by a retailer and placed in a

deli case or other storage unit;

iv) cold salads, jellos, stuffed vegetables or fruits sold by

weight or by quart, pint or other quantity by a retailer;

v) cheese, fruit, vegetable or meat trays prepared by a retailer,

either to the individual order of a customer or premade and

set out for sale;

vi) food items sold by a retailer that are not prepared or

otherwise manufactured by that retailer, such as pre-

packaged snacks or chips, unless these items will be

consumed on the premises where sold (e.g., in a sandwich

shop). For grocers, thesesuch items include, but are not

limited to, fruits, vegetables, meats, milk, canned goods

and yogurt. In addition, effective September 1, 2009, all

sales of "candy", as defined in subsection (d)(7), are subject

to the high rate of tax.

C) The provisions of subsection (c)(2)(B) are subject to the rebuttable

presumption described in subsection (d). That is, the items listed

in subsection (c)(2)(B) are taxable at the low rate only if the

retailer had a separate means of recording and accounting for high

and low rate sales, and the retailer provides no on-premises

facilities for consumption of the food or, if the retailer does

provide thesesuch facilities, they are physically separated or


immediate consumption is sold.

3) "Premises". Premises is that area over which the retailer exercises control,

whether by lease, contract, license or otherwise, and, in addition, the area

in which facilities for eating are provided, including areas designated for,


18



or devoted to, use in conjunction with the business engaged in by the

vendor. Vendor premises include eating areas provided by employers for

employees and common or shared eating areas in shopping centers or

public buildings if customers of food vendors adjacent to those areas are

permitted to use them for consumption of food products.

d) Test to Determine Applicable Rate. The rate at which food is taxable is

determined as follows:

1) If retailers provide seating or facilities for on-premises consumption of

food, all food sales are presumed to be taxable at the high rate as "food

prepared for immediate consumption". However, this presumption can be

rebutted by evidence that:

A) the area for on-premises consumption is physically separated or


immediate consumption is sold; and

B) the retailer utilizes a means of recording and accounting for

collection of receipts from the sales of food prepared for

immediate consumption (high rate) and the sales of food that are

not prepared for immediate consumption (low rate).

2) If a retailer does not provide seating or facilities for on-premises

consumption of food, then the low rate of tax will be applied to all food

items except for "food prepared for immediate consumption by the

retailer" as provided in subsection (b) and soft drinks, candy and alcoholic

beverages. However, in order for the low rate of tax to apply, retailers that

sell both food prepared for immediate consumption and food for

consumption off the premises where sold must utilize means of recording

and accounting for collection of receipts from the sales of food prepared

for immediate consumption (high rate) and the sales of food that are not

prepared for immediate consumption (low rate). If these receipts are not

maintained, all sales will be presumed to be at the high rate of tax.

3) Illustration C is a decision tree to assist in making high rate/low rate

determinations.

4) Examples:


18



A) Grocery Store – On-premises Facilities for Consumption of Food.

Provided that the requirements of subsection (d)(1) are met,

examples of high rate items include, but are not limited to, hot

foods (soup, pizza, rotisserie or fried chicken, stuffed potatoes, hot

dogs); all sandwiches, either hot or cold, that are prepared to the

individual order of a customer; salads prepared by customers at a

salad/olive/sushi bar; and all food sold for consumption on the

premises. Also included are hot precooked meals sold to

customers, such as a Thanksgiving dinner; however, if precooked

meals are sold in an unheated state of preparation, they are

considered to be low rate. Meal packages sold by a grocer (e.g., 2

or more pieces of fried chicken with choice of two sides and dinner

rolls sold at one price) that include at least 1 hot food item are

taxable at the high rate, even if some foods in the package, sold

alone, would be taxable at the low rate. Low rate items would

include, but are not limited to, doughnuts (regardless of quantity),

bagels, rolls and whole breads or bakery items prepared by the

retailer; sandwiches that are premade by the retailer and set out for

sale to customers; cold pizzas prepared by the retailer and set out

for sale to customers; stuffed olives or peppers prepared by the

retailer and set out for sale in individual sized containers; and deli

items sold by the retailer to customers by size or weight (prepared

salads, e.g., potato, pasta, bean or fruit salads; jello; pudding;

stuffed olives).

B) Grocery Store – No On-premises Facilities for Consumption of

Food. Provided that the requirements of subsection (d)(2) are met,

examples of high rate items would include, but are not limited to,

hot foods (soup, pizza, rotisserie or fried chicken, hot dogs); all

sandwiches, either hot or cold, that are prepared to the individual

order of a customer; and salads that are made by customers at a

salad/olive/sushi bar. In addition, effective September 1, 2009, all

sales of "candy", as defined in subsection (d)(7), are subject to the

high rate of tax. Also included are hot precooked meals sold to

customers, such as a Thanksgiving dinner. If precooked meals are

sold in an unheated state of preparation, however, they are

considered to be low rate. Low rate items would include, but are

not limited to, doughnuts (regardless of quantity), bagels, rolls and


18



whole breads or bakery items prepared by the retailer; sandwiches

that are premade by the retailer and set out for sale to customers;

cold pizzas prepared by the retailer and set out for sale to

customers; stuffed olives or peppers prepared by the retailer and

set out for sale in individual sized containers; and deli items sold

by the retailer to customers by size or weight.

C) Restaurants and Cafeterias. All foods sold by a restaurant or a

cafeteria are considered food prepared for immediate consumption.

ThisSuch food can either be prepared to the individual order of a

customer or premade and set out for selection by the customer.

However, if a restaurant or cafeteria also sells whole pies, cakes or

individual pastries for sale, these items are taxable at the low rate,

as long as the requirements of subsection (d)(1) are met.

D) Bakery. Provided that the requirements of either subsection (d)(1)

or (d)(2) are met, the following items are taxable at the low rate:

doughnuts, cookies or individual pastries, regardless of quantity,

sold for consumption off the premises where sold, and whole cakes

or pies, such as wedding or special occasion cakes. Food sold for

consumption on the premises, such as doughnuts and coffee, are

subject to the high rate of tax.

E) Delicatessen. Provided that the requirements of either subsection

(d)(1) or (d)(2) are met, meat, cheese and prepared salads sold by

weight or volume are taxable at the low rate. Individual

sandwiches prepared to the individual order of a customer are high

rate, as well as other food sold for consumption on the premises.

F) Ice Cream Store. Ice cream items in individual sizes, either

prepared to the individual order of a customer or premade and

offered for sale by a retailer, constitute "food prepared for

immediate consumption" and are subject to the high rate of tax.

These items include ice cream cones, cups of ice cream, sundaes,

shakes and premade ice cream sandwiches, bars or cookies.

However, provided that the requirements of either subsection

(d)(1) or (d)(2) are met, ice cream cakes or rolls or ice cream

packaged in premeasured containers, such as a pint, quart or

gallon, are subject to tax at the low rate.


18



G) Food Sold at Food Courts. All hot food and food prepared to the

individual order of a customer by a retailer at a food court is

subject to the high rate of tax. In addition, all other food sold for

consumption on the premises of a food court is subject to the high

rate of tax.

H) Convenience Stores. Provided that the requirements of either

subsection (d)(1) or (d)(2) are met, prepackaged food items not

prepared by a convenience store retailer are subject to the low rate

of tax. These items include, but are not limited to, chips, snacks,

bread products and cookies. The sale of hot food items, such as

hot dogs, nachos or pretzels, are subject to the high rate of tax, as

well as other food sold for consumption on the premises. In

addition, effective September 1, 2009, all sales of "candy", as

defined in subsection (d)(7), are subject to the high rate of tax.

I) Coffee Shops. Provided that the requirements of either subsection

(d)(1) or (d)(2) are met, coffee, latte, cappuccino and tea (prepared

either hot or cold) and food sold for consumption on the premises

(e.g., pastries, cookies, snacks) are subject to the high rate of tax.

Bulk coffees (beans or grounds, for instance) and teas, or pastries

that are not consumed on the premises, are subject to the low rate

of tax.

5) Alcoholic Beverages. The reduced rate does not extend to alcoholic

beverages. An alcoholic beverage is any beverage subject to the tax

imposed under Article VIII of the Liquor Control Act of 1934 [235 ILCS

5/Art. VIII].

6) Soft Drinks. The reduced rate does not extend to soft drinks. Soft drinks

are taxed at the State sales tax rate of 6.25%. Soft drinks are taxable at the

high rate regardless of the type of establishment where they are sold, e.g.,

a grocery store, restaurant or vending machine.

A) Until September 1, 2009, the term "soft drinks" means any

complete, finished, ready-to-use, non-alcoholic drink, whether

carbonated or not, including but not limited to soda water, cola,

fruit juice, vegetable juice, carbonated water, and all other


18



preparations commonly known as soft drinks of whatever kind or

description that are contained in any closed or sealed bottle, can,

carton, or container regardless of size. "Soft drinks" does not

include coffee, tea, non-carbonated water, infant formula, milk or

milk products as defined in Section 3(a)(2) and (4) of the Grade A

Pasteurized Milk and Milk Products Act [410 ILCS 635], or drinks

containing 50% or more natural fruit or vegetable juice. (Section

2-10 of the Act) Frozen concentrated fruit juice, dry powdered

drink mixes and fruit juices that are reconstituted to natural

strength are not soft drinks.

AB) TheOn and after September 1, 2009, the term "soft drinks" means

non-alcoholic beverages that contain natural or artificial

sweeteners. "Soft drinks" do not include beverages that contain

milk or milk products, soy, rice or similar milk substitutes, or

greater than 50% of vegetable or fruit juice by volume. (Section 2-

10 of the Act)

BC) Natural and artificial sweeteners include, but are not limited to,

corn syrup, high fructose corn syrup, invert sugar, dextrose,

sucrose, fructose, lactose, saccharose, fruit juice concentrates,

molasses, evaporated cane juice, rice syrup, barley malt, honey,

Rebaudioside A (Reb A), erythritol, xylitol, aspartame, saccharin,

acesulfame K, sucralose and sorbitol. Beverages that list in the

ingredient list natural and/or artificial sweeteners including, but not

limited to, those listed in this subsection (d)(6)(C), meet the

definition of "soft drinks". (Note, for purposes of this Section,

natural and artificial sweeteners do not include natural or artificial

flavors.)

CD) Examples of soft drinks include, but are not limited to:

i) soda pop;

ii) carbonated and noncarbonated water that contains natural

or artificial sweeteners;

iii) root beer;


18



iv) sport or energy drinks;

v) sweetened tea or coffee (without milk or milk products; see

subsection (d)(6)(E));

vi) non-alcoholic beer;

vii) fruit drinks containing 50% or less fruit juice; and

viii) "ready-to-use" non-alcoholic beverage mixers containing

50% or less vegetable or fruit juice by volume, e.g., ready-

to-use margarita mixes.

DE) Examples of products that are not considered soft drinks include,

but are not limited to:

i) beverage powders or dry mixes;

ii) concentrates, e.g., frozen concentrate lemonade;

iii) ground or whole bean coffee and loose leaf tea or tea bags;

iv) carbonated and noncarbonated water that does not contain

natural or artificial sweeteners;

v) carbonated and noncarbonated water that does not contain

natural or artificial sweeteners but does contain natural or

artificial flavor;

vi) vegetable or fruit juices containing greater than 50%

vegetable or fruit juice, even if these beverages contain

natural or artificial sweeteners;

vii) any drinks that contain milk or milk products, soy, rice or

similar milk substitutes; and

viii) brewed unsweetened black coffee or tea. (Note, even

though brewed unsweetened black coffee and tea are not

considered soft drinks, hot coffee or hot tea, regardless of


18



whether they contain natural or artificial sweeteners or milk

or milk products, are subject to tax at the 6.25% rate

because they are considered to be "food prepared for

immediate consumption". (See subsection (c)(2)(A)(iv).))

7) Candy. On and after September 1, 2009, the reduced rate does not extend

to "candy". Candy is taxed at the State sales tax rate of 6.25%.

A) "Candy" means a preparation of sugar, honey, or other natural or

artificial sweeteners in combination with chocolate, fruits, nuts or

other ingredients or flavorings in the form of bars, drops, or

pieces. "Candy" does not include any preparation that contains

flour or requires refrigeration. (Section 2-10 of the Act) To meet

the definition of candy, the item must be analyzed by using four

factors, as explained in subsections (d)(7)(B) through (E).

B) Flour: Products whose ingredient list contain the word "flour",

regardless of the type of flour (e.g., wheat, rice) are not candy. A

product does not contain flour unless the product label specifically

lists flour as an ingredient. Ingredients such as soy or whey that

may be used in place of, or as a substitute for, flour are not

considered to be flour for purposes of determining if the item

qualifies as candy unless they are specifically labeled as flour in

the ingredient list.

i) Items that are not considered candy because they list flour

as one of the ingredients on the label include, but are not

limited to, certain licorice, certain candy bars, cookies and

chocolate covered pretzels.

ii) Snack mixes that contain both candy and non-candy items,

such as trail mix that contains products with flour or bags

of individually wrapped candy bars in which some candy

bars contain flour and others do not, are not candy if the

ingredient list on the bag lists flour as an ingredient of any

of the items.

C) Refrigeration: Items that require refrigeration are not considered

to be candy. For example, popsicles and ice cream bars are not


18



candy. Items that otherwise qualify as candy and do not require

refrigeration are candy even if they are sold refrigerated or frozen,

e.g., a candy bar that has been frozen. Merely suggesting that the

product be refrigerated (e.g., to ensure product quality, please keep

this package stored in a cool place, at or below 65°F) is insufficient

to meet the refrigeration requirement.

D) Sweeteners: Candy is limited to products that contain sugar, honey

or other natural or artificial sweeteners. Examples of natural or

artificial sweeteners include, but are not limited to, corn syrup,

high fructose corn syrup, invert sugar, dextrose, sucrose, fructose,

lactose, saccharose, fruit juice concentrates, molasses, evaporated

cane juice, rice syrup, barley malt, honey, Rebaudioside A (Reb

A), erythritol, xylitol, aspartame, saccharin, acesulfame K,

sucralose, sorbitol.

E) Bars, drops or pieces: Items must be in the form of bars, drops or

pieces to be considered candy.

i) Examples of items that are not in the form of bars, drops or

pieces and are not candy include, but are not limited to, jars

of honey, syrups, peanut butter, preserves or jams, cans of

fruit in syrup, cans or tubes of cake frosting and cereals.

ii) Examples of items that are in the form of bars, drops or

pieces and are candy include, but are not limited to,

sweetened cooking or baking bars or chips, sweetened

coconut flakes, honey glazed peanuts, baking sprinkles,

caramel-coated popcorn (does not include un-popped

popcorn), artificially flavored candy mints, caramel or

candied apples and almond bark.

F) Examples of items that are considered candy (provided that they

meet all the requirements of subsections (d)(7)(B) through (D))

include, but are not limited to:

i) chocolate bars, including sweet or semi-sweet bars or bits;

ii) chocolate molded items (e.g., bunny, snowman);


18



iii) chocolate covered or dipped strawberries, chocolate or

carob covered raisins or nuts;

iv) chocolate covered potato chips;

v) chocolate covered bacon;

vi) caramel-coated popcorn (does not include un-popped

popcorn), caramel apples, caramel corn or rice cakes;

vii) almond bark, peanut brittle;

viii) marshmallows;

ix) breath mints;

x) chewing gum;

xi) fruit roll-ups;

xii) glazed dried apricots;

xiii) trail mixes that contain candy ingredients, e.g., sweetened

nuts;

xiv) granola bars;

xv) any type of nut that is sweetened with any natural or

artificial sweetener, e.g., if the ingredient list contains any

natural or artificial sweetener.

G) Examples of items that are not considered candy because they do

not meet the requirements of subsections (d)(7)(B) through (D)

include, but are not limited to (note, if some of the items listed

below, such as popcorn, are covered or dipped in chocolate,

caramel or other candy coating, they may be considered candy):

i) cakes, pies, cookies, pastry;


18



ii) ice cream, ice cream bars, frozen yogurt, popsicles, hot

fudge ice cream topping;

iii) pretzels;

iv) corn chips, potato chips, popcorn and beef jerky;

v) chocolate milk, strawberry milk, fruit juice, soft drinks;

vi) powdered hot chocolate cocoa mix and other drink mixes;

vii) food coloring;

viii) unsweetened chocolate;

ix) cereals; and

x) licorice and candy bars that contain flour as an ingredient.

e) Reporting

1) The retailer must keep an actual record of all sales and must report tax at

the applicable rates, based on sales as reflected in the retailer's records.

Books and records must be maintained in sufficient detail so that all

receipts reported with respect to food can be supported.

2) A retailer who finds it difficult to maintain detailed records of receipts

from sales of food at the reduced rate, as well as detailed records of

receipts from all other sales of tangible personal property at the full rate,

may request the use of a formula. The request must be made to the

Department in writing, must state the reasons that a formula method is

necessary, and must outline the proposed formula in detail. Included in

the request must be a description of how the method can be audited by the

Department. Upon a finding that the formula can be audited and will

produce results that will reasonably approximate the actual taxable

receipts in each category, the Department may issue its approval for use of

the formula. If approval is granted, the Department reserves the right to

withdraw approval or require a change in procedure at any time.


18




Section 130.321 Fuel Used by Air Common Carriers in Flights Engaged in Foreign Trade

or Engaged in Trade Between the United States and any of its Possessions

a) Until June 30, 2013, notwithstanding the fact that sales may be at retail, fuel and

petroleum products sold to or used by an air common carrier, certified by the

carrier to be used for consumption, shipment or storage in the conduct of its

business as an air common carrier, for a flight destined for or returning from a

location or locations outside the United States without regard to previous or

subsequent domestic stopovers is exempt from tax. (Section 2-5 of the Act).

b) Exemptions Beginning July 1, 2013

a1) Beginning July 1, 2013, notwithstanding the fact that sales may be at retail, tax does

not apply to fuel and petroleum products sold to or used by an air carrier, certified

by the carrier to be used for consumption, shipment, or storage in the conduct of

its business as an air common carrier, for a flight that:

1A) is engaged in foreign trade or is engaged in trade between the United

States and any of its possessions; and

2B) transports at least one individual or package for hire from the city of

origination to the city of final destination on the same aircraft, without

regard to a change in the flight number of that aircraft [35 ILCS 120/2-5].

32) This exemption will terminate by operation of the sunset provisions of

Section 2-70 of the Act on August 16, 2018.

bc) Until July 1, 2013, flights destined for a destination outside the United States

include flights which originate in Illinois or have a stopover in Illinois and which

may have intermediate stops at other locations in the United States prior to

arriving at the destination outside the United States. Beginning July 1, 2013,

subject to the provisions in subsection (ab), all fuel loaded for thesesuch flights

shall be considered to be exempt, notwithstanding the fact that a portion of the

fuel will be consumed within the United States or any of its possessions. If a flight

is loaded with exempt fuel for a flight engaged in foreign trade or trade between

the United States and any of its possessions, but for some reason does not meet

the provisions of subsection (ab), the fuel will be taxable.


18



cd) In general, exempt international fuel shall be treated in the same manner as

bonded fuel with respect to the sale, accountability and eligibility of tax

exemption.

de) Aviation fuel used as provided in this Section may be commingled with other jet

fuel within the hydrant systems at qualifying airports. However, accurate records

must be maintained with respect to the purchaser, gallonage of fuel loaded, flight

number, aircraft tail number, ultimate foreign destination and intermediate stops.

Beginning July 1, 2013, records must also contain information that indicates that

the flight was engaged in foreign trade or trade between the United States or any

of its possessions and transported at least one individual or package for hire from

the city of origination to the city of final destination on the same aircraft, without

regard to a change in flight number of that aircraft.

ef) EXAMPLES:

Aircraft A, Aircraft B, and Aircraft C are operated by an air common carrier.

1) Situation 1. A flight originates in the United States and its final

destination is outside the United States. Aircraft A fuels up in Chicago,

Illinois for a flight bound for Vancouver, Canada. En route to Vancouver,

Aircraft A stops in Seattle, Washington. The flight from Chicago to

Seattle is designated Flight No. 111 and the flight from Seattle to

Vancouver is designated Flight No. 333. Although the flight numbers

change, the aircraft does not change. Aircraft A transports at least one

person or package for hire from Chicago to Vancouver.

Determination 1. Aircraft A is engaged in foreign trade within the

meaning of Section 2-5 of the Act. Aircraft A's flight originates within the

United States (Chicago) bound for a destination outside the United States

(Vancouver), and Aircraft A transports for hire at least one person or

package from Chicago to Vancouver. The intermediate stop in Seattle, en

route to Vancouver, does not negate the exemption. Thus, the fuel loaded

into the aircraft in Chicago is exempt from tax. The change in the flight

number does not affect the determination of whether the aircraft is

engaged in foreign trade as long as the aircraft remains the same and at

least one person or package was transported for hire from Chicago to

Vancouver.


18



2) Situation 2. A flight originates outside the United States and its final

destination is inside the United States. Aircraft B flies from Cancun,

Mexico to New York City, New York. En route to New York City,

Aircraft B stops in Chicago, Illinois to refuel. The flight from Cancun to

Chicago is designated Flight No. 555 and the flight from Chicago to New

York City is designated Flight No. 777. Although the flight numbers

change, the aircraft does not change. Aircraft B transports at least one

person or package for hire from Cancun to New York City.

Determination 2. Aircraft B is engaged in foreign trade within the

meaning of Section 2-5 of the Act. Aircraft B's flight originates outside of

the United States (Cancun) bound for a destination within the United

States (New York City), and Aircraft B transports for hire at least one

person or package from Cancun to New York City. The stop in Chicago is

an intermediate stop in the United States, en route to New York City.

Thus, the fuel loaded into the aircraft in Chicago is exempt from tax. The

change in the flight numbers does not affect the determination of whether

the aircraft is engaged in foreign trade as long as the aircraft remains the

same and at least one person or package is transported for hire from

Cancun to New York City.

3) Situation 3. A flight originates within the United States and its final

destination is within the United States. Aircraft C fuels up in Chicago,

Illinois for a flight destined for Dallas, Texas. Aircraft C transports

persons for hire from Chicago to Dallas, some of whom will transfer to

Aircraft A for a flight from Dallas to Acapulco, Mexico.

Determination 3. Aircraft C is not engaged in foreign trade or in trade

between the United States and any of its possessions within the meaning

of Section 2-5 of the Act. Aircraft C did not transport at least one person

or package for hire from a city of origination within the United States

bound for a city of final destination outside the United States or any of its

possessions, even though some of the passengers' final destinations were

outside the United States. Aircraft C's flight is only between two cities

within the United States (Chicago to Dallas). Thus, the fuel loaded into

the aircraft in Chicago is not exempt from tax.

4) Situation 4. A flight originates in the United States and its destination is a

city in a possession of the United States. Aircraft B fuels up in Chicago,


18



Illinois for a flight to San Juan, Puerto Rico. En route to San Juan,

Aircraft B makes a stop in Savannah, Georgia. The flight from Chicago to

Savannah is designated Flight No. 1122 and the flight from Savannah to

San Juan is designated Flight No. 708. Although the flight number

changes, the aircraft does not. Aircraft B transports two persons from

Chicago to San Juan on the same plane.

Determination 4. Aircraft B is engaged in foreign trade between the

United States and one of its possessions within the meaning of Section 2-5

of the Act. Aircraft B's flight originates in Chicago bound for San Juan,

and Aircraft B transports for hire at least one person or package from

Chicago to San Juan. The stop in Savannah is an intermediate stop within

the United States during a flight to San Juan. The change in the flight

number does not affect the determination of whether the flight is engaged

in foreign trade as long as the aircraft remains the same. Thus, the fuel

loaded into the aircraft in Chicago is exempt from tax.


Section 130.325 Graphic Arts Machinery and Equipment Exemption (Repealed)

a) General. Through June 30, 2003, and beginning again on September 1, 2004

through August 30, 2014, notwithstanding the fact that sales may be at retail, the

Retailers' Occupation Tax does not apply to the sale of machinery and equipment,

including repair and replacement parts, both new and used and including that

manufactured on special order to be used primarily in graphic arts production.

The exemption extends to purchases by lessors who will lease the property for use

primarily in graphic arts production. Taxpayers must certify the use of the

equipment they are purchasing to their suppliers. (See subsection (i) of this

Section.) By statute, this exemption was repealed June 30, 2003 (Public Act 93-

24; effective June 20, 2003). Pursuant to Public Act 93-840, effective July 30,

2004, this exemption was reenacted without any specific sunset date.

Subsequently, Public Act 96-116 added a sunset date for this exemption of

August 30, 2014.

b) Graphic Arts Production. This term defines the types of entities eligible to claim

this exemption. Beginning July 30, 2009, in addition to the requirements

contained in subsection (b)(1)(A), an additional requirement was added as set


18



forth in subsection (b)(1)(B). Provisions effective August 13, 1999 through June

30, 2003, and beginning again on September 1, 2004 through August 30, 2014:

1) Graphic arts production has the following meanings and applications:

A) Graphic arts production means printing, including ink jet printing,

by one or more of the processes described in Groups 323110

through 323122 of Subsector 323, Groups 511110 through 511199

of Subsector 511, and Group 512230 of Subsector 512 of the North

American Industry Classification System (NAICS) published by the

U.S. Office of Management and Budget, 1997 edition (no

subsequent amendments or editions are included). Graphic arts

production does not include the transfer of images onto paper or

other tangible personal property by means of photocopying or

final printed products in electronic or audio form, including the

production of software or audio-books. (Section 2-30 of the Act)

Groups 323110 through 323122 of Subsector 323, Groups 511110

through 511199 of Subsector 511, and Group 512230 of Subsector

512 include printing upon apparel and textile products, paper,

metal, glass, plastics, and other materials except fabric (grey

goods). Printing upon grey goods is part of the process of

finishing fabric and is included in the NAICS Textile Mills

subsector in Industry 31331, Textile and Fabric Finishing Mills.

B) On and after July 30, 2009, in addition to the requirements

contained in subsection (b)(1)(A), P.A. 96-116 imposes the

additional requirement that the qualifying graphic arts machinery

and equipment be used primarily in the production of tangible

personal property for wholesale or retail sale or lease. Persons

engaged primarily in the business of printing or publishing

newspapers or magazines that qualify as newsprint and ink, by one

or more of the processes described in Groups 511110 through

511199 of subsector 511 of the North American Industry

Classification System published by the U.S. Office of Management

and Budget, 1997 edition, are deemed to be engaged in graphic

arts production. [35 ILCS 120/2-30]. This additional requirement

extends to and applies to repair and replacement parts, both new

and used and including equipment that is manufactured on special

order to be used primarily in graphic arts production. The


18



following are examples of activities that illustrate the new

requirement that the machinery must also be used primarily (over

50%) in the production of tangible personal property for wholesale

or retail sale or lease:

i) A company that purchases graphic arts machinery and

equipment used to print materials for its internal

consumption is not deemed to be engaged in graphic arts

production because the printed materials it prints are not for

sale.

ii) A manufacturer that prints catalogs of its products and

distributes them without charge to potential customers is

not deemed to be engaged in graphic arts production

because the catalogs it prints are not for sale.

iii) A printer who prints bulletins as part of its sale of service to

a church is engaged in graphic arts production.

iv) Printer A subcontracts with Printer B to print greeting cards

that Printer A sells to retailers. Printer B is engaged in

graphic arts production.

v) An engineering firm is conducting a seminar for local

businesses and contracts with Printer to print materials that

are distributed to seminar participants. Printer is engaged

in graphic arts production because it is printing tangible

personal property for sale as part of its sale of service.

vi) Company A is in the business of printing the local weekly

newspaper that qualifies as newsprint and ink. (See Section

130.2105 for what qualifies as newsprint and ink.)

Company A is engaged in graphic arts production.

vii) A retailer contracts with a printer to print holiday catalogs

to be sold at retail. Printer is engaged in graphic arts

production because it is printing tangible personal property

for sale as part of its sale of service.


18



viii) A retailer prints its own sale fliers and distributes them to

potential customers. Retailer is not engaged in graphic arts

because it is not printing the fliers for sale.

ix) A manufacturer purchases graphic arts machinery and

equipment to be used primarily for the production of office

manuals and materials for internal use only. Occasionally,

the manufacturer will print catalogs to be sold to promote

its year-end inventory sale. The manufacturer is not

engaged in graphic arts production because it does not use

its equipment primarily (over 50%) in the production of

tangible personal property for sale.

x) Book Binding. Company A is in the business of binding

books in the personal collections of individuals and entities.

A law firm contracts with Company A to rebind its

collection of old law books. Company A is engaged in

graphic arts production because it is engaged in an activity

involving the binding, collating or finishing of the graphic

arts product as part of its sale of service. (See subsection

(c)(4)(C).)

xi) Company A is printing a "How To Manual" to be sold at

retail and contracts with Printer to have the manual bound.

Printer is engaged in graphic arts production both because

the manual being bound is being printed to be sold, and,

also, the activity involves the binding, collating or

finishing of the graphic arts product as part of its sale of

service.

xii) A law firm binds and collates its legal briefs and office

manuals in-house. Law firm is not engaged in graphic arts

production because the legal briefs and office manuals are

not for sale.

C) The North American Industry Classification System referenced in

subsection (b)(1) can be obtained from the U.S. Department of

Commerce, National Technical Information Service, 5285 Port

Royal Road, Springfield, Virginia 22161 (Phone: 1-800-553-


18



6847). The Department also maintains a copy of this information,

which may be obtained upon request and at cost, from the Legal

Services Office, 5-500, 101 West Jefferson Street, Springfield,

Illinois 62794.

D) The exemption applies to machinery and equipment used in

graphic arts production processes, as those processes are described

in the NAICS. While the NAICS subsectors referenced in

subsection (b)(1)(A) describe types of graphic arts establishments

that typically engage in graphic arts production, the exemption is

not limited to qualifying machinery and equipment used by the

establishments described in the NAICS, but rather, to qualifying

machinery and equipment used in the printing processes described

in the NAICS (for example, lithography, gravure, flexography,

screen printing, quick printing, digital printing and trade services

such as prepress and binding and finishing services).

E) The exemption includes printing by methods of engraving,

letterpress, lithography, gravure, flexography, screen, quick and

digital printing. It also includes the printing of manifold business

forms, blankbooks, looseleaf binders, books, periodicals and

newspapers. Included in the exemption are prepress services

described in Subsector 323122 of the NAICS (e.g., the creation

and preparation of negative or positive film from which plates are

produced, plate production, cylinder engraving, typesetting and

imagesetting). The exemption also includes trade binding and

related printing support activities set forth in Subsector 323121 of

the NAICS (e.g., tradebinding, sample mounting and postpress

services, such as book or paper bronzing, edging, embossing,

folding, gilding, gluing, die cutting, finishing, tabbing and

indexing).

F) "Digital printing and quick printing" mean the printing of graphical

text or images by a process utilizing digital technology, as

provided in subsection (b)(4) of this Section. It also includes the

printing of what is commonly known as "digital photography"

(e.g., use of a qualifying integrated computer and printer system to

print a digital image). The exemption extends only to machinery

and equipment, including repair and replacement parts, used in the


18



act of production. Accordingly, no other type or kind of tangible

personal property will qualify for the exemption, even though it

may be used primarily in the graphic arts business.

2) Machinery means major mechanical machines or major components of

machines contributing to graphic arts production. Equipment means any

independent device or tool separate from any machinery but essential to

the graphic arts production process; or any sub-unit or assembly

comprising a component of any machinery or auxiliary, adjunct, or

attachment parts of machinery. Beginning August 23, 2001, equipment

includes chemicals or chemicals acting as catalysts but only if the

chemicals or chemicals acting as catalysts effect a direct and immediate

change upon a graphic arts product.

A) The exemption does not include hand tools, supplies such as rags,

lubricants, adhesives, solvents, ink, dyes, chemicals except as

described in this subsection (b)(2), negatives, acids or solutions,

fuels, electricity and steam or water. The exemption also does not

include items of personal apparel, such as gloves, shoes, glasses,

goggles, coveralls, aprons and masks.

B) This exemption does not include the sale of materials to a

purchaser who manufactures those materials into an otherwise

exempted type of graphic arts machinery or equipment.

C) Machinery and equipment does not include foundations or special

purpose buildings to house or support graphic arts machinery and

equipment.

D) Machinery and equipment does not include computer software

unless purchased preinstalled in qualifying computer equipment.

Computer software not purchased preinstalled in qualifying

computer equipment, including upgrades or new software, is

subject to tax.

3) Primary Use. The law requires that machinery and equipment be used

primarily in graphic arts production.


18



A) Therefore, machinery that is used primarily in an exempt process

and partially in a nonexempt manner would qualify for the

exemption. However, the purchaser must be able to establish

through adequate records that the machinery or equipment is used

over 50% in an exempt manner in order to claim the exemption.

B) The fact that particular machinery or equipment may be considered

essential to the conduct of the business of graphic arts production

because its use is required by law or practical necessity does not,

of itself, mean the machinery or equipment is used primarily in


4) By way of illustration and not limitation, the following activities will

generally be considered graphic arts production:

A) Prepress or preliminary processes. Prepress or preliminary proce

sses include the steps required to transform an original into a state

that is ready for reproduction by printing. Prepress or preliminary

processes include typesetting, film production, color separation,

final photocomposition (e.g., image assembly and imposition

(stripping)) and platemaking. Prepress or preliminary processes

include the manipulation of images or text in preparation for

printing for the purpose of conforming those images to the specific

requirements of the printing process being utilized. For example,

the images must be conformed for a specific signature layout and

formatted to a specific paper size. In addition, colors must be

calibrated to the specific type of paper or printing process utilized,

so that they conform to customer specifications. Prepress or

preliminary processes do not, however, include the creation or

artistic enhancement of images that will later be reproduced in

printed form by a graphic arts process. For example, the creation

of an advertisement pursuant to customer direction, or

enhancement of a photograph received from a customer by adding

a border, text or rearranging the placement of images in the

photograph, is not the performance of a qualifying prepress or

preliminary process. Prepress or preliminary processes can be

performed at the printing facility, a separate prepress or

preliminary facility, the customer's location, or other location. The


18



following are examples of equipment used in qualifying prepress

or preliminary activities:

i) Large scale, fixed-position cameras used to photograph two

dimensional copy to produce negatives or positives used in

the production of plates; film processors; scanners;

imposetters; RIP (raster image processor) equipment;

proofing equipment; imagesetters, plate processors,

helioklischographs and computer-to-plate and computer-to-

press equipment.

ii) Computers that qualify include computers used primarily to

receive, store and manipulate images to conform them to

the requirements of a specific printing process that will

later be performed. Computers used in connection with

what is commonly referred to as "digital photography" will

qualify if used primarily to format the graphic image that

will be printed (e.g., used to format the size and layout of

images to be printed). If the computers are primarily used,

however, to apply background colors, borders or other

artistic enhancements, or to view and select particular

digital images to be printed, they will not qualify for the

exemption.

iii) Digital cameras do not qualify if they are used primarily to

create an original image that will later be reproduced by a

graphic arts process.

iv) Servers used primarily to transfer images and text to

qualifying equipment qualify, but do not qualify if used

primarily in a non-exempt activity (for example, servers

used to maintain an in-house email system).

v) Scanners used primarily to input previously created images

or text that will be reproduced by a graphic arts process

qualify for the exemption.

B) The transfer of images or text from computers, plates, cylinders or

blankets to paper or other stock to be printed. This process begins


18



when paper is introduced on the press. Examples of qualifying

equipment used in this activity include printing plates, printing

presses, blankets and rollers, automatic blanket washers, scorers

and dies, folders, punchers, stackers, strappers used in the

pressroom for signatures, dryers, chillers and cooling towers.

Laser or ink jet printers used to print on paper or other stock are

also included in this exemption.

i) Equipment used to handle or convey printed materials

between production stations in an integrated on-line

graphic arts process is included in the exemption (e.g., a

forklift or bindery cart will qualify for the exemption if it is

primarily used to convey book covers that have been

printed and cut to binding and finishing equipment).

ii) Computer equipment used to operate exempt graphic arts

equipment also qualifies for the exemption.

iii) Equipment, such as transformers, used primarily to provide

power to qualifying printing presses or bindery lines,

qualifies for the exemption. Similarly, heating and cooling

machinery or equipment used to produce an environment

necessary for the production of printed material qualifies

for the exemption. For example, humidity-control

equipment used to reduce static during the printing process

qualifies for the exemption.

C) Activities involving the binding, collating or finishing of the

graphic arts product. Equipment used in these activities includes,

for instance, binders, packers, gatherers, joggers, trimmers,

selectronic equipment, blow-in card feeders, inserters, stitchers,

gluers, spiral binders, addressing machines, labelers and ink-jet

printers.

i) Machinery or equipment used to convey materials to

packaging areas after the graphic arts product has been

printed, bound and finished qualifies for the exemption.

That equipment includes, for instance, conveyor systems,


18



hoists or other conveyance mechanisms used to direct the

final printed product into packaging areas.

ii) Machinery or equipment used to package materials after the

graphic arts product has been printed, bound and finished

qualifies for the exemption. Packaging equipment

includes, for instance, cartoning systems, palletizers, stretch

wrappers, strappers, shrink tunnels and similar equipment.

5) By way of illustration and not limitation, the following activities will

generally not be considered to be graphic arts production:

A) The use of machinery and equipment in general maintenance or

repair work on production machinery or equipment. This includes

hand tools, welding tools, racks, and other machinery and

equipment used in the maintenance area.

B) The use of machinery and equipment (e.g., fork lifts, roll clamps

and roll grabbers) to convey raw materials to the press does not

qualify for the exemption.

C) The use of machinery or equipment to convey materials to final

storage or shipping areas. That equipment includes, for instance,

fork lifts used primarily to place the packaged printed product into

final storage or shipping areas.

D) The use of machinery or equipment to gather information, track

jobs or to perform data-related functions prior to a qualifying

prepress activity (e.g., computers used primarily to edit or create

text, data, or other copy). That equipment includes items such as

inventory tracking devices and bar-code readers.

E) The use of machinery or equipment to photocopy printed matter.

A copier that is capable of printing images or text transmitted to it

in digital form will qualify. However, a copier that produces

photocopies by means of xerographic technology is subject to tax.

F) The use of machinery or equipment in managerial, sales or other

non-production, non-operational activities including inventory


18



control, production scheduling, purchasing, receiving, accounting,

physical management, general communications, plant security,

marketing, or personnel recruitment, selection or training. Waste

disposal equipment (e.g., equipment used to contain and recapture

paper dust) does not qualify for the exemption. However, for

information regarding the pollution control exemption, see Section

130.335 of this Part. Similarly, baling equipment used to recycle

paper waste does not qualify under this exemption. However, the

manufacturing machinery and equipment exemption may be

applicable. (See Section 130.330 of this Part.)

G) The use of machinery and equipment to prevent or fight fires or to

protect employees, such as protective masks, respirators, first-aid

kits, gloves, coveralls and goggles, or for safety, accident

protection or first-aid, even though that machinery or equipment

may be required by federal, State or local law.

H) The use of machinery or equipment for general ventilation,

heating, cooling, climate control or general illumination, except

when the machinery or equipment is used to produce an

environment necessary for the production of printed material.

6) An item of machinery or equipment that initially is used primarily in

graphic arts production and having been so used for less than one-half of

the useful life and is converted to primarily nonexempt uses will become

subject to the tax at the time of the conversion. The tax will be collected

on that portion of the price of the machinery or equipment as was

excluded from tax at the time the sale or purchase was made.

7) Sales to Lessors of Graphic Arts Equipment. The statute provides for the

purchase of graphic arts machinery and equipment by lessors who will

lease that machinery and equipment for use in graphic arts production.

Therefore, if the purchaser of the machinery or equipment leases the

machinery and equipment to a lessee who uses it in an exempt manner, the

sale to the purchaser-lessor will be exempt from tax. A supplier may

exclude these sales from his or her taxable gross receipts provided that the

purchaser-lessor provides to him or her a properly completed exemption

certificate and the information contained in the certificate would support

an exemption if the sale were made directly to the lessee. Should a


18



purchaser-lessor subsequently lease the machinery or equipment to a

lessee who does not use it in an exempt manner that would qualify directly

for the exemption, the purchaser-lessor will become liable for the tax from

which he or she was previously exempted.

8) Exemption Certification. Purchasers wishing to claim the exemption must

certify to their suppliers that the machinery and equipment will be used

primarily for graphic arts production. Retailers must maintain the

certificates in their books and records. The use of blanket certificates of

exemption will be permitted. The certificate must include the seller's

name and address, the purchaser's name and address and a statement that

the property purchased will be used primarily in graphic arts production.

So long as the retailer obtains a certificate of exemption that contains all

the information required in this subsection (b)(8), the retailer need not

verify that the equipment he or she sells is actually used as graphic arts

production equipment. If a graphic arts producer or lessor purchases at

retail from a vendor who is not registered to collect Illinois Use Tax, the

purchaser must maintain a copy of the certification in his or her records to

support the deduction taken on the return.

c) Graphic Arts Production. Provisions in effect until August 13, 1999:

1) Graphic arts production means printing by one or more of the common

processes or graphic arts production services as those processes and

services are defined in Major Group 27 of the U.S. Standard Industrial

Classification Manual. (Section 2-30 of the Act) The exemption includes

printing by letterpress, lithography, gravure, screen, engraving and

flexography and includes printing trade services as typesetting, negative

production, plate production, bookbinding, finishing, looseleaf binder

production and other services set forth in Major Group 27. The exemption

extends only to machinery and equipment used in the act of production.

Accordingly, no other type or kind of tangible personal property will

qualify for the exemption, even though it may be used primarily in the

graphic arts business.

2) Machinery means major mechanical machines or major components of

machines contributing to graphic arts production. Equipment means any

independent device or tool separate from any machinery but essential to

the graphic arts production process; or any sub-unit or assembly


18



comprising a component of any machinery or auxiliary, adjunct or

attachment or parts of machinery. The exemption does not include hand

tools, supplies, lubricants, adhesives or solvents, ink, chemicals, dyes,

acids or solutions, fuels, electricity, steam or water, items of personal

apparel such as gloves, shoes, glasses, goggles, coveralls, aprons and

masks, or such items as negatives, one-time use printing plates as opposed

to multiple use cylinders or lithographic plates, dies, etc., that are

expendable supplies. This exemption does not include the sale of

materials to a purchaser who manufactures these materials into an

otherwise exempted type of graphic arts machinery or equipment.

3) Machinery and equipment does not include foundations for or special

purpose buildings to house or support graphic arts machinery and

equipment.

4) Primary Use.

A) The law requires that machinery and equipment be used primarily

in graphic arts production. Therefore, machinery that is used

primarily in an exempt process and partially in a nonexempt

manner, would qualify for the exemption. However, the purchaser

must be able to establish adequate records that the machinery or

equipment is used over 50% in an exempt manner in order to claim

the deduction.

B) The fact that particular machinery or equipment may be considered

essential to the conduct of the business of graphic arts production

because its use is required by law or practical necessity does not,

of itself, mean the machinery or equipment is used primarily in


C) By way of illustration and not limitation, the following activities

will generally be considered to constitute an exempt use:

i) Machinery and equipment to directly produce typesetting,

negatives and plates including final photo-composition and

color separation processes.


18



ii) The use of machinery and equipment to transfer images or

text from type or plates or image carriers to paper or other

stock to be printed.

iii) Equipment to collate, bind or finish the graphic arts product

covered in subsection (c)( 2).

iv) Large scale, fixed-position cameras used to photograph two

dimensional copy to produce negatives or positives used in

the production of plates.

D) By way of illustration and not limitation, the following activities

will generally not be considered to be graphic arts production:

i) The use of machinery and equipment in general

maintenance or repair work on production machinery or

equipment.

ii) The use of machinery or equipment to store, convey,

handle or transport materials.

iii) The use of machinery or equipment to place the printed

product in the container package or wrapping in which the

property is normally sold to the ultimate consumer of the

property.

iv) The use of machinery or equipment to gather information,

photograph, transmit data, edit text, prepare drafts or copy

or perform other date-related functions prior to final

composition, typesetting, engraving or other preparation of

the image carrier.

v) Xerographic or photocopying machines do not qualify for

the exemption.

vi) Word processing, text editing machinery or computerized

equipment unless it is an integral part of a final graphic arts

operation, such as a computer-controlled typesetting


18



machine or equivalent that is used primarily in graphic arts

production.

vii) Computers used to store data and generate text, maps,

graphs or other print-out formats unless the product is an

image carrier to be used to repetitively transfer images by

printing. For example, a computer that generates an image

that may later be reproduced by a graphic arts process

would not qualify while a computer-controlled engraving

system that produces printing cylinders and computer-

controlled digital typesetting equipment would qualify.

viii) The use of machinery or equipment in managerial, sales or

other non-production, non-operational activities including

disposal of waste, inventory control, production scheduling,

purchasing, receiving, accounting, physical management,

general communications, plant security, sales, marketing,

product exhibition and promotion, or personnel

recruitment, selection or training.

ix) The use of machinery and equipment to prevent or fight

fires or to protect employees, such as protective masks,

gloves, coveralls and goggles or for safety, accident

protection or first-aid even though the machinery or

equipment may be required by law.

x) The use of machinery or equipment for general ventilation,

heating, cooling, climate control or general illumination.

E) An item of machinery or equipment that initially is used primarily

in graphic arts production and having been so used for less than

one-half of the useful life is converted to primarily nonexempt

uses, will become subject to the tax at the time of the conversion.

The tax will be collected on the portion of the purchase price of the

machinery or equipment as was excluded from tax at the time the

sale or purchase was made.

5) Sales to Lessors of Graphic Arts Equipment.


18



The statute provides for the purchase of graphic arts machinery and

equipment by lessors who will lease the machinery and equipment for use

in graphic arts production. Therefore, if the purchaser of the machinery or

equipment leases the machinery and equipment to a lessee who uses it in

an exempt manner, the sale to the purchaser-lessor will be exempt from

tax. A supplier may exclude such sales from his or her taxable gross

receipts provided that the purchaser-lessor provides to him or her a

properly completed exemption certificate and the information contained

therein would support an exemption if the sale were made directly to the

lessee. Should a purchaser-lessor subsequently lease the machinery or

equipment to a lessee who does not use it in an exempt manner that would

qualify directly for the exemption, the purchaser-lessor will become liable

for the tax from which he or she was previously exempted.

6) Exemption Certification.

Purchasers wishing to claim the exemption must certify to their suppliers

that the machinery and equipment will be used primarily for graphic arts

production. Retailers must maintain the certificates in their books and

records. The use of blanket certificates of exemption will be permitted. If

a graphic arts producer or lessor purchases at retail from a vendor who is

not registered to collect Illinois Use Tax, the purchaser must maintain a

copy of the certification in his or her records to support the deduction

taken on the return. The certificate must include the seller's name and

address, the purchaser's name and address and a statement that the

property purchased will be used primarily in graphic arts production.

7) For the purpose of determining the portion of the proceeds or cost that

may be excluded from tax, a sale of property will be deemed to be made as

of the date of delivery of the property. If a single sale of property is made

that calls for multiple deliveries unrelated to payments and a portion of

the sold property is delivered when one fraction of the proceeds or cost is

excludable and the remainder of the property is delivered when a different

fraction of the proceeds or cost is excludable, the earliest date of delivery

of any of the property will determine the portion of the proceeds or cost of

the entire sale that may be excluded in computing the tax that is due on

that entire sale. However, even when a contract provides for multiple

deliveries, if a payment is closely related in time and quantity to the

property delivered, the date of each delivery will determine the portion of


18



the proceeds or cost that may be excluded in computing the tax that is due

on that payment.

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

Section 130.331 Manufacturer's Purchase Credit (Repealed)

a) Earning Manufacturer's Purchase Credit

1) Effective January 1, 1995 through June 30, 2003, and beginning again on

September 1, 2004 through August 30, 2014, a manufacturer may earn a

credit when purchasing exempt manufacturing machinery and equipment.

Effective July 1, 1996 through June 30, 2003, and beginning again on

September 1, 2004 through August 30, 2014, a graphic arts producer may

earn a credit when purchasing exempt graphic arts machinery and

equipment. The credit is known as the Manufacturer's Purchase Credit or

MPC. The amount of credit is limited to a percentage of the 6.25% State

rate of tax that would have been incurred on the purchase of exempt

manufacturing machinery and equipment. (See Section 130.325 and

Section 130.330 of this Part.) By statute, MPC was repealed June 30, 2003

(Public Act 93-0024; effective June 20, 2003). Pursuant to Public Act 93-

0840, effective July 30, 2004, MPC was reenacted without any specific

sunset date. Subsequently, Public Act 96-116 was enacted to add a sunset

date for MPC of August 30, 2014.

2) The percentage of credit earned based upon exempt purchases increases

over time as follows:

A) 15% for purchases made on or before June 30, 1995.

B) 25% for purchases made after June 30, 1995, and on or before

June 30, 1996.

C) 40% for purchases made after June 30, 1996, and on or before

June 30, 1997.

D) 50% for purchases made on or after July 1, 1997. (Section 3-85 of

the Use Tax Act)


18



3) The credit is earned at the time qualifying manufacturing machinery and

equipment or qualifying graphic arts machinery and equipment is

purchased. A qualifying purchase is considered to take place as of the

date of invoice of that qualifying manufacturing machinery and

equipment. The credit is considered to be earned on qualifying

manufacturing machinery and equipment or qualifying graphic arts

machinery and equipment that is purchased under an installment contract

or progress payment contract at the time that each installment or progress

payment is invoiced. The amount of credit that is earned is based on the

amount of tax that would have been due on that portion of the purchase

price that is invoiced.

4) No credit is earned for exempt purchases under the expanded Enterprise

Zone exemption, as described in Section 130.1951(b) of this Part, unless

that purchase would also qualify as exempt under the Manufacturing

Machinery and Equipment Exemption described in Section 130.330 of this

Part or under the Graphic Arts Machinery and Equipment Exemption

described in Section 130.325 of this Part.

5) No credit is earned for a purchase of tangible personal property that

qualifies as an occasional sale, as described in Section 130.110 (a) of this

Part.

6) No credit is earned for a purchase of tangible personal property that is

purchased for resale. (See Section 130.210 (a) of this Part.)

b) Using Manufacturer's Purchase Credit

1) The credit may be used to satisfy Use Tax or Service Use Tax liability

incurred on the purchase of qualifying production related tangible personal

property. (See Section 3-85 of the Use Tax Act [35 ILCS 105/3-85] and

Section 3-70 of the Service Use Tax Act [35 ILCS 110/3-70].) Credit

earned prior to July 1, 2003 cannot be used after September 30, 2003.

Credit earned on and after September 1, 2004 may only be used to satisfy

tax liabilities for purchases of production related tangible personal

property made on and after September 1, 2004 through August 30, 2014.

(Section 3-85 of the Use Tax Act and Section 3-70 of the Service Use Tax

Act) The credit may be applied only to the 6.25% State rate of tax

incurred. Prior to the credit being earned, credit may not be used on a


18



qualifying purchase, except as provided in subsection (e)(7)(B). However,

the credit may be used the same day that it is earned, but must be followed

by proper reporting of the credit as set out in subsections (c), (d) and (e).

For purposes of when to use accumulated Manufacturer's Purchase Credit,

a manufacturer or graphic arts producer is always safe to use the credit in a

month after the month in which the credit was earned.

2) The credit is non-transferable and may not be used to satisfy the tax

liability of any taxpayer other than the manufacturer or graphic arts

producer that earned the credit. Notwithstanding any other provision of

this Section, the credit earned prior to July 1, 2003 cannot be used after

September 30, 2003. (Section 3-85 of the Use Tax Act and Section 3-70 of

the Service Use Tax Act) Credit earned on and after September 1, 2004

may only be used to satisfy tax liabilities for purchases of production

related tangible personal property made on and after September 1, 2004

through August 30, 2014.

A) A manufacturer or graphic arts producer may enter into a written

contract with a construction contractor to authorize that

construction contractor to utilize Manufacturer's Purchase Credit

accumulated by the manufacturer or graphic arts producer for the

purchase of tangible personal property to be installed into real

estate within a manufacturing or graphic arts production facility for

use in a production related process. The written contract must

specify the specific dollar amount of Manufacturer's Purchase

Credit that the construction contractor is authorized to utilize on

behalf of the manufacturer or graphic arts producer.

B) To properly utilize the Manufacturer's Purchase Credit on behalf of

the manufacturer or graphic arts producer when purchasing

tangible personal property for installation into real estate within a

manufacturing or graphic arts production facility for use in a

production related process, the contractor must furnish the supplier

with information stating:

i) The manufacturer's or graphic arts producer's name and

address;

ii) The manufacturer's or graphic arts producer's registration or


18



resale number; and

iii) A statement that a specific amount of Use Tax or Service

Use Tax liability, not to exceed 6.25% of the selling price,

is being satisfied with the Manufacturer's Purchase Credit.

C) To properly utilize the Manufacturer's Purchase Credit on behalf of

the manufacturer or graphic arts producer when purchasing

tangible personal property for installation into real estate within a

manufacturing facility, the contractor must furnish the

manufacturer or graphic arts producer with information stating:

i) Each vendor's or supplier's name and address (including, if

applicable, either the vendor's or supplier's registration

number or Federal Employer Identification Number);

ii) The date of purchase, purchase price and description of the

tangible personal property purchased; and

iii) The amount of the Use Tax or Service Use Tax liability,

not to exceed 6.25% of the selling price, that was satisfied

by the Manufacturer's Purchase Credit utilized for each

purchase.

D) A credit reported under a particular Illinois Business Tax number

may not be transferred to a related but separately registered

division or company.

3) Production related tangible personal property means:

A) All tangible personal property used or consumed in a production

related process by a manufacturer in a manufacturing facility in

which a manufacturing process described in Section 2-45 of the

Retailers' Occupation Tax Act takes place.

B) All tangible personal property used or consumed in a production

related process by a graphic arts producer in a graphic arts

production facility in which a graphic arts production process

described in Section 2-30 of the Retailers' Occupation Tax Act


18



takes place.

C) All tangible personal property used or consumed by a

manufacturer or graphic arts producer in research and development

regardless of use within or without a manufacturing or graphic arts

production facility. (See Section 3-85 of the Use Tax Act.)

4) By way of illustration and not limitation, the following uses of tangible

personal property will be considered production related:

A) Tangible personal property purchased by a manufacturer for

incorporation into real estate within a manufacturing facility for

use in a production related process; or tangible personal property

purchased by a construction contractor for incorporation into real

estate within a manufacturing facility for use in a production

related process pursuant to a written contract described in

subsection (b)(2)(A) of this Section.

B) Supplies and consumables used in a manufacturing facility,

including fuels, coolants, solvents, oils, lubricants, cleaners and

adhesives.

C) Hand tools, protective apparel and fire and safety equipment used

or consumed in a manufacturing facility.

D) Tangible personal property used or consumed in a manufacturing

facility for purposes of pre-production and post-production

material handling, receiving, quality control, inventory control,

storage, staging and packing for shipping or transportation.

E) Fuel used in a ready-mix cement truck to rotate the mixing drum in

order to manufacture concrete or cement. However, only the

amount of fuel used to rotate the drum will qualify. The amount of

fuel used or consumed in transportation of the truck will not

qualify as production related tangible personal property. The

amount of fuel used in a qualifying manner to rotate the drum may

be stated as a percentage of the entire amount of fuel used or

consumed by the ready-mix truck.


18



F) Tangible personal property purchased by a graphic arts producer

for incorporation into real estate within a graphic arts production

facility for use in a production related process; or tangible personal

property purchased by a construction contractor for incorporation

into real estate within a graphic arts production facility for use in a

production related process pursuant to a written contract described

in subsection (b)(2)(A) of this Section.

G) Supplies and consumables used in a graphic arts production

facility, including solvents, oils, lubricants, cleaners and adhesives.

Paper and ink that is transferred to a customer does not qualify as

production related tangible personal property.

H) Hand tools, protective apparel and fire and safety equipment used

or consumed in a graphic arts production facility.

I) Tangible personal property used or consumed inside a graphic arts

facility for purposes of preliminary or pre-press production, pre-

production material handling, receiving, quality control, inventory

control, storage, staging, sorting, labeling, mailing, tying, wrapping

and packaging.

5) By way of illustration and not limitation, the following uses of property

will not be considered production related:

A) The use of trucks, trailers and motor vehicles that are required to

be titled or registered pursuant to the Illinois Motor Vehicle Code

[625 ILCS 5], and aircraft or watercraft required to be registered

with an agency of State or federal government.

B) Office supplies, computers, desks, copiers and equipment that are

used for sales, purchasing, accounting, fiscal management,

marketing and personnel recruitment or selection activities, even if

the use takes place within a manufacturing or graphic arts

production facility.

C) Tangible personal property used or consumed for aesthetic or

decorative purposes, including landscaping and artwork.


18



D) Tangible personal property used or consumed outside the

manufacturing or graphic arts production facility, including

tangible personal property listed in subsections (b)(4)(D) and

(b)(4)(I) with the exception of tangible personal property used or

consumed for research and development purposes.

E) Tangible personal property purchased by a construction contractor

for incorporation into a manufacturing or graphic arts production

facility, unless the purchase by the construction contractor was

made on behalf of a manufacturer or graphic arts producer

pursuant to a written contract described in subsection (b)(2)(A) of

this Section.

F) Except as otherwise provided in subsection (b)(2) of this Section,

tangible personal property transferred to a manufacturer's customer

or the customer of a person that is engaged in graphic arts

production. For example, paper and ink transferred to a customer

by a de minimis serviceman as described in 86 Ill. Adm. Code

140.108 that is engaged in graphic arts production is not

considered production related.

6) The credit may be used to satisfy the State portion (6.25%) of a Use Tax

or Service Use Tax liability arising under audit where the liability

established is the result of:

A) an erroneous claim of the Manufacturing Machinery and

Equipment Exemption provided in Section 2-45 of the Retailers'

Occupation Tax Act,

B) an erroneous claim of the Graphic Arts Machinery and Equipment

Exemption provided in Section 2-5(4) of the Retailers' Occupation

Tax Act, or

C) the manufacturer or graphic arts producer failing to self-assess and

remit Use Tax or Service Use Tax on the purchase of production

related tangible personal property.

(See Section 3-85 of the Use Tax Act and Section 3-70 of the Service Use

Tax Act.) The credit may only be used to satisfy the State portion (6.25%)


18



of a Use Tax or Service Use Tax liability incurred on the purchase of

qualifying production related tangible personal property. Under no

circumstances may the credit be used to satisfy penalty and interest or

other tax liability incurred by the manufacturer or graphic arts producer.

7) Credit may be used to satisfy the State portion (6.25%) of a qualifying Use

Tax or Service Use Tax liability incurred by a manufacturer or graphic arts

producer on a purchase of production related tangible personal property

when payment of tax must be made directly to the Department.

8) The credit expires December 31st of the second calendar year following

the calendar year in which the credit was earned. (See Section 3-85 of the

Use Tax Act and Section 3-70 of the Service Use Tax Act.) However, for

credit earned on or after June 30, 1995, the life of unreported credit may

be extended during the period of an agreed extension of the statute of

limitations as provided in subsection (e)(7).

9) A manufacturer or graphic arts producer may use credit to satisfy Service

Use Tax liability only when purchasing production related tangible

personal property transferred incident to a sale of service.

10) Notwithstanding any other provision of this Section, the credit earned

prior to July 1, 2003 cannot be used after September 30, 2003, including

to satisfy an audit liability. (Section 3-85 of the Use Tax Act and Section

3-70 of the Service Use Tax Act) Notwithstanding any other provision of

this Section, the credit earned on or after September 1, 2004 cannot be

used on a purchase of production related tangible personal property made

after August 30, 2014.

c) Reporting Manufacturer's Purchase Credit Earned or Used for Periods from

January 1, 1995 through June 29, 1995

1) In order to validate credit earned as the result of a qualifying purchase of

exempt manufacturing machinery and equipment or credit used on a

qualifying purchase, the manufacturer must report credit earned to the

Department in a timely manner. Failure to report credit earned will result

in expiration of the credit as of the date earned.

2) On forms prescribed or approved by the Department, a manufacturer must


18



report credit earned or used by the last day of the second month following

the month of creation or use of the credit. No credit report is required for

any month in which a manufacturer neither earned nor used credit.

Original invoices or copies of original invoices are not to be filed with the

Department.

3) Credit Use or Misuse Causing Expiration of Credit. Credit used, whether

properly or improperly, expires upon use and cannot be recreated once

used. The manufacturer may be liable for tax, penalty and interest on the

purchase of production related tangible personal property where expired

credit was used, in accordance with provisions of the Uniform Penalty and

Interest Act [35 ILCS 735]. The following represent examples of uses of

credit that will result in expiration of the credit:

A) Failure to report credit or use of credit.

B) Failure to timely report credit or use of credit.

C) Use of credit prior to actually earning credit as described in

subsection (a)(3).

D) Return of goods to supplier for full refund including tax where

credit was tendered in payment of tax. Credit expires once used

and cannot be recreated once used regardless of reason for return.

4) A purchaser earning Manufacturer's Purchase Credit must maintain

records, as to each purchase of manufacturing machinery and equipment

on which the purchaser earned Manufacturer's Purchase Credit, that

identify the following:

A) The vendor or supplier (including, if applicable, either the vendor's

or supplier's Illinois registration number or Federal Employer

Identification Number);

B) The date of purchase, purchase price and description of the exempt

manufacturing machinery and equipment; and

C) The amount of Manufacturer's Purchase Credit earned on that

purchase.


18



5) A purchaser using Manufacturer's Purchase Credit must maintain records,

as to each purchase of production related tangible personal property on

which the purchaser used Manufacturer's Purchase Credit to satisfy the

purchaser's Use Tax or Service Use Tax liability, that identify the

following:




B) The date of purchase, purchase price and description of the

production related tangible personal property; and

C) The amount of Manufacturer's Purchase Credit used to satisfy the

purchaser's Use Tax or Service Use Tax liability on that purchase.

6) As determined pursuant to audit by the Department, credit earned by

purchase of exempt machinery and equipment that has not been timely and

properly reported will result in expiration of the credit. Use of expired

credit in this situation may result in an assessment for tax, penalty and

interest on the subsequent purchase of production related tangible personal

property. Credit that was properly reported when earned but was not

timely and properly reported to the Department when used will likewise

expire resulting in an assessment for tax, penalty and interest on the

purchase of production related tangible personal property for which it was

offered in payment of Use Tax or Service Use Tax liability.

d) Reporting Manufacturer's Purchase Credit Earned or Used on June 30, 1995

1) The reporting requirements for Manufacturer's Purchase Credit were

changed by Public Act 89-89, effective June 30, 1995. In order to provide

consistent and easier reporting requirements for manufacturers utilizing

Manufacturer's Purchase Credit and the Department's Administration of

the Manufacturer's Purchase Credit program, manufacturers are required

to report Manufacturer's Purchase Credit earned or used on June 30, 1995,

under the methods described in subsection (c) of this Section. However,

the Manufacturer's Purchase Credit earned or used on that date will be

subject to the provisions described in subsection (e) of this Section


18



without the necessity of including those Manufacturer's Purchase Credits

in an Annual Report of Manufacturer's Purchase Credit Earned or an

Annual Report of Manufacturer's Purchase Credit Used.

2) A manufacturer filing an amended Annual Manufacturer's Purchase Credit

Report under subsection (e)(7) of this Section that includes Manufacturer's

Purchase Credit earned or used on June 30, 1995 must disclose that the

report includes Manufacturer's Purchase Credit earned or used on June 30,

1995.

e) Reporting Manufacturer's Purchase Credit Earned or Used for Periods on or after

July 1, 1995

1) In order to validate credit earned as the result of a qualifying purchase of

exempt manufacturing machinery and equipment or exempt graphic arts

machinery and equipment, the manufacturer or graphic arts producer must

report credit earned to the Department by signing and filing an Annual

Report of Manufacturer's Purchase Credit Earned for each calendar year

no later than the last day of the sixth month following the calendar year in

which the Manufacturer's Purchase Credit is earned. The Annual Report

of Manufacturer's Purchase Credit Earned shall be filed on forms

prescribed or approved by the Department and shall state, for each month

of the calendar year:

A) The total purchase price of all purchases of exempt manufacturing

machinery and equipment or graphic arts machinery and

equipment on which the credit was earned;

B) The total State Use Tax or Service Use Tax that would have been

due on those items;

C) The percentage used to calculate the amount of credit earned;

D) The amount of credit earned; and

E) Such other information as the Department may reasonably require.

(See Section 3-85 of the Use Tax Act.)

2) A purchaser earning Manufacturer's Purchase Credit must maintain


18



records, as to each purchase of manufacturing machinery and equipment

and graphic arts machinery and equipment on which the purchaser earned

Manufacturer's Purchase Credit, that identify the following:




B) The date of purchase, purchase price and description of the exempt

manufacturing machinery and equipment and graphic arts

machinery and equipment; and

C) The amount of Manufacturer's Purchase Credit earned on that

purchase.

3) In order to validate credit used to satisfy the tax liability on purchases of

production related tangible personal property, the manufacturer or graphic

arts producer must report credit used to the Department by signing and

filing an Annual Report of Manufacturer's Purchase Credit Used for each

calendar year no later than the last day of the sixth month following the

calendar year in which the Manufacturer's Purchase Credit is used. The

Annual Report of Manufacturer's Purchase Credit Used shall be filed on

forms prescribed or approved by the Department and shall state, for each

month of the calendar year:

A) The total purchase price of all production related tangible personal

property purchased from Illinois vendors or suppliers;

B) The total purchase price of all production related tangible personal

property purchased from out-of-State vendors or suppliers;

C) The total amount of Manufacturer's Purchase Credit used during

each month; and

D) Such other information as the Department may reasonably require.

(See Section 3-85 of the Use Tax Act.)

4) A purchaser using Manufacturer's Purchase Credit must maintain records,

as to each purchase of production related tangible personal property on


18



which the purchaser used Manufacturer's Purchase Credit to satisfy the

purchaser's Use Tax or Service Use Tax liability, that identify the

following:




B) The date of purchase, purchase price and description of the

production related tangible personal property; and

C) The amount of Manufacturer's Purchase Credit used to satisfy the

purchaser's Use Tax or Service Use Tax liability on that purchase.

5) No Annual Report of Manufacturer's Purchase Credit Earned or Annual

Report of Manufacturer's Purchase Credit Used may be filed with the

Department before May 1, 1996. (Section 3-85 of the Use Tax Act and

Section 3-70 of the Service Use Tax Act)

6) A purchaser that fails to properly file an Annual Report of Manufacturer's

Purchase Credit Earned or an Annual Report of Manufacturer's Purchase

Credit Used with the Department by the last day of the sixth month

following the end of the calendar year forfeits all Manufacturer's Purchase

Credit earned or used for that calendar year, unless the purchaser

establishes that the purchaser's failure to file was due to reasonable cause.

The reasonable cause provisions of this subsection (e)(6) do not apply

after June 30, 2004 for any annual report that is required to be filed on or

before June 30, 2004.

7) Annual Manufacturer's Purchase Credit reports may be amended to report

and claim credit on qualifying purchases of manufacturing machinery and

equipment and graphic arts machinery and equipment not previously

reported at any time before the credit would have expired, unless both the

Department and the purchaser have agreed to an extension of the statute of

limitations for the issuance of a Notice of Tax Liability as provided in

Section 4 of the Retailers' Occupation Tax Act. However, such an agreed

extension will not restore a credit that has previously been reported and

has expired prior to the agreed extension. Manufacturer's Purchase Credit

that had not been previously reported and is included in an amended


18



Annual Report submitted as a result of such an agreed extension will

expire as provided in subsection (b)(8) of this Section or at the end of the

agreed extension period, whichever is longer. If the time for assessment

or refund has been extended by agreement, amended reports for a calendar

year may be filed at any time prior to the date to which the statute of

limitations for the calendar year or portion thereof has been extended.

Notwithstanding any other provision of this Section, the credit earned

prior to July 1, 2003 cannot be used after September 30, 2003, and no

Annual Report of Manufacturer's Purchase Credit Earned or Annual

Report of Manufacturer's Purchase Credit Used that is required to be filed

on or before June 30, 2004 may be filed with the Department after June

30, 2004 even if the time for assessment or refund has been extended by

agreement. (Section 3-85 of the Use Tax Act and Section 3-70 of the

Service Use Tax Act) Notwithstanding any other provision of this Section,

the credit earned on or after September 1, 2004 cannot be used on a

purchase of production related tangible personal property made after

August 30, 2014, and no original Annual Report of Manufacturer's

Purchase Credit Earned or original Annual Report of Manufacturer's

Purchase Credit Used may be filed with the Department after June 30,

2015. Manufacturer's Purchase Credit claimed on an amended report may

be used to satisfy tax liability under the Use Tax Act or the Service Use

Tax Act on:

A) Qualifying purchases of production related tangible personal

property made after the date the amended report is filed;

B) Amounts assessed by the Department on purchases made on or

after January 1, 1995 of machinery and equipment that did not

qualify for the exemption described in Section 130.330 of this Part,

but would have qualified as production related tangible personal

property. The credit will be applied to the tax portion of the

assessment liability as of the date that the Department receives a

written request by the purchaser directing the Department to apply

the credit to the assessment liability; or

C) Amounts assessed by the Department on purchases made on or

after July 1, 1996 of machinery and equipment that did not qualify

for the exemption described in Section 130.325 of this Part, but

would have qualified as production related tangible personal


18



property. The credit will be applied to the tax portion of the

assessment liability as of the date that the Department receives a

written request by the purchaser directing the Department to apply

the credit to the assessment liability.

8) A purchaser who used Manufacturer's Purchase Credit to satisfy the

purchaser's Use Tax or Service Use Tax liability incurred on the purchase

of property that is later determined not to qualify as production related

tangible personal property may be liable for tax, penalty and interest on

the purchase of that property as of the date of the purchase. However, the

purchaser is entitled to use the disallowed Manufacturer's Purchase Credit,

so long as it has not expired, on qualifying purchases of production related

tangible personal property not previously subject to credit usage.


prior to July 1, 2003 cannot be used after September 30, 2003, including

to satisfy an audit liability. (Section 3-85 of the Use Tax Act and Section

3-70 of the Service Use Tax Act) Notwithstanding any other provision of

this Section, the credit earned on or after September 1, 2004 cannot be

used on a purchase of production related tangible personal property made

after August 30, 2014, and no original Annual Report of Manufacturer's

Purchase Credit Earned or original Annual Report of Manufacturer's


2015.

f) Retailers or Servicemen Accepting Manufacturer's Purchase Credit

1) In order to accept Manufacturer's Purchase Credit from a manufacturer or

graphic arts producer, the supplier or serviceman must obtain a

Manufacturer's Purchase Credit certificate from the manufacturer or

graphic arts producer unless the manufacturer or graphic arts producer has

incorporated its certification into the manufacturer's or graphic arts

producer's purchase order as described in this Section. The manufacturer

or graphic arts producer may provide the certification on a form provided

by the Department or on the manufacturer's or graphic arts producer's own

form containing the appropriate information. The certificate must be kept

in the supplier's or serviceman's books and records, but need not be

submitted to the Department with the supplier's or serviceman's return. A

Manufacturer's Purchase Credit certificate must contain the following


18



information:

A) A signed statement that the manufacturer or graphic arts producer

is using available accumulated Manufacturer's Purchase Credit to

satisfy all or part of the 6.25% portion of Use Tax or Service Use

Tax liability incurred on a qualifying purchase of production

related tangible personal property;

B) The manufacturer's or graphic arts producer's name and address;

C) The manufacturer's or graphic arts producer's registration number,

if registered;

D) The date of purchase of the production related tangible personal

property; and

E) The credit being used. (See Section 3-85 of the Use Tax Act and

Section 3-70 of the Service Use Tax Act.)

2) A manufacturer or graphic arts producer may incorporate the

Manufacturer's Purchase Credit certification into the manufacturer's or

graphic arts producer's purchase order if all of the required information is

contained within that purchase order.

3) Manufacturer's Purchase Credit accepted by the supplier or serviceman

may be used by the supplier or serviceman to pay its liability incurred

under the Retailers' Occupation Tax Act or Service Occupation Tax Act,

so long as the supplier or serviceman complies with the following:

A) The supplier or serviceman may not accept credit in excess of

6.25% of the purchase price of qualifying production related

tangible personal property. (See Section 3-85 of the Use Tax Act

and Section 3-70 of the Service Use Tax Act.)

B) The supplier or serviceman must properly report the credit to the

Department in order to use the credit to pay Retailers' Occupation

Tax or Service Occupation Tax liability. The Manufacturer's

Purchase Credit (MPC) does not create an exemption or an

authorized deduction. The MPC is a means for the supplier or


18



serviceman to pay Retailers' Occupation Tax or Service

Occupation Tax, as the case may be. Therefore, the receipts from

transactions in which customers have provided MPC cannot be

deducted from the gross receipts reported on the Sales and Use Tax

Return (Form ST-1). Receipts from transactions in which

customers have provided MPC must be included in gross receipts

subject to tax reported on line 1 and line 3 of the return. The

resulting tax on those gross receipts can then be paid by using the

credit on line 16a of the return.


prior to July 1, 2003 cannot be used after September 30, 2003.

Manufacturer's Purchase Credit reported on any original or amended

return filed after October 20, 2003 and before October 1, 2004 will be

disallowed. Beginning on September 1, 2004, retailers and servicemen

may accept MPC certifications for qualifying purchases made on and after

September 1, 2004 through August 30, 2014. (Section 3-85 of the Use Tax

Act and Section 3-70 of the Service Use Tax Act)

g) Lessors Earning and Using Manufacturer's Purchase Credit

1) A lessor leasing exempt manufacturing machinery and equipment to a

manufacturer or graphic arts machinery and equipment to a graphic arts

producer may earn Manufacturer's Purchase Credit when purchasing the

machinery and equipment, in the same manner as a manufacturer or

graphic arts producer.

2) A lessor leasing qualifying production related tangible personal property

to a manufacturer or graphic arts producer may use Manufacturer's

Purchase Credit when purchasing the qualifying property in the same

manner as a manufacturer or graphic arts producer. (See Section 3-85 of

the Use Tax Act and Section 3-70 of the Service Use Tax Act.)

3) A lessor of exempt machinery and equipment and qualifying production

related tangible personal property must report the accumulation and use of

credit in the same manner as required for manufacturers or graphic arts

producers.

4) Since the Manufacturer's Purchase Credit is a non-transferable credit, a


18



lessor may not use credit earned by a lessee, nor may a lessor transfer

credit it has earned to a lessee.


prior to July 1, 2003 cannot be used after September 30, 2003. (Section

3-85 of the Use Tax Act and Section 3-70 of the Service Use Tax Act)

Notwithstanding any other provisions of this Section, the credit earned on

or after September 1, 2004 cannot be used on a purchase of production

related tangible personal property made after August 30, 2014.

h) Retailers or Servicemen Accepting Manufacturer's Purchase Credit After

Qualifying Purchases

1) A manufacturer or graphic arts producer that does not provide the

certification or purchase order as provided in subsection (f) of this Section

to a retailer or serviceman at the time of purchase of production related

tangible personal property must pay the appropriate amount of Use Tax or

Service Use Tax at that time to the retailer or serviceman. However,

retailers and servicemen are not prohibited from accepting Manufacturer's

Purchase Credit (MPC) certifications after qualifying sales of production

related tangible personal property have taken place. Retailers and

servicemen are not required to accept the certifications and are not

required to refund the amount of Use Tax or Service Use Tax that was

properly paid by the manufacturers or graphic arts producers in exchange

for the certificates after the sales have taken place. Notwithstanding any

other provision of this Section, the credit earned prior to July 1, 2003

cannot be used after September 30, 2003. Notwithstanding any other

provision of this Section, the credit earned on or after September 1, 2004

cannot be used on a purchase of production related tangible personal

property made after August 30, 2014. Retailers and servicemen cannot

accept MPC certifications for any purchase, including certifications for

prior qualifying sales, after September 30, 2003 through August 31, 2004.

Beginning on September 1, 2004, retailers and servicemen may accept

MPC certifications for qualifying purchases made on and after September

1, 2004 through August 30, 2014. (Section 3-85 of the Use Tax Act and


2) Retailers and servicemen that choose to accept MPC certifications from

manufacturers and graphic arts producers after qualifying sales of


18



production related tangible personal property have taken place and refund

the amount of Use Tax or Service Use Tax that was properly paid by those

manufacturers or graphic arts producers must file amended returns or

claims for credit or refund as provided in Section 130.1501 of this Part.

However, to avoid the potential of retailers and servicemen filing multiple

amended returns and claims for credit or refund, retailers and servicemen

may elect to report the acceptance of that MPC on line 16a of the retailers'

and servicemen's sales and use tax returns for the period in which those

refunds occurred. The retailer's or serviceman's election to report the

acceptance of the credit on their current return, in lieu of filing an

amended return and claim for credit or refund, does not supersede the

applicability of the statute of limitations described in Section

130.1501(a)(4) of this Part to the claiming of that credit by the retailer or

serviceman. Retailers and servicemen may only refund the 6.25% of State

Use Tax or Service Use Tax paid by the manufacturers and graphic arts

producers. (See subsection (b) of this Section.) Manufacturer's Purchase

Credit reported on any original or amended return filed after October 20,

2003 through August 31, 2004 will be disallowed. Beginning on

September 1, 2004, retailers and servicemen may accept MPC

certifications for qualifying purchases made on and after September 1,

2004 through August 30, 2014. (Section 3-85 of the Use Tax Act and


3) Manufacturers and graphic arts producers who provide MPC certifications

to retailers or servicemen after qualifying sales of production related

tangible personal property have taken place as provided in this subsection

(h) must report the use of the credit on an Annual Report of

Manufacturer's Purchase Credit Used for the calendar year in which the

certification was provided listing the use of the credit in the month in

which the certification is provided. No Annual Report of Manufacturer's


2004 through December 31, 2004. (Section 3-85 of the Use Tax Act and

Section 3-70 of the Service Use Tax Act) No original Annual Report of

Manufacturer's Purchase Credit Used may be filed with the Department

after June 30, 2015.

4) Example: A manufacturer purchased production related tangible personal

property from a retailer in June 1999. The manufacturer paid Use Tax to

the retailer at the time of purchase. In January 2001, the manufacturer


18



asks the retailer to accept an MPC certification for the June 1999 purchase

and refund the Use Tax (6.25%) paid previously by the manufacturer. The

retailer chooses to accept the certification and refunds the amount of the

Use Tax (6.25%) to the manufacturer. The retailer makes the election to

report the acceptance of the credit on line 16a of the retailer's January

2001 sales and use tax return (rather than filing an amended return or

claim for credit or refund). The manufacturer must report the use of the

credit in the month of January on an Annual Report of Manufacturer's

Purchase Credit Used for the year 2001.

i) Manufacturers or Graphic Arts Producers Reporting Use of Manufacturer's

Purchase Credit After Qualifying Purchases When Use Tax or Service Use Tax

Was Already Paid Directly to the Department

1) Manufacturers and graphic arts producers who self-assess Use Tax or

Service Use Tax directly to the Department are not prohibited from

reporting the use of Manufacturer's Purchase Credit (MPC) after the

qualifying purchase of production related tangible personal property when

those manufacturers or graphic arts producers have already paid the

appropriate amount of Use Tax or Service Use Tax directly to the

Department. Notwithstanding any other provision of this Section, the

credit earned prior to July 1, 2003 cannot be used after September 30,

2003. (Section 3-85 of the Use Tax Act and Section 3-70 of the Service

Use Tax Act) Notwithstanding any other provision of this Section, the

credit earned on or after September 1, 2004 cannot be used on a purchase

of production related tangible personal property made after August 30,

2014.

2) Manufacturers and graphic arts producers who choose to use MPC as

provided in this subsection (i) must file an amended return or claim for

credit or refund with the Department as provided in Section 130.1501 of

this Part. However, to avoid the potential of manufacturers and graphic

arts producers filing multiple amended returns and claims for credit or

refund, manufacturers and graphic arts producers may elect to report the

use of that credit on line 16a of their current sales and use tax returns. The

manufacturer's or graphic arts producer's election to report the acceptance

of the credit on the current return, in lieu of filing an amended return and

claim for credit or refund, does not supersede the applicability of the

statute of limitations described in Section 130.1501(a)(4) of this Part to the


18



claiming of that credit by the manufacturer or graphic arts producer.

Manufacturer's Purchase Credit reported on any original or amended

return filed after October 20, 2003 through August 31, 2004 will be

disallowed. (Section 3-85 of the Use Tax Act and Section 3-70 of the

Service Use Tax Act)

3) Manufacturers and graphic arts producers who report the use of MPC on

their current sales and use tax return as provided in this subsection (i) must

also report the use of the credit on an Annual Report of Manufacturer's

Purchase Credit Used for the calendar year in which the manufacturer's or

graphic arts producer's current sales and use tax return falls. No Annual

Report of Manufacturer's Purchase Credit Used may be filed with the

Department after June 30, 2004 through December 31, 2004. (Section 3-

85 of the Use Tax Act and Section 3-70 of the Service Use Tax Act) No

original Annual Report of Manufacturer's Purchase Credit Used may be

filed with the Department after June 30, 2015.

4) Example: A manufacturer, that self assesses Use Tax and Service Use

Tax directly to the Department, made a qualifying purchase of production

related tangible personal property in August 1999 and paid the Use Tax on

that purchase to the Department with the manufacturer's August 1999

return. In January 2001, the manufacturer chose to use currently available

MPC to satisfy the Use Tax liability that was incurred on that qualifying

purchase back in August 1999. The manufacturer elected to report the use

of the MPC on line 16a of the manufacturer's sales and use tax return for

the month of January 2001 (rather than filing an amended return or claim

for credit or refund). The manufacturer must also report the use of that

credit in the month of January on an Annual Report of Manufacturer's

Purchase Credit Used for the year 2001.


Section 130.332 Automatic Vending Machines (Repealed)

a) General. Notwithstanding the fact that the sales may be at retail, effective

January 1, 2000 and through December 31, 2001, the Retailers' Occupation Tax

does not apply to sales of new or used automatic vending machines that prepare

and serve hot food and beverages. The exemption also applies to individual

replacement parts for these machines. Beginning January 1, 2002 and through


18



June 30, 2003, the Retailers' Occupation Tax does not apply to sales of machines

and parts for machines used in commercial, coin-operated amusement and

vending business if a use or occupation tax is paid on the gross receipts derived

from the use of the commercial, coin-operated amusement and vending machines.

[35 ILCS 120/2-5(35)]

b) Exempt Usage of Vending Machines – January 1, 2000 through December 31,

2001. Between January 1, 2000 and December 31, 2001, this exemption exempts

from tax only automatic vending machines used in the preparation and serving of

hot food and beverages. For purposes of this exemption, an automatic vending

machine is an electrically operated machine into which customers insert U.S.

legal tender coinage or paper money to cause a food or beverage item to be

dispensed, the temperature of which is heated above the ambient temperature at

the time it is removed by the customer. The use of vending machines in any other

activity will not qualify for this exemption. The use of vending machines to

dispense or serve unheated food or beverage products will not be an exempt use

and those machines will be subject to tax. The use of vending machines to sell or

dispense any non-food items is not an exempt use and those machines will be

subject to tax.

c) Exempt Usage of Vending Machines − On and after January 1, 2002 and through

June 30, 2003

1) After December 31, 2001 and through June 30, 2003, the exemption

applies to machines and parts for machines used in commercial, coin-

operated amusement and vending businesses, so long as the owner,

operator or user of the machine incurs a use or occupation tax liability.

The following are examples of situations in which the tax liability is

incurred on machines:

A) Retailers' Occupation Tax is incurred on the sale of tangible

personal property through a vending machine.

B) Use Tax liability is incurred on tangible personal property that is

awarded as a "prize" resulting from the operation of an amusement

machine.

2) For those machines or parts where a use or occupation tax is not incurred,

the exemption does not apply to sales of those machines or parts for those


18



machines. For example, a seller does not incur Retailers' Occupation Tax

on gross receipts derived from sales of items through bulk vending

machines. As a result, sales of bulk vending machines and parts for those

machines are subject to tax. (See Section 1 of the Act.)

3) For purposes of this exemption, "parts for machines" includes replacement

parts.

d) Restrictions Applicable to All Periods

1) The use of microwave ovens or other devices as units separate and apart

from vending machines to heat food or beverages sold by vending

machines is not an exempt use and the microwave ovens or other devices

will be subject to tax.

2) Constructed foundations or other buildings or structures that support or

house vending machines do not qualify for this exemption.

e) Purchaser Certification

1) The purchaser of machines or parts affected by this Section shall prepare a

certificate of exemption for each transaction stating facts establishing the

exemption for that transaction and submit the certificate to the retailer.

Between January 1, 2000 and December 31, 2001, the certificate must

include the seller's name and address, the purchaser's name and address

and a statement that the property purchased will be a vending machine or

replacement part used for the preparation and serving of hot food or

beverages. After December 31, 2001, the certificate must include the

seller's name and address, the purchaser's name and address and a

statement that the property purchased will be a machine or part used in a

commercial, coin-operated amusement or vending business where the

owner, operator or user of the machine will incur a use or occupation tax

liability. The certificates shall be retained by the retailer and shall be made

available to the Department for inspection or audit.

2) If all purchases are for qualifying machines or parts as described in this

Section, a purchaser may provide a blanket exemption certificate that

specifies that all purchases are exempt.


18




Section 130.335 Pollution Control Facilities and Low Sulfur Dioxide Emission Coal-Fueled

Devices

a) Through June 30, 2003, notwithstanding the fact that the sales may be at retail,

sales of pollution control facilities are exempt from the Retailers' Occupation Tax.

This exemption extends to and includes the purchase of pollution control facilities

by a contractor who retransfers the facilities to his customer in fulfillment of a

contract to furnish such pollution control facilities to, and to install them for, his

customer. The phrase "pollution control facilities" means any system, method,

construction, device or appliance appurtenant thereto sold or used or intended for

the primary purpose of eliminating, preventing, or reducing air and water

pollution as the term "pollution" is defined in the Environmental Protection Act

[415 ILCS 5], or for the primary purpose of treating, pretreating, modifying or

disposing of any potential solid, liquid or gaseous pollutant which if released

without such treatment, pretreatment, modification or disposal might be harmful,

detrimental or offensive to human, plant or animal life, or to property. This

exemption includes not only the pollution control equipment itself, but also

replacement parts therefor, but does not extend to fuel used in operating any such

equipment nor to any other tangible personal property which may be used in some

way in connection with such equipment, but which is not an integral part of the

equipment itself. If the purchaser or his contractor-installer buys an item that

could reasonably qualify for exemption as a pollution control facility for use as a

pollution control facility, the purchaser or his contractor-installer should certify

this intended use of the item to the seller in order to relieve the seller of the duty

of collecting and remitting the tax on the sale, but the purchaser who is buying the

item in question allegedly for his use as a pollution control facility will be held

liable for the tax by the Department if it is found that such purchaser does not use

the item as a pollution control facility.

1) Asbestos removal systems. This exemption includes devices, materials,

and equipment that are integral component parts of an asbestos removal

system if the primary purpose of those items is to eliminate, reduce, or

prevent pollution. These items may include, but are not limited to:

A) protective suits or clothing;

B) respirators;


18



C) gloves and glove bags;

D) filters and vacuum filtration equipment;

E) encapsulate materials;

F) materials, such as plastic sheeting, lumber, and adhesive tape, that

are used to construct containment areas or air locks;

G) portable shower units, including water traps and filters, used to

decontaminate equipment and personnel;

H) plastic bags used for disposal of asbestos; and

I) wetting agents used to remove asbestos dust from the air.

2) Chemicals used for filtration. This exemption includes any chemical that

is primarily utilized for filtration purposes as an integral component of a

system for eliminating, reducing, or preventing pollution. Examples of the

use of such chemicals include the use of sodium hypochlorite, sodium

hydroxide, hydrochloric acid, and nitric acid to filter pollutants in holding

tanks and ground limestone mixed with water to remove sulfur dioxide

from flue gases.

3) Equipment and materials used at landfills. This exemption includes

devices, materials, and equipment that are integral component parts of a

landfill operation if the primary purpose of those items is to eliminate,

reduce, or prevent pollution. These items may include, but are not limited

to:

A) membranes and liners;

B) filters;

C) materials used in constructing leachate collection systems;

D) materials used in constructing landfill gas flare and blower systems

to combust and treat landfill gases;


18



E) litter control fences;

F) erosion control materials used to prevent water from entering the

landfill site and creating water pollution;

G) sweepers used to remove debris from landfill sites; and

H) bulldozers and excavators that are used to cover waste materials.

4) Pollution control monitoring devices. Pollution control monitoring

devices that do not prevent, reduce, or eliminate pollution or treat,

pretreat, modify, or dispose of any pollutants do not qualify for the

pollution control facilities exemption. However, if the pollution control

monitoring devices directly adjust other devices that actually reduce or

prevent pollution, the pollution control monitoring devices will qualify for

the pollution control facilities exemption.

ab) Low Sulfur Dioxide Emission Coal-Fueled Devices

1) Notwithstanding the fact that the sales may be at retail, sales of low sulfur

dioxide emission coal-fueled devices are exempt from the Retailers'

Occupation Tax. This exemption extends to and includes the purchase of

such a device, or materials to construct such a device thatwhich are

physically incorporated into the device, by a contractor who retransfers the

device to his or her customer in fulfillment of a contract to furnish such a

device to, and install it for, his or her customer.

2) Low sulfur dioxide emission coal-fueled devices means any device sold or

used or intended for the purpose of burning, combusting or converting

locally available coal in a manner thatwhich eliminates or significantly

reduces the need for additional sulfur dioxide abatement that would

otherwise be required under State or Federal air emission standards

thatwhich will be determined by evaluating the output of sulfur dioxide

from the device and consultation with the Pollution Control Board to

determine if the device meets their standards and could be certified as a

low sulfur dioxide emission device. With respect to coal gasification

facilities, thesesuch devices include all machinery, equipment, structures

and related apparatus including coal-feeding equipment designed to


18



convert locally available coal into a low sulfur gaseous fuel and to

manage all waste and by-product streams. (Section 1a-1 of the Act)

3) The exemption includes only the device and replacement parts. It does not

extend to chemicals, catalysts, additives or fuels used in the combustion or

conversion process. For devices thatwhich are not a part of a coal

gasification facility, the exemption will not apply to buildings in which the

device may be located, nor to machinery and equipment thatwhich may

receive, store or process coal prior to its burning, combustion or

conversion, nor to machinery and equipment used to distribute coal

products, steam or energy from the process or remove waste products

resulting from the process. For devices thatwhich are a part of a coal

gasification facility, the exemption will include all machinery, equipment,

structures and related apparatus including coal-feeding equipment and

equipment to manage waste and by-product streams. A device will qualify

for the exemption even if it serves an industrial, manufacturing or other

purpose thatwhich confers an economic benefit on the purchaser or is used

for other purposes in addition to the burning, combusting or converting

coal.

4) The device must use or be intended to use locally available coal, i.e., coal

mined in Illinois.

5) Coal conversion includes a variety of processes thatwhich produce coal

gas, liquid fuel or solid fuels. It does not encompass coal production or

preparation techniques such as washing, crushing or pelletization of coal.

6) The device or the operation in which it is used must be subject to State or

Federal emission control standards and must, in its operation, eliminate or

significantly reduce the need for supplementary sulfur dioxide abatement

that would otherwise be required.

bc) Generally, vehicles, such as garbage trucks and refuse hauling trucks, whose

primary purpose is to haul garbage from one point to another do not qualify for

the pollution control facilities exemption. (See XL Disposal Corporation, Inc. v.

Kenneth Zehnder (304 Ill.App.3d 202, 709 N.E.2d 293 (4th Dist. 1999)).)

However, escort trucks that are used primarily as part of a system of preventing or

reducing potential pollution in the case of a spill by a vehicle transporting

pollutants may qualify for the pollution control facilities exemption. (See


18



Beelman Truck Company v. Cosentino (253 Ill.App.3d 420, 624 N.E.2d 454 (5th

Dist. 1993)).)


Section 130.341 Commercial Distribution Fee Sales Tax Exemption (Repealed)

a) Qualifications for exemption through June 30, 2004. Beginning on July 1, 2003

through June 30, 2004, sales of certain motor vehicles are not subject to the tax

imposed under this Part if they meet all of the following tests:

1) The motor vehicle qualifies as a second division motor vehicle under

Section 1-146 of the Illinois Vehicle Code. First division motor vehicles,

such as those motor vehicles that are designed for the carrying of not more

than 10 persons, do not qualify for the exemption (See 625 ILCS 5/1-

146.);

2) The motor vehicle has a gross vehicle weight in excess of 8,000 pounds;

and

3) The motor vehicle is subject to the Commercial Distribution Fee imposed

under Section 3-815.1 of the Illinois Vehicle Code. [35 ILCS 120/2-5]

The motor vehicle must be registered and remain registered in such a

manner whereby it is subject to payment of the Commercial Distribution

Fee imposed under Section 3-815.1 of the Illinois Vehicle Code [625

ILCS 5/3-815.1] and such fee is actually paid for any period in which the

fee is in effect.

b) Qualifications for exemption beginning July 1, 2004. Beginning on July 1, 2004

through June 30, 2005, sales of certain motor vehicles are not subject to the tax

imposed under this Part if they meet all of the following tests:

1) The motor vehicle is a second division motor vehicle. First division motor

vehicles, such as those motor vehicles that are designed for the carrying of

not more than 10 persons, do not qualify for the exemption (See 625 ILCS

5/1-146.);

2) The motor vehicle must have a gross vehicle weight rating in excess of

8,000 pounds. For purposes of this Section, Gross Vehicle Weight Rating


18



means the value specified by the manufacturer or manufacturers as the

maximum loaded weight of a single vehicle (See 625 ILCS 5/1-124.5.);

3) The motor vehicle is subject to the Commercial Distribution Fee imposed

under Section 3-815.1 of the Illinois Vehicle Code. The motor vehicle

must be registered and remain registered in such a manner whereby it is

subject to payment of the Commercial Distribution Fee imposed under

Section 3-815.1 of the Illinois Vehicle Code [625 ILCS 5/3-815.1] and

such fee is actually paid for any period in which the fee is in effect; and

4) The motor vehicle is used primarily for commercial purposes. [35 ILCS

120/2-5] For purposes of this Section, a motor vehicle used for

commercial purposes means any motor vehicle used to transport persons

or property in the furtherance of any commercial or industrial enterprise,

whether for-hire or not-for-hire.

COMMERCIAL PURPOSE EXAMPLE: A motor vehicle that is used for

transportation to work, school, or recreational activities would not be used

for commercial purposes.

c) Documentation of exemption. To properly document the exemption, the seller

must obtain a written certificate from the purchaser stating the following:

1) the name, address, and telephone number of purchaser;

2) the description and Vehicle Identification Number of the motor vehicle or

motor vehicles being purchased;

3) the name and address of seller;

4) the date of purchase;

5) a statement that the motor vehicle will be used primarily for commercial

purposes and will be registered under Section 3-815(a) or 3-818(a) of the

Illinois Vehicle Code or in such other manner whereby the registration of

that motor vehicle will require the payment of the Commercial

Distribution Fee imposed under Section 3-815.1 of the Illinois Vehicle

Code and that such vehicle will remain validly registered in such a manner

for subsequent registration years;


18



6) the commercial purpose for which the vehicle will be used along with the

purchaser's Illinois Business Tax (IBT) number or other business

registration number; and

7) the signature of purchaser.

d) Liability for tax. If a purchaser claims the exemption provided in this Section and

the vehicle is not considered subject to the Commercial Distribution Fee as

described in subsection (a)(3) or (b)(3) of this Section or otherwise does not

qualify for this exemption, the purchaser will be liable for the tax based upon the

purchase price of that vehicle and any applicable penalties and interest from the

date of purchase.

e) Repair and replacement parts. The exemption provided in this Section may not be

claimed for any repair part, replacement part, or other item attached or

incorporated into the motor vehicle after the purchase of the motor vehicle. Such

items may qualify for exemption from sales tax if the motor vehicle or trailer is

used in a manner that qualifies for the rolling stock exemption. See Section

130.340 of this Part.

f) Trailers. For purposes of this Section, a trailer that is subject to the Commercial

Distribution Fee imposed under Section 3-815.1 of the Illinois Vehicle Code will

qualify as a second division motor vehicle under subsection (a)(1) or (b)(1) of this

Section. The term "trailer" includes a trailer as defined in Section 1-209 of the

Illinois Vehicle Code, a semitrailer as defined in Section 1-187 of the Illinois

Vehicle Code, and a pole trailer as defined in Section 1-161 of the Illinois Vehicle

Code.


Section 130.345 Oil Field Exploration, Drilling and Production Equipment (Repealed)

a) General

1) Notwithstanding any other provision of this Section, the exemption

provided in this Section is effective through June 30, 2003. On and after

July 1, 2003, the tax applies to sales of new or used oil field exploration,

drilling, and production equipment. Prior to June 25, 1996,


18



notwithstanding the fact that the sales may be at retail, the Retailers'

Occupation Tax Act does not apply to sales of new or used oil field

exploration, drilling, and production equipment costing $250 or more,

including rigs and parts of rigs; rotary rigs; cable tool rigs; workover rigs;

pipe and tubular goods, including casing and drill strings; pumps and

pump-jack units; storage tanks and flow lines; any individual replacement

part for oil field exploration, drilling, and production equipment, if the

replacement part costs in excess of $250; and machinery and equipment

purchased for lease; but excluding motor vehicles required to be registered

pursuant to the Illinois Vehicle Code. On and after June 25, 1996, the

exemption is not conditioned upon the $250 purchase threshold

requirement.

2) Oil field exploration, drilling and production

A) This exemption applies only to equipment used primarily in oil

field exploration, drilling and production. Use of the equipment in

any other type of exploration, drilling or mineral production will

not be a qualified use and such equipment will be subject to tax.

The equipment used in drilling, production or exploration of

minerals, coal or water is not a qualified use of such equipment

and will be subject to the full rate of tax. Excluded from this

exemption are motor vehicles required to be registered pursuant to

the Illinois Motor Vehicle Code [625 ILCS 5]. Special mobile

equipment other than motor vehicles may qualify for the

exemption if they are used primarily in oil field exploration,

drilling or production. The exemption does not include supplies

(such as drilling mud, well cement, acid, chemicals or explosives),

coolants, lubricants, adhesives, solvents, items of personal apparel

(such as gloves, shoes, glasses, goggles, coveralls, aprons, masks,

mask air filters, belts, harnesses or holsters), coal, fuel oil,

electricity, natural gas, artificial gas, steam, gasoline, diesel fuel,

refrigerants, water or chemical additives to crude oil.

B) "Oil field exploration" means the search for oil or natural gas.

Exploration includes: Seismic studies, core testing and the drilling

of test wells (wildcat wells).

C) "Drilling" means the act of boring a hole through which oil or gas


18



may be produced if encountered in commercial quantities.

D) "Production" means the act or process of producing oil or gas.

E) "Drilling rigs" include rotary, cable tool and workover rigs and

parts thereof.

F) "Production lease" means the land described in a lease instrument

on which drilling for the production of oil or gas occurs.

G) "Pipe and tubular goods" include casing, drill strings, rods and

wire rope. Prior to June 25, 1996, "pipe and tubular goods" sold

by the linear foot qualify for the reduction if the cost of the total

length sold in an individual transaction or sale exceeds $250. On

and after June 25, 1996, there is no such limitation.

H) "Production equipment" includes gasoline, diesel and electric

engines used as a power source, pumps and pump-jack units and

parts thereof, storage tanks, flow lines and parts thereof located on

the producing lease.

I) "Kits" means kits comprised of several parts which are ordered

from a manufacturer, inventoried and sold by a retailer as a single

item, and items, such as a pump, which are assembled by the

retailer at the time of sale from components selected by the

purchaser and which are sold as a unit. Prior to June 25, 1996, kits

will be treated as a single item for the purposes of the $250 per

individual item limitation. On and after June 25, 1996, there is no

such limitation.

b) Nonexempt Illustrations

By way of illustration and not limitation, the following activities will not be

considered oil field exploration, drilling, or use of production equipment:

1) The use of equipment in the construction, reconstruction, alteration,

remodeling, servicing, repairing, maintenance or improvement of real

estate. Material, such as steel, concrete, rock and other building material,

will not qualify for the exemption;


18



2) the use of equipment in general maintenance or repair work on

exploration, drilling or production equipment;

3) the use of equipment in research and development for drilling or oil field

production or exploration;

4) the use of equipment off the production lease to store, convey, handle or

transport oil;

5) the use of equipment, trailers or structures in management, sales or other

nonproduction, nonoperational activities including inventory control,

production or drilling scheduling, purchasing, receiving, accounting, fiscal

management, communications, security, marketing, product exhibition and

promotion, personnel recruitment, selection or training;

6) the use of equipment to prevent or fight fires, protective equipment such

as face masks, helmets, gloves, coveralls, goggles, gas masks or for safety

or accident protection or first-aid, even though such equipment may be

required by law;

7) the use of equipment for ventilation, heating or illumination not required

by the exploration, drilling or production process.

c) Sales to Lessors of Oil Field Exploration, Drilling and Production Equipment

1) For the exemption to apply, the purchaser need not, himself, employ the

equipment in oil field exploration, drilling or production. If the purchaser

leases that equipment to a lessee-explorer, driller or producer who uses it

in a qualified manner, the sale to the purchaser-lessor will be eligible for

the reduced rate of tax. A supplier may exclude such sales from his

taxable gross receipts provided the purchaser-lessor provides to him a

properly completed certificate and the information contained therein

would support an exemption if the sale were made directly to the lessee-

explorer or driller or producer.

2) Should a purchaser-lessor subsequently lease the equipment to a lessee

who does not use it in a manner that would qualify for the reduction, the

purchaser-lessor will become liable for the tax which he previously did not

pay.


18



d) Certificates of Qualified Use

Certificates must be executed by the purchaser at the time of purchase. The

certificate must include the seller's name and address, the purchaser's name and

address and a statement that the property purchased will be used for oil field

exploration or oil field drilling or as oil field production equipment. Retailers

may accept blanket certificates, but have the responsibility to obtain, and must

maintain, all certificates as part of their books and records. An item of oil field

production, oil field drilling or oil field exploration equipment, which is initially

used in oil field production, oil field drilling or oil field exploration and having

been so used for less than one-half of its useful life, if converted to nonqualified

uses, will become subject to tax at the time of conversion.


SUBPART D: GROSS RECEIPTS

Section 130.415 Transportation and Delivery Charges

a) Until November 19, 2009:

1) Transportation and delivery charges are considered to be freight, express,

mail, truck or other carrier, conveyance or delivery expenses. These

charges are also many times designated as shipping and handling charges.

2) The answer to the question of whether a seller, in computing his or her

Retailers' Occupation Tax liability, may deduct, from his or her gross

receipts from sales of tangible personal property at retail, amounts charged

to customers on account of the seller's payment of transportation or

delivery charges in order to secure delivery of the property to customers,

or on account of the seller's incurrence of expense in making the delivery

himself or herself, depends not upon the separate billing of transportation

or delivery charges or expense, but upon whether the transportation or

delivery charges are included in the selling price of the property that is

sold or whether the seller and the buyer contract separately for

transportation or delivery charges by not including those charges in the

selling price. In addition, charges for transportation and delivery must not

exceed the costs of transportation or delivery. If those charges do exceed


18



the cost of delivery or transportation, the excess amount is subject to tax.

3) If transportation or delivery charges are included in the selling price of the

tangible personal property that is sold, the transportation or delivery

expense is an element of cost to the seller within the meaning of Section 1

of the Retailers' Occupation Tax Act, and may not be deducted by the

seller in computing Retailers' Occupation Tax liability.

4) If the seller and the buyer agree upon the transportation or delivery

charges separately from the selling price of the tangible personal property

that is sold, the cost of the transportation or delivery service is not a part of

the "selling price" of the tangible personal property sold, but instead is a

service charge, separately contracted for, and need not be included in the

figure upon which the seller computes Retailers' Occupation Tax liability.

Delivery charges are deemed to be agreed upon separately from the selling

price of the tangible personal property being sold so long as the seller

requires a separate charge for delivery and so long as the charges

designated as transportation or delivery or shipping and handling are

actually reflective of the costs of the shipping, transportation or delivery.

To the extent that delivery charges exceed the costs of shipping,

transportation or delivery, the charges are subject to tax. The best

evidence that transportation or delivery charges were agreed to separately

and apart from the selling price is a separate and distinct contract for

transportation or delivery. However, documentation that demonstrates

that the purchaser had the option of taking delivery of the property at the

seller's location, for the agreed purchase price, or having delivery made by

the seller for the agreed purchase price plus an ascertained or ascertainable

delivery charge, will suffice.

5) Incoming Transportation Costs

Transportation or delivery charges paid by a seller in acquiring property

for sale are merely costs of doing business to the seller and may not be

deducted by that seller in computing Retailers' Occupation Tax liability,

even though the seller passes those costs on to customers by quoting and

billing those costs separately from the selling price of the tangible

personal property that he or she sells. The same is true of transportation or

delivery charges paid by the seller in moving property to some point from

which the property (when subsequently sold) will be delivered or shipped

to the purchaser.


18



b) On and after November 19, 2009:

1) Outgoing Transportation and Delivery Charges (e.g., Shipping and

Handling)

A) Applicability

i) Effective Date – Safe Harbor. Persons who have computed

their tax liability for transportation and delivery charges

according to the provisions of either subsection (a) or

subsection (b) for periods between November 19, 2009 and

April 1, 2016 shall be considered to have properly collected

and remitted tax on those charges.

ii) This Section applies equally to retailers making sales

subject to Retailers' Occupation Tax, retailers required to

collect Use Tax on sales to Illinois residents as a result of

being a "retailer maintaining a place of business in this

State" pursuant to Section 2 of the Use Tax Act, and to

persons self-assessing Use Tax under Sections 9 and 10 of

the Use Tax Act on purchases for which no tax was

collected by a retailer. This Section also applies to persons

that have been issued a winery shipper's license under

Section 5-1(r) of the Liquor Control Act of 1934.

iii) Outgoing transportation and delivery charges are charges

for the final transport or delivery of tangible personal

property from the possession and control of the seller to the

possession and control of the purchaser. Outgoing

transportation and delivery charges include, but are not

limited to, charges for freight, express, mail, truck or other

carrier, conveyance or delivery expenses, and shipping and

handling.

iv) Costs incurred by the retailer in moving property to some

point from which the property will be delivered or shipped

to the customer, or picked up by the customer, are not

outgoing transportation and delivery charges; they are part


18



of the retailer's costs of doing business. Any amounts the

retailer charges a customer for moving the property cannot

be deducted from gross receipts from that sale.

B) Taxability of Outgoing Transportation and Delivery

i) Outgoing transportation and delivery charges are part of the

gross receipts subject to Retailers' Occupation Tax when

there is an inseparable link between the sale of tangible

personal property and the outgoing transportation and

delivery of the property. (See Kean v. Wal-Mart Stores,

Inc., 235 Ill. 2d 351(2009).)

ii) An inseparable link exists when the transportation and

delivery charges are not separately identified to the

purchaser on the contract or invoice or when the

transportation and delivery charges are separately identified

to the purchaser on the contract or invoice, but the seller

does not offer the purchaser the option to receive the

tangible personal property in any manner except by the

payment of transportation and delivery charges added to the

selling price of the item (e.g., the seller does not offer the

purchaser the option to pick up the tangible personal

property or the seller does not offer, or the purchaser does

not qualify for, a free transportation and delivery option).

(See Kean v. Wal-Mart Stores, Inc., 235 Ill. 2d 351, 367

(2009) (Does the purchaser have the option to purchase the

tangible personal property for the stated selling price, with

no added transportation and delivery charge, or must

transportation and delivery charges always be added to the

selling price of the item in order to obtain the item?).)

iii) Except for cases in which an inseparable link exists as

provided in subsection (b)(1)(B)(ii), outgoing

transportation and delivery is considered a service separate

and distinct from the sale of tangible personal property that

is being transported or delivered and is excluded from the

gross receipts subject to the Retailers' Occupation Tax.


18



C) Safe Harbor. If a seller of tangible personal property offers the

purchaser free transportation and delivery of the property, qualified

transportation and delivery of the property for which the purchaser

qualifies, or the option to pick up the property, any separately

identified transportation and delivery charges chosen by the

purchaser (e.g., amounts paid for expedited transportation and

delivery) will be nontaxable, as long as the selling price of the

tangible personal property neither increases nor decreases

depending on the method chosen by the purchaser to obtain the

merchandise. When the selling price of the tangible personal

property increases or decreases, the transportation and delivery

charges will be subject to Retailers' Occupation Tax to the extent

those charges exceed the actual cost of outgoing transportation and

delivery as described in subsection (b)(1)(A)(iii).

D) EXAMPLES:

i) Internet Purchase by an Illinois Customer from a Retailer

Who Also Has Brick-and-mortar Stores. A customer selects

property from a retailer's website on the Internet, clicks the

"add to shopping cart" button and proceeds to "check out".

The online retailer adds the price of the items in the

shopping cart, for a total price of $200. The online retailer

then prompts the customer to click on the box

corresponding to the method by which the customer prefers

to obtain the merchandise (e.g., USPS or other common

ground carrier for $12.99, two-day delivery for $18.50,

Next Day Air for $33.50, or the option to pick up the

property at the retailer's store). The customer clicks on the

ground carrier box for delivery to the purchaser's home.

The retailer then calculates the total price of the order

($200 + $12.99 = $212.99). The cost of the property and

the cost of shipping are separately identified on the invoice

when the property is delivered. Because the delivery charge

is separately identified on the purchaser's invoice, and the

purchaser had the option to pick up the property rather than

having it shipped, there is no inseparable link between the

purchase of the property and the outgoing transportation

and delivery charges. Therefore, the delivery is a service


18



separate and distinct from the sale of the items and is not

part of the retailer's gross receipts subject to the Retailers'

Occupation Tax. The taxable amount is $200.

ii) Internet Purchase from Retailer without a Brick-and-mortar

Store. Assume the same facts as the example in subsection

(b)(1)(D)(i), except, because the retailer has no brick-and-

mortar store, the customer is not given the option of

picking up the item. Because the tangible personal

property could not be sold to the customer without

including delivery, there is an inseparable link between the

purchase and the delivery, and the charges for delivery are

included in taxable gross receipts. The taxable amount is

$212.99.

iii) Internet Purchase from Retailer with Out-of-state Pick Up

Option. Assume the same facts as the example in

subsection (b)(1)(D)(i). However, the retailer's only pick up

location is in San Diego, California. Because the retailer

offers an option to pick up the property, there is no

inseparable link between the sale of tangible personal

property and the delivery of that property. The

transportation and delivery charges are not taxable. The

taxable amount is $200.

iv) Internet Purchase from Retailer Offering Unqualified Free

Delivery. Assume the same facts as the example in

subsection (b)(1)(D)(i), except that no pick up option is

available but the retailer offers free shipping. Assume also

that the customer elects to pay for Next Day Air delivery

for $33.50. Because the customer had the choice of

obtaining the items without paying a delivery charge to the

retailer (the free delivery option), there is no inseparable

link between the sale of the tangible personal property and

the delivery of that property. The transportation and

delivery charges are not taxable. The taxable amount is

$200.


18



v) Internet Purchase from Retailer Offering Qualified Free

Delivery. Assume the same facts as the example in

subsection (b)(1)(D)(i), except that no pick up option is

available but the retailer offers free shipping on orders

above $250. Assume also that the customer elects to pay

for Next Day Air delivery for $33.50. Because the amount

of the order ($200) did not qualify for the free shipping

option, the customer did not have the choice of obtaining

the items without paying a delivery charge to the retailer.

As a result, there is an inseparable link between the sale of

the tangible personal property and the delivery of that

property. The transportation and delivery charges are

taxable. The taxable amount is $233.50.

vi) Delivery Charges Need Not Reflect Actual Costs. Assume

the same facts as the example in subsection (b)(1)(D)(i).

However, the actual cost to ship the goods to the customer

by ground carrier is $11. The transportation charge exceeds

the actual cost of shipping. However, because the customer

has an option to pick up the property and avoid the

transportation cost, and because the price of the property is

the same regardless of whether the customer picks up the

property or has it delivered, the charges identified as

transportation and delivery are nontaxable. Therefore, the

taxable amount is $200.

vii) Price Includes Delivery. A customer telephones a retailer

who sells propane. The retailer offers to sell propane to the

customer for $2/pound if the retailer delivers the propane or

$1/pound if the customer picks up the propane or arranges

for the delivery with a third party. If a customer chooses to

have the retailer deliver the propane for $2/pound, the gross

receipts for the delivered propane are $2/pound, and the

retailer may not make any deductions for transportation and

delivery. There is an inseparable link between the purchase

of the propane and its delivery because the retailer charges

a single indivisible price. The taxable amount is $2/pound.


18



viii) A Transportation Company Offers to Purchase Material

from a Quarry and Sell It to a Customer for $15/Metric

Ton, Including Delivery. The purchaser accepts the offer

and orders three metric tons of gravel. The transportation

company purchases three metric tons of gravel from a

quarry for $10/metric ton and delivers it to the customer.

The transportation company is a retailer responsible for the

Retailers' Occupation Tax on the material it sells. Because

it offered to sell and deliver gravel for a single indivisible

price, there is an inseparable link between the sale and

delivery of the tangible personal property. The taxable

amount is $15/metric ton.

ix) Delivery by a Retailer's Affiliated Business. A customer

purchases $1,500 worth of furniture from a local furniture

retailer. The retailer has no trucks of its own to make any

deliveries. There is a delivery company affiliated with the

furniture retailer that frequently delivers furniture to

customers who make purchases from the furniture retailer.

The furniture retailer offers to arrange for the delivery of

the furniture through its affiliated company for an

additional cost of $100, which is identified separately as the

delivery cost of the affiliated company. In the alternative,

the customer may arrange to pick up the furniture or to

have it delivered at his or her own cost. Because the

customer can pick up the furniture or separately arrange for

its delivery by a company of his or her choosing, the

delivery of the furniture is a service separate and apart from

the sale of tangible personal property. The $100 delivery

fee is not part of gross receipts and is not taxable. The

taxable amount is $1,500.

x) Assume the same facts as in the example in subsection

(b)(1)(D)(ix), except that the retailer does not permit

customers to pick up their purchases and requires that its

affiliated delivery company makes all deliveries. When a

retailer requires the customer to contract for shipping with

a specific delivery company (or to choose one company

among several with whom to contract), the retailer is


18



deemed to be the provider of the shipping service. Because

the tangible personal property could not be sold to the

customer without including delivery, there is an inseparable

link between the sale and delivery of the tangible personal

property, and the delivery charge is taxable. The taxable

amount is $1,600.

E) Mixed Transaction – Calculation of Tax on Purchase Containing

Both Taxable Delivery Charges and Nontaxable Delivery Charges

i) Itemized Delivery Charge. Tax on delivery charges may be

calculated for each separately listed item on an invoice if

the invoice itemizes the delivery charge for the items.

EXAMPLE:

A customer orders a rug for $250, candlesticks for $50 and

a tablecloth for $25 from an internet retailer. In order to

obtain the rug, the customer must have delivery made by

the retailer ($20 for standard delivery and $40 for expedited

delivery). The customer chooses the $20 standard delivery.

The retailer offers free pick up at its local store for the

candlesticks and tablecloth. The customer, however,

chooses to have them delivered for a $10 delivery charge.

The invoice separately lists the $20 delivery charge for the

rug and the $10 delivery charge for the candlesticks and

tablecloth. The $20 delivery charge for the rug is taxable

because there is an inseparable link between the purchase

of the rug and the $20 delivery charge (the purchase of the

rug cannot occur without payment of the $20 delivery

charge). In contrast, the $10 delivery charge for the

candlesticks and tablecloth is not taxable since no

inseparable link exists between the sale of these items and

the delivery charge (the customer had the choice of picking

up these items). The taxable amount is $345 (a selling

price of $270 for the rug comprised of $250 for the rug plus

a delivery charge of $20; and a selling price of $75 for the

candlesticks and tablecloth).


18



ii) Lump Sum Invoice. When an invoice contains a lump sum

delivery charge for separately listed items, the lump sum

delivery charge will not be taxable if the selling price of the

items for which delivery is nontaxable is greater than the

selling price of the items for which delivery is taxable.

EXAMPLE:

Assume the same facts as in the example in subsection

(b)(1)(E)(i), except that the invoice contains a lump sum

delivery charge of $30. Since the selling price of the items

for which delivery is nontaxable ($75 for the candlesticks

and tablecloth) is not greater than the selling price of the

items for which delivery is taxable ($250 for the rug), the

entire delivery charge is taxable. The taxable amount is

$355 ($250 for the rug, $75 for the candlesticks and

tablecloth, and a $30 delivery charge).

F) Taxable Shipping: Exemptions and Rates. If a retailer has

determined that the delivery charges are part of its gross receipts,

then the retailer must determine if any exemptions apply and, if

not, determine the appropriate tax rate for that transaction by

utilizing either the method established in subsection (b)(1)(F)(i) or

one of the applicable methods established in subsections

(b)(1)(F)(ii) through (vi).

i) The tax rate on delivery charges may be calculated for each

separately listed item on an invoice if the invoice itemizes

the delivery charge for each of the items. Using this

method, the tax rate for delivery charges could be

separately calculated at the high rate on high rate items, the

low rate on low rate items and as exempt on items that are

tax exempt. If this method is not chosen, one of the

applicable methods outlined in subsections (b)(1)(F)(ii)

through (vi) must be utilized.

EXAMPLE:


18



A customer orders insulin testing equipment for $25,

artificial sweetener for $10, hand lotion for $15 and

shampoo for $10 from an internet retailer. The customer

cannot purchase the items without choosing a delivery

option by the retailer. The invoice separately lists each

item and an associated delivery charge of $2. In this case,

tax is applied at the low 1% rate to $39 ($25 for the insulin

testing equipment plus a $2 delivery charge; $10 for the

artificial sweetenerartifical sweetner plus a $2 delivery

charge). Tax is applied at the high rate to $29 ($15 for the

hand lotion plus a $2 delivery charge; $10 for the shampoo

plus a $2 delivery charge).

ii) Exempt Tangible Personal Property. If the retailer

determines that either the purchaser or all of the tangible

personal property being sold is tax exempt, the entire gross

receipts from the sale are not taxable, including the delivery

charge.

EXAMPLE:

A church with an active exemption identification number

purchases new choir robes for $600. The retailer charges

the church $20 to deliver the robes. All amounts the retailer

charges the church, including for delivery, are not taxable

because the sale to the church was a tax-exempt sale.

iii) Exempt Tangible Personal Property with Taxable Tangible

Personal Property. If a retailer makes a sale of multiple

items of tangible personal property, some of which are

exempt and some of which are taxable, the outgoing

transportation or delivery charges are exempt if the total

selling price of the exempt tangible personal property is

greater than the selling price of the taxable tangible

personal property.

EXAMPLE:


18



A customer places an order for subscriptions to 3

magazines for a total of $36 and purchases 2 children's

books for a total of $12 through an online retailer. The

retailer charges $4 for shipping and handling. The

magazines qualify for the newsprint and ink exemption, but

the books do not. As a result, the selling price of the

exempt tangible personal property ($36) is greater than the

selling price of the taxable tangible personal property

($12). The shipping and handling charges ($4) are exempt.

iv) Delivery of Tangible Personal Property Taxed Entirely at

the Low Rate of Tax or Entirely at the High Rate of Tax. If

a retailer makes a sale of multiple items of tangible

personal property that are either all taxable at the high rate

of tax or all taxable at the low rate of tax, it must apply that

rate to all the gross receipts from the sale, including

delivery charges.

EXAMPLE:

A customer purchases a wheelchair online for $500. The

retailer charges $40 for delivery. The $40 delivery charge is

taxed at the low rate of tax.

v) Delivery of Multiple Items of Tangible Personal Property,

Some of Which are Taxed at the High Rate and Some of

Which are Taxed at the Low Rate. In order to qualify for

the low rate, the selling price of the tangible personal

property that is taxed at the low rate must be greater than

the total selling price of the tangible personal property that

is taxed at the high rate.

EXAMPLE:

A customer orders crackers, cheese and fruit for $200 and 6

bottles of wine at $75 per bottle ($450). The retailer

charges the customer $20 for delivery. The retailer's

outgoing transportation and delivery charges are part of the

retailer's costs of doing business and may not be deducted


18



from its gross receipts from that sale. The transportation

and delivery charges are taxable at the high rate of tax

because the total selling price for tangible personal property

taxed at the high rate ($450) is greater than the total selling

price for the tangible personal property taxed at the low rate

($200).

vi) Delivery of Multiple Items of Tangible Personal Property,

Some of Which are Taxed at the High Rate, Some of

Which are Taxed at the Low Rate, and Some of Which are

Exempt. The outgoing transportation or delivery charges

are exempt if the total selling price of the exempt tangible

personal property is greater than the selling price of the

taxable tangible personal property. If the total selling price

of the exempt tangible personal property is not greater than

the selling price of the taxable tangible personal property,

the transportation and delivery charges will qualify for the

low rate if the total selling price of the tangible personal

property that is taxed at the low rate is greater than the total

selling price of the tangible personal property that is taxed

at the high rate.

2) Incoming Transportation and Delivery Costs

A) Applicability. Incoming transportation and delivery costs are costs

incurred by a retailer in acquiring tangible personal property for

sale or moving tangible personal property from one location to

another location, up to and including transportation to a point from

which the property will be delivered or shipped to the customer, or

picked up by the customer.

B) General Rule. Incoming transportation and delivery costs are a

business expense to the retailer and may not be deducted from the

gross receipts from sales of tangible personal property at retail,

even though the retailer may pass those costs on to its customers

by quoting and billing those costs separately from the price of the

tangible personal property sold.

C) EXAMPLES:


18



i) A customer purchases $25 worth of books on the internet.

The retailer is advertising a $10 transportation and delivery

charge special on orders over $20 or a $1 transportation and

delivery charge special on orders shipped to its brick-and-

mortar store for in-store pick up by the customer. The

customer chooses the in-store pickup option. The incoming

transportation and delivery costs incurred by the retailer for

the customer's order shipped to its brick-and-mortar store

for in-store pickup are part of the retailer's costs of doing

business. Any amounts the retailer charges the customer for

shipping the books to its brick-and-mortar store are part of

the retailer's gross receipts from that sale and cannot be

deducted. The taxable amount on the sale of the books to

the customer is $26.

ii) A customer goes to an appliance store (Store A) to

purchase an oven for $300. The store only has the display

model at that location, but there are several in stock at a

second store at another store location (Store B). The

retailer offers to have Store B ship the oven to Store A for

$25, and the customer accepts. Any transportation costs to

move the merchandise from Store B to Store A are part of

the retailer's costs of doing business, and any amounts the

retailer charges the customer for moving that merchandise

cannot be deducted from the retailer's gross receipts from

that sale. The taxable amount on the sale of the appliance is

$325.


SUBPART E: RETURNS

Section 130.535 Payment of the Tax, Including Quarter Monthly Payments in Certain

Instances

a) Except as noted hereinafter, at the same time that a tax return required by the

provisions of the Act is filed with the Department, the taxpayer shall pay the tax

that is due with thesuch return to the Department.


18



b) Before October 1, 2000, if the taxpayer's average monthly tax liability to the

Department under the Retailers' Occupation Tax Act, the Use Tax Act, the

Service Occupation Tax Act, the Service Use Tax Act, excluding any liability for

prepaid sales tax to be remitted in accordance with Section 2d of the Act, was

$10,000 or more during the preceding 4 complete calendar quarters, he shall file a

return with the Department each month by the 20th day of the month next

following the month during which such tax liability is incurred and shall make

payments to the Department on or before the 7th, 15th, 22nd and last day of the

month during which such liability is incurred. If the month during which such tax

liability is incurred begins on or after January 1, 1988 and prior to January 1,

1989, each payment shall be in an amount equal to 22.5% of the taxpayer's actual

liability for the month or 25% of the taxpayer's liability for the same calendar

month of the preceding year. If the month during which such tax liability is

incurred begins on or after January 1, 1989, and prior to January 1, 1996, each

payment shall be in an amount equal to 22.5% of the taxpayer's actual liability for

the month or 25% of the taxpayer's liability for the same calendar month of the

preceding year or 100% of the taxpayer's actual liability for the quarter monthly

reporting period. If the month during which such tax liability is incurred begins on

or after January 1, 1996, each payment shall be in an amount equal to 22.5% of

the taxpayer's actual liability for the month or 25% of the taxpayer's liability for

the same calendar month of the preceding year. The amount of such payments

shall be credited against the final tax liability of the taxpayer's return for that

month. Prior to January 1, 1999, if any such payment is not paid at the time or in

the amount required in this subsection, then the taxpayer's 2%, 2.1% or 1.75%

vendors' discount shall be reduced by 2%, 2.1% or 1.75% of the difference

between the minimum amount due as a payment and the amount of such quarter

monthly payment actually and timely paid, and the taxpayer shall be liable for

penalties and interest on such difference except insofar as the taxpayer has

previously made payments for that month to the Department in excess of the

minimum payments previously due as provided in this Section. Beginning on and

after January 1, 1999, if any such payment is not paid at the time or in the amount

required in this subsection, then the taxpayer shall be liable for penalties and

interest on the difference between the minimum amount due as a payment and the

amount of such quarter monthly payment actually and timely paid, except insofar

as the taxpayer has previously made payments for that month to the Department

in excess of the minimum payments previously due as provided in this Section.

On and after October 1, 2000, Ifif the taxpayer's average monthly tax liability to


18



the Department under the Act, the Use Tax Act, the Service Occupation Tax Act,

and the Service Use Tax Act, excluding any liability for prepaid sales tax to be

remitted in accordance with Section 2d of the Act, was $20,000 or more during

the preceding 4 complete calendar quarters, he or she shall file a return with the

Department each month by the 20th day of the month next following the month

during which thesuch tax liability is incurred and shall make payment to the

Department on or before the 7th, 15th, 22nd and last day of the month during which

such liability is incurred. (Section 3 of the Act)

c) Before October 1, 2001, without regard to whether a taxpayer is required to make

quarter monthly payments as specified above, any taxpayer who is required by

Section 2d of this Act to collect and remit prepaid taxes and has collected prepaid

taxes which average in excess of $25,000 per month during the preceding 2

complete calendar quarters, shall file a return with the Department as required

by Section 2f and shall make payments to the Department on or before the 7th,

15th, 22nd and last day of the month during which such liability is incurred. If the

month during which such tax liability is incurred begins on or after January 1,

1987, each payment shall be in an amount equal to 22.5% of the taxpayer's actual

liability for the month or 26.25% of the taxpayer's liability for the same calendar

month of the preceding year. The amount of such quarter monthly payments shall

be credited against the final tax liability of the taxpayer's return for that month

filed under this Section or Section 2f, as the case may be. Once applicable, the

requirement of the making of quarter monthly payments to the Department

pursuant to this paragraph shall continue until such taxpayer's average monthly

prepaid tax collections during the preceding 2 complete calendar quarters is

$25,000 or less. If any such quarter monthly payment is not paid at the time or in

the amount required, the taxpayer shall be liable for penalties and interest on

such difference, except insofar as the taxpayer has previously made payments for

that month in excess of the minimum payments previously due. (Section 3 of the

Act) On and after October 1, 2001, Withoutwithout regard to whether a taxpayer

is required to make quarter monthly payments as specified above, any taxpayer

who is required by Section 2d of the Act to collect and remit prepaid taxes and

has collected prepaid taxes that average in excess of $20,000 per month during

the preceding 4 complete calendar quarters shall file a return with the

Department as required by Section 2f and shall make payments to the Department

on or before the 7th, 15th, 22nd and last day of the month during which the

liability is incurred. Each payment shall be in an amount equal to 22.5% of the

taxpayer's actual liability for the month or 25% of the taxpayer's liability for the

same calendar month of the preceding year. The amount of the quarter monthly


18



payments shall be credited against the final tax liability of the taxpayer's return

for that month filed under this Section or Section 2f of the Act, as the case may

be. Once applicable, the requirement of the making of quarter monthly payments

to the Department pursuant to this paragraph shall continue until the taxpayer's

average monthly prepaid tax collections during the preceding 4 complete

calendar quarters (excluding the month of highest liability and the month of

lowest liability) is less than $19,000 or until thesuch taxpayer's average monthly

liability to the Department as computed for each calendar quarter of the 4

preceding complete calendar quarters is less than $20,000. If any such quarter

monthly payment is not paid at the time or in the amount required, the taxpayer

shall be liable for penalties and interest on thesuch difference, except insofar as

the taxpayer has previously made payments for that month in excess of the

minimum payments previously due. (Section 3 of the Act)

d) If any such payment or deposit provided for herein exceeds the taxpayer's present

and probable future liabilities under the Retailers' Occupation Tax Act, the Use

Tax Act, the Service Occupation Tax Act and the Service Use Tax Act, the

Department shall, if requested by the taxpayer, issue to the taxpayer a credit

memorandum, thatwhich may be submitted by the taxpayer to the Department in

payment of tax liability subsequently to be remitted by the taxpayer to the

Department or be assigned by the taxpayer to a similar taxpayer under the

Retailers' Occupation Tax Act, the Use Tax Act, the Service Occupation Tax Act

or the Service Use Tax Act. If no such request is made, the taxpayer may credit

thesuch excess payment against tax liability subsequently to be remitted to the

Department under the Act, the Use Tax Act, the Service Occupation Tax Act or

the Service Use Tax Act. If the Department subsequently determines that all or

any part of the credit taken was not actually due to the taxpayer, the taxpayer's

2.1% and 1.75% vendor's discount shall be reduced by 2.1% or 1.75% of the

difference between the credit taken and that actually due, and that taxpayer shall

be liable for penalties and interest on thesuch difference.

e) For the purposes of this Section, the phrase "preceding 4 complete calendar

quarters" means the preceding 4 complete calendar quarters for which returns

would have been filed or should have been filed for the last month of the 4 quarter

period since, until then, the making of the required computations for the 4 quarter

period would be impossible. For example, the preceding 4 complete calendar

quarters with reference to a November 1, 1976, date would actually have ended

June 30, 1976, since most returns for the last month of that 4 quarter period would

not have to have been filed until July 31, 1976, and the preceding 4 complete


18



calendar quarters with reference to a July 1, 1977, date would actually end March

31, 1977, since most returns for the last month of that 4 quarter period would not

have to be filed until April 30, 1977. The calendar quarters are January through

March, April through June, July through September and October through

December.

f) A taxpayer who has an annual tax liability of $20,000 or more shall make all

payments of that tax to the Department by electronic funds transfer. For purposes

of this subsection (f), the term "annual tax liability" means, for a taxpayer that

incurs a tax liability under the Retailers' Occupation Tax Act, Service Occupation

Tax Act, Use Tax Act, Service Use Tax Act, or any other State or local occupation

or use tax law that is administered by the Department, the sum of the taxpayer's

liabilities under the Retailers' Occupation Tax Act, Service Occupation Tax Act,

Use Tax Act, Service Use Tax Act, and all other State and local occupation and

use tax laws administered by the Department for the immediately preceding

calendar year.Beginning October 1, 1993, a taxpayer who has an average

monthly tax liability of $150,000 or more shall make all payments required by

rules of the Department (see 86 Ill. Adm. Code 750 "Payment of Taxes by

Electronic Funds Transfer") by electronic funds transfer. Beginning October 1,

1994, a taxpayer who has an average monthly tax liability of $100,000 or more

shall make all payments required by rules of the Department by electronic funds

transfer. Beginning October 1, 1995, a taxpayer who has an average monthly tax

liability of $50,000 or more shall make all payments required by rules of the

Department by electronic funds transfer.

g) Beginning October 1, 2000, a taxpayer who has an annual tax liability of

$200,000 or more shall make all payments required by rules of the Department by

electronic funds transfer (see 86 Ill. Adm. Code 750). The term "annual tax

liability" shall be the sum of the taxpayer's liabilities under the Retailers'

Occupation Tax Act, and all other State and local occupation and use tax laws

administered by the Department, for the immediately preceding calendar year.

(Section 3 of the Act)


Section 130.551 Prepayment of Retailers' Occupation Tax on Motor Fuel

a) Every distributor, supplier or other reseller of motor fuel registered under the

Motor Fuel Tax Law shall remit the Retailers' Occupation Tax prepayment due


18



from a person engaged in the business of selling any motor fuel, except liquid

propane gas, at retail and who is not a licensed distributor or supplier, as defined

in Section 1.2 or 1.14, respectively, of the Motor Fuel Tax Law [35 ILCS 505/1.2

and 1.14].

b) The Retailers' Occupation Tax Act paid to the distributor, supplier, or other

reseller will be at the rate established by the Department pursuant to Section 2d(e)

of the Act.Before July 1, 2000 and then beginning on January 1, 2001 through

June 30, 2003, the Retailers' Occupation Tax paid to such distributor, supplier or

other reseller of motor fuel shall be an amount equal to four cents per gallon of

the motor fuel, except gasohol as defined in Section 2-10 of the Act which shall

be an amount equal to 3 cents per gallon, purchased from such distributor,

supplier or other reseller. Beginning on July 1, 2003 and thereafter, the Retailers’

Occupation Tax paid to the distributor, supplier, or other reseller shall be an

amount equal to $0.06 per gallon of the motor fuel; except that, for gasohol as

defined in Section 2-10 of the Act, the tax shall be an amount equal to $0.05 per

gallon, purchased from the distributor, supplier, or other reseller. Beginning on

July 1, 2000 and through December 31, 2000, the Retailers' Occupation Tax paid

to such distributor, supplier or other reseller of motor fuel shall be an amount

equal to one cent per gallon of the motor fuel and of gasohol as defined in Section

2-10 of the Act.

c) The distributor, supplier or other reseller required to remit such Retailers'

Occupation Tax shall file returns and deliver statements of the tax paid in

accordance with Sections 2e and 2f of the Act.

d) The vendor's discount provided in Section 3 of the Retailers' Occupation Tax Act

shall not apply to the amount of prepaid tax thatwhich is remitted to the

Department as required by 35 ILCS 120/2d, 2e and 2f.


Section 130.552 Alcoholic Liquor Reporting

a) Retailer Liquor Report. AnyBeginning on October 1, 2003, any person that is

engaged in the business of selling alcoholic liquor at retail through a liquor store,

tavern, or restaurant shall file a monthly statement with the Department listing the

total amount paid for alcoholic liquor purchased during the preceding calendar

month. The statement shall be filed on thatsuch person's Form ST-1, Sales and


18



Use Tax Return, by including the total amount shown on invoices for alcoholic

liquor delivered during the preceding calendar month. TheFor returns due

through January 31, 2012, the Form ST-1 Return shall be filed using the

Department's TeleFile program (86 Ill. Adm. Code 770). For returns due on and

after February 1, 2012, the Form ST-1 Return shall be filed by electronic means

under the Department's electronic filing program in accordance with regulations

at 86 Ill. Adm. Code 760.100. Upon petition by a taxpayer, the Department may

waive the electronic filing requirement if the taxpayer attests that it does not have

access to the Internet. The requirements of this subsection (a) shall not apply to

any person who is a licensed distributor, importing distributor, or manufacturer

as those persons are described in Sections 1-3.08, 1-3.15, and 1-3.16 of the

Liquor Control Act of 1934. The requirements of this subsection (a) shall not

apply to any person who is required to make quarter monthly payments on the 7th,

15th, 22nd, and last day of each month under Section 3 of the Retailers' Occupation

Tax Act. [35 ILCS 120/3] For purposes of this subsection (a):

1) "Liquor store" means any legal entity that is operated primarily to sell

alcoholic liquor at retail to the public. To meet the primary test, the

selling price of all the alcoholic liquor sold during a calendar year must

exceed 50% of the selling price of all retail sales for that calendar year.

2) "Tavern" means any legal entity that is operated to sell alcoholic liquor at

retail to the public for on-premises consumption.

3) "Restaurant" means any legal entity that is operated to sell food and

alcoholic liquor at retail to the public for on-premises consumption.

b) Distributor Liquor Reports.

1) EveryBeginning on October 1, 2003, every distributor, importing

distributor, and manufacturer of alcoholic liquor, as those persons are

described in Sections 1-3.08, 1-3.15, and 1-3.16 of the Liquor Control Act

of 1934, shall file, in an electronic format prescribed by the Department, a

statement with the Department of Revenue, no later than the 10th day of

the month for the preceding month during which transactions occurred

showing the total amount of gross receipts from the sale of alcoholic

liquor sold or distributed during the preceding calendar month to

purchasers; identifying the purchaser to whom it was sold or distributed;


18



the purchaser's tax registration number; and such other information

reasonably required by the Department.

2) The statement required to be filed with the Department under this

subsection (b) shall be filed no later than the 10th day of the month for the

preceding calendar month in an electronic format prescribed by the

Department. [35 ILCS 120/3] If the distributor, importing distributor, or

manufacturer files its Form RL-26, Liquor Revenue Return, electronically,

the statement required to be filed under this subsection (b) may be filed in

conjunction with the electronic filing of the Liquor Revenue Return no

later than the 15th day of the month for the preceding calendar month. [35

ILCS 120/3]

3) Every distributor, importing distributor, or manufacturer of alcoholic

liquor must personally deliver, mail, or provide by electronic means to

each retailer listed on the monthly statement described in this subsection

(b) a retailer's purchase statement containing a cumulative total of that

distributor's, importing distributor's, or manufacturer's total sales of

alcoholic liquor to that retailer no later than the 10th day of the month for

the preceding month during which those transactions occurred. For

purposes of this subsection (b), the term "electronic means" includes, but

is not limited to, the use of a secure Internet website, e-mail, or facsimile.

[35 ILCS 120/3] The distributor, importing distributor, or manufacturer

shall notify each retailer as to the method by which the distributor,

importing distributor, or manufacturer will provide the retailer's purchase

statement by personally delivering a written notice or mailing a written

notice to each retailer. The personal delivery or mailing of the notice may

be made by including thatsuch information on an invoice provided by mail

or in person to the retailer. The following methods may be used by the

distributor, importing distributor, or manufacturer to provide retailer's

purchase statements to retailers:

A) mailing a copy of the retailer's purchase statement to each retailer;

B) delivering a copy of the retailer's purchase statement to each

retailer, or in lieu of delivering a copy of the statement, by listing a

cumulative total of the sales made to that retailer within that

calendar month on all invoices delivered to the retailer; or


18



C) sending or allowing access to the retailer's purchase statement

through electronic means, provided that, if a retailer is unable to

receive the statement by electronic means, the retailer must provide

a written notice, by mail or in person delivery, to the distributor,

importing distributor, or manufacturer of alcoholic liquor, stating

that the retailer is unable to receive the statement by electronic

means. Beginning with the month following the receipt of such

notification from the retailer, the distributor, importing distributor,

or manufacturer shall furnish the retailer's purchase statement to

that retailer by personal delivery or by mail as described in

subsections (b)(3)(A) and (B).


SUBPART G: CERTIFICATE OF REGISTRATION

Section 130.701 General Information on Obtaining a Certificate of Registration

a) It shall be unlawful for any person to engage in the business of selling tangible

personal property at retail in this State without a certificate of registration from

the Department.

b) Every person who engages in the business of selling tangible personal property at

retail in this State must procure a certificate of registration (and sub-certificate of

registration when required) from the Department.

c) For information with respect to penalties for violating this requirement, see

Subpart I of this Part.

d) The application to register must be made on a form prescribed and furnished by

the Department for that purpose. Upon request therefor, made to the Department

of Revenue, an application form will be furnished. Each application shall be

signed and verified. The application shall contain an acceptance of responsibility

by the person or persons who will be responsible for filing returns and payment of

the taxes due under the Act. Applications to register may be submitted

electronically on the Department's website at www.tax.illinois.gov.

e) Special Requirements Pertaining to Vending Machines

If the applicant will sell tangible personal property at retail through vending


18



machines, his or her application to register shall indicate the number of vending

machines to be so operated; and through December 31, 2011, he or she shall

notify the Department by January 31 of the number of vending machines that he

or she was using in his or her business of selling tangible personal property at

retail on the preceding December 31. Beginning January 1, 2012, persons who

add additional vending machines must contact the Department to request

additional sub-certificates of registration, as well as inform the Department of the

total number of vending machines from which retail sales are being made.

Additional sub-certificates of registration may be requested on the Department's

website at www.tax.illinois.gov.

f) Posting Bond or Other Security

1) Every applicant for a certificate of registration shall, within 30 days after

he or she commences to engage in the business of selling tangible personal

property at retail, furnish a bond from a surety company authorized to do

business in the State of Illinois, or a bond signed by 2 personal sureties

who have filed, with the Department, sworn statements disclosing net

assets equal to at least 3 times the amount of the bond to be required of the

applicant, or a bond secured by an assignment of a bank account or

certificate of deposit, stocks or bonds, conditioned upon the applicant

paying to the State of Illinois all moneys becoming due under the

Retailers' Occupation Tax Act and under any other State tax law or

municipal or county tax ordinance or resolution under which the certificate

of registration that is issued to the applicant under the Retailers'

Occupation Tax Act will permit the applicant to engage in business

without registering separately under anothersuch other law, ordinance or

resolution.

2) Maximum Amount of Bond or Other Security

A) The Department shall fix the amount of such security in each case,

taking into consideration the amount of money expected to become

due from the applicant under the Retailers' Occupation Tax Act

and under any other State tax law or municipal or county tax

ordinance or resolution under which the certificate of registration

that is issued to the applicant under the Retailers' Occupation Tax

Act will permit the applicant to engage in business without

registering separately under anothersuch other law, ordinance or


18



resolution. The amount of security required by the Department

shall be sufficient tosuch as, in its opinion, will protect the State of

Illinois against failure to pay the amount thatwhich may become

due from the applicant under the Retailers' Occupation Tax Act

and under any other State tax law or municipal or county tax

ordinance or resolution under which the certificate of registration

that is issued to the applicant under the Retailers' Occupation Tax

Act will permit the applicant to engage in business without


resolution, but the amount of the security required by the

Department shall not exceed three times the amount of the

applicant's average monthly tax liability, or $50,000, whichever

amount is lower.

B) No certificate of registration under the Retailers' Occupation Tax

Act shall be issued by the Department until the applicant provides

the Department with satisfactory security as provided for in this

subsection (f).

3) Exception from Security Requirements for Prior Continuous Compliance

Taxpayers

Any taxpayer who has, as verified by the Department, faithfully and

continuously complied with the condition of his or her bond or other

security under the provisions of the Act for a period of 3 consecutive years

shall be considered to be a Prior Continuous Compliance taxpayer. Every

Prior Continuous Compliance taxpayer shall be exempt from all

requirements under the Act concerning the furnishing of security as a

condition precedent to his or her being authorized to engage in the

business of selling tangible personal property at retail in this State. This

exemption shall continue for each such taxpayer until he or she may be

determined by the Department to be delinquent in the filing of any returns,

or is determined by the Department (either through the Department's

issuance of a final assessment that has become final under the Act, or by

the taxpayer's filing of a return that admits tax that is not paid to be due) to

be delinquent or deficient in the paying of any tax under the Retailers'

Occupation Tax Act or under any other State tax law or municipal or

county tax ordinance or resolution under which the certificate of

registration that is issued to the registrant under the Retailers' Occupation

Tax Act will permit the registrant to engage in business without


18




resolution, at which time that taxpayer shall become subject to all the

financial responsibility requirements of the Act and, as a condition of

being allowed to continue to engage in the business of selling tangible

personal property at retail, shall be required to post bond or other

acceptable security with the Department covering liability that the

taxpayer may thereafter incur. Any taxpayer who fails to pay an admitted

or established liability under the Act may also be required to post bond or

other acceptable security with this Department guaranteeing the payment

of the admitted or established liability.

g) Issuance of Certificate of Registration

Upon receipt of the application for certificate of registration in proper form, and

upon approval by the Department of the security furnished by the applicant, the

Department shall issue to the applicant a certificate of registration that shall

permit the person to whom it is issued to engage in the business of selling tangible

personal property at retail in this State.

h) No certificate of registration issued to a taxpayer who files returns required by

this Act on a monthly basis shall be valid after the expiration of 5 years from the

date of its issuance or last renewal. The expiration date of a sub-certificate of

registration shall be that of the certificate of registration to which the sub-

certificate relates. A certificate of registration shall be automatically renewed,

subject to revocation as provided by the Act, for an additional 5 years from the

date of its expiration unless otherwise notified by the Department. A certificate of

registration issued under the Act more than 5 years before the effective date of the

amendatory Act of 1989 shall expire and be subject to the renewal provisions of

this Section on the next anniversary of the date of issuance of the certificate which

occurs more than 6 months after the effective date of the Amendatory Act of 1989.

A certificate of registration issued less than 5 years before the effective date of

this Amendatory Act of 1989 shall expire and be subject to the renewal provisions

of this Section on the 5th anniversary of the issuance of the certificate.

i) Where a taxpayer to whom a certificate of registration is issued under the Act is

in default to the State of Illinois for delinquent returns or for moneys due under

the Act or any other State tax law or municipal or county ordinance administered

or enforced by the Department, the Department shall, not less than 120 days

before the expiration of the certificate of registration, give notice to the taxpayer

to whom the certificate was issued of the account period of the delinquent returns,


18



the amount of tax, penalty and interest due and owing from the taxpayer, and that

the certificate of registration shall not be automatically renewed upon its

expiration date unless the taxpayer, on or before the date of expiration, has filed

and paid the delinquent returns or paid the defaulted amount in full. Beginning

January 1, 2015, where a taxpayer to whom a certificate of registration is issued

under the Act is in default to the State of Illinois for delinquent returns or for

moneys due under the Act or any other State tax law or municipal or county

ordinance administered or enforced by the Department, the Department shall, not

less than 60 days before the expiration of the certificate of registration, give

notice to the taxpayer to whom the certificate was issued of the account period of

the delinquent returns, the amount of tax, penalty and interest due and owing

from the taxpayer, and that the certificate of registration shall not be

automatically renewed upon its expiration date unless the taxpayer, on or before

the date of expiration, has filed and paid the delinquent returns or paid the

defaulted amount in full.

j) The Department may, in its discretion, approve renewal by an applicant who is in

default if, at the time of application for renewal, the applicant files all of the

delinquent returns or pays to the Department the percentage of the defaulted

amount as may be determined by the Department and agrees in writing to waive

all limitations upon the Department for collection of the remaining defaulted

amount to the Department over a period not to exceed 5 years from the date of

renewal of the certificate; however, no renewal application submitted by an

applicant who is in default shall be approved if the immediately preceding

renewal by the applicant was conditioned upon the installment payment

agreement described in this Section. The payment agreement shall be in addition

to, and not in lieu of, the security required by this Section of a taxpayer who is no

longer considered a continuous compliance taxpayer. The execution of the

payment agreement as provided in the Act shall not toll the accrual of interest at

the statutory rate. (Section 2a of the Act)


SUBPART I: PENALTIES AND INTEREST

Section 130.901 Civil Penalties

TheBeginning January 1, 1994, the Uniform Penalty and Interest Act [35 ILCS 735] applies to

civil penalties imposed for violations of the Retailers' Occupation Tax Act or of any regulation of


18



the Department issued pursuant to that Act. (See 86 Ill. Adm. Code 700 for explanations and

examples of the application of these penalties.) The Retailers' Occupation Tax Act provided the

following penalties for violations of the Act or of any Regulation of the Department issued

pursuant thereto prior to January 1, 1994:

a) Filing an Incorrect Return

If the tax computed upon the basis of the gross receipts as fixed by the

Department is greater than the amount of tax due under the return or returns as

filed, the Department shall (or if the tax or any part thereof that is admitted to be

due by a return or returns, whether filed on time or not, is not paid, the

Department may) issue the taxpayer a notice of tax liability for the amount of tax

claimed by the Department to be due, together with a penalty of 10% thereof:

Provided, that if the incorrectness of any return or returns as determined by the

Department is due to fraud, said penalty shall be 30% of the tax due (Section 4 of

the Act). The above-quoted penalties apply on or after January 1, 1988 through

December 31, 1993.

b) Failure to File Return When Required, but Payment Prior to Notice of Tax

Liability

In case any person engaged in the business of selling tangible personal property

at retail fails to file a return when and as herein required, but thereafter, prior to

the Department's issuance of a notice of tax liability under this section, files a

return and pays the tax, he shall also pay a penalty of 10% of the amount of the

tax. (Section 5 of the Act)

1) The above-quoted penalty applies January 1, 1988 through December 31,

1993.

A) EXAMPLE: The taxpayer's return for November 1987, is required

to be filed on or before December 31, 1987. The taxpayer files the

return on January 10, 1988. Because the return is filed late in

January 1988, it is subject to the 10% penalty rate that went into

effect January 1, 1988.

B) EXAMPLE: The taxpayer's return for October 1987, is required to

be filed on or before November 30, 1987. The taxpayer files the

return on December 12, 1987. Because the return is filed late

during December 1987, it is subject to the 7.5% penalty rate that

was in effect during December 1987.


18



2) As to tax liability incurred before November 1, 1987, but on or after

December 1, 1984, the penalty in this situation is 7.5%.

c) Filing Return at Required Time but Failure to Pay Tax


at retail files the return at the time required by the Act but fails to pay the tax, or

any part thereof, when due, a penalty of 10% of the amount of the tax unpaid

when due shall be added thereto. (Section 5 of the Act)

1) The above-quoted penalty applies on or after January 1, 1988 through

December 31, 1993.

2) As to tax liability incurred before January 1, 1988, but on or after


d) Filing Late Return Without Payment of Entire Tax


at retail fails to file a return when and as herein required, but thereafter, prior to

the Department's issuance of a notice of tax liability under this section, files a

return but fails to pay the entire tax, a penalty of 10% of the full amount of tax

shown by such return shall be added thereto. (Section 5 of the Act)

1) The above-quoted penalty applies on or after January 1, 1988 through

December 31, 1993.

2) As to tax liability incurred before January 1, 1988, but on or after


e) Failure to File Return When Required, and Failure to Pay Prior to Notice by

Department


at retail fails to file a return, the Department shall determine the amount of tax

due from him according to its best judgment and information, which amount so

fixed by the Department shall be prima facie correct and shall be prima facie

evidence of the correctness of the amount of tax due, as shown in such

determination.... The Department shall issue the taxpayer a notice of tax liability

for the amount of tax claimed by the Department to be due, together with a

penalty of 30% thereof. (Section 5 of the Act)


18



1) The above-quoted penalty applies to tax liability incurred on or after

December 1, 1984 through December 31, 1993.

2) As to tax liability incurred before December 1, 1984, but after July 1,

1965, the penalty in this situation is 20%.

f) Effect of a Taxpayer's Bankruptcy Filing Upon a Notice of Tax Liability

Generally, if a protest to a notice of tax liability and a request for hearing is not

filed within 60 days after issuance of a Notice of Tax Liability (NTL), such NTL

shall become final without the necessity of a final assessment being issued and

shall be deemed to be a final assessment. (See Section 5 of the Act) However, if

prior to the issuance of the NTL, a taxpayer has filed a petition in U.S.

Bankruptcy Court and the automatic stay is still in effect, or if a taxpayer files

such a petition within 60 days after the issuance of an NTL, the automatic stay

prevents any pre-petition liability included in the NTL from becoming final even

though not protested within 60 days after the issuance of the NTL. If any

pre-petition tax included in the NTL is not paid to the Department through the

bankruptcy proceeding, adjudicated by the bankruptcy court, or discharged by the

bankruptcy court, the taxpayer has 60 days after termination of the automatic stay

to protest the pre-petition liability and request an administrative hearing pursuant

to 86 Ill. Adm. Code 200.

g) Over-Collection of Tax, or Collection of Tax on Nontaxable Receipts

If a seller collects an amount (however designated) that purports to reimburse the

seller for Retailers' Occupation Tax liability measured by receipts that are not

subject to retailers' occupation tax, or if a seller, in collecting an amount

(however designated) that purports to reimburse the seller for Retailers'

Occupation Tax liability measured by receipts that are subject to tax under the

Act, collects more from the purchaser than the seller's Retailers' Occupation Tax

liability on the transaction, the purchaser shall have a legal right to claim a

refund of that amount from the seller. If, however, that amount is not refunded to

the purchaser for any reason, the seller is liable to pay that amount to the

Department. This subsection (g) does not apply to an amount collected by the

seller as reimbursement for the seller's Retailers' Occupation Tax liability on

receipts that are subject to tax under the Act as long as such collection is made in

compliance with the tax collection brackets prescribed by the Department at 86

Ill. Adm. Code 150.Table A. (Section 2-40 of the Act)


18



For example, a lessor of tangible personal property who paid Use Tax up front

upon acquisition of the rental property collects an amount described in the rental

statements as a "tax" from lessees. Because the lease contract payment amounts

do not generate a tax, the amounts collected as a "tax" are a collection of tax on

nontaxable receipts and the lessee has a legal right to claim a refund of that

amount. If the amount is not refunded, the taxpayer must pay the amount to the

Department. (See John Nottoli, Inc. v. Department of Revenue (Fourth Dist.

1995, 272 Ill.App.3d 822).)

h) Filing Late Return Due to "Reasonable Cause"

1) The penalties imposed under Sections 3-3, 3-4 and 3-5 of the Uniform

Penalty and Interest Act shall not apply if the taxpayer shows that his

failure to file a return or pay tax at the required time was due to reasonable

cause.

2) The Department will decide whether to abate a penalty by considering the

extent to which the taxpayer made a good faith effort to determine his

proper tax liability and pay his proper liability in a timely fashion. In

making this determination the Department will use the standards set out in

the Reasonable Cause Section (86 Ill. Adm. Code 700.400) of the Uniform

Penalty and Interest Act regulations.


Section 130.905 Interest

a) AnyIn addition to any penalty provided for in this Act, any amount of tax which

is not paid when due shall bear interest at the rate of 1% prior to September 17,

1981, and at the rate of 2% on and after September 17, 1981 and prior to January

1, 1987, and at the rate of 1.25% on and after January 1, 1987 through December

31, 1993, per month or fraction thereof from the date when such tax becomes past

due until such tax is paid or a judgment therefor is obtained by the Department.

Beginning January 1, 1994, any amount of tax thatwhich is not paid when due

shall bear interest at the rate and in the manner specified in Sections 3-2 and 3-9

of the Uniform Penalty and Interest Act from the date when thatsuch tax becomes

past due until thatsuch tax is paid or a judgment therefor is obtained by the

Department. Interest shall be simple interest calculated on a daily basis. Interest

shall accrue upon tax and penalty due. [35 ILCS 735/3-2(c)] (See 86 Ill. Adm.


18



Code 700.200, Interest Paid and Interest Charged, 86 Ill. Adm. Code 700.210,

Interest Rate Calculation, and 86 Ill. Adm. Code 700.220, Interest Charged

Taxpayers.)

b) If the time for making or completing an audit of a taxpayer's books and records is

extended with the taxpayer's consent, at the request of and for the convenience of

the Department, beyond the date on which the statute of limitations upon the

issuance of a notice of tax liability by the Department otherwise would run, no

interest shall accrue during the period of such extension or until a Notice of Tax

Liability is issued, whichever occurs first. (Section 5 of the Act)


SUBPART S: SPECIFIC APPLICATIONS

Section 130.1951 Sales of Building Materials Incorporated into Real Estate within

Enterprise Zones

a) An exemption from Illinois Retailers' Occupation Tax liability exists for gross

receipts from qualified sales of building materials that will be incorporated into

real estate located in an enterprise zone established by a county or municipality

under the Illinois Enterprise Zone Act by remodeling, rehabilitation or new

construction. [35 ILCS 120/5k]

b) Documentation for Sales Made on and after August 6, 2002 through June 30,

2013

1) "Qualified sale" means a sale of building materials that will be

incorporated into real estate as part of a building project for which a

Certificate of Eligibility for Sales Tax Exemption (Exemption Certificate)

has been issued by the administrator of the enterprise zone in which the

building project is located. [35 ILCS 120/5k] During this period, there is

no requirement that the retailer from whom the materials are purchased be

located in a jurisdiction that created the enterprise zone into which the

materials will be incorporated; likewise, restrictions in the enterprise zone

ordinance in effect at the retailer's location do not apply to purchases of

building materials for incorporation into another enterprise zone. The

municipality or county that created the enterprise zone into which the

materials will be incorporated can limit the exemption by ordinance,


18



except that the ordinance may not require that the materials be purchased

from any class of retailers, and it may not prohibit the purchase being

made from any class of retailers. All "qualified sales" of building

materials sold for incorporation into any Illinois enterprise zone are

eligible for the exemption.

2) The Certificate of Eligibility for Sales Tax Exemption must contain:

A) a statement that the building project identified in the Certificate

meets all of the requirements of the enterprise zone ordinance of

the jurisdiction in which the building project is located;

B) the location or street address of the building project that is the

subject of the Certificate;

C) the signature of the administrator of the enterprise zone in which

the building project is located.

3) Certification. A retailer claiming the exemption on and after August 6,

2002 through June 30, 2013, must have among its books and records:

A) a copy of the Certificate of Eligibility for Sales Tax Exemption

from the administrator of the enterprise zone into which the

materials will be incorporated; and

B) a certification from the purchaser of the building materials

containing the following:

i) a statement that the building materials being purchased are

being purchased for incorporation into real estate located in

an Illinois enterprise zone,

ii) the location or address of that real estate,

iii) the name of the enterprise zone in which that real estate is

located,

iv) a description of the building materials being purchased for

incorporation into that real estate,


18



v) the date of the purchase, and

vi) the purchaser's signature.

bc) Issuance of Exemption Certificates for Purchases Made on and after July 1, 2013

1) On and after July 1, 2013, "qualified sale" means a sale of building

materials that will be incorporated into real estate as part of a building

project for which an Enterprise Zone Building Materials Exemption

Certificate (Exemption Certificate) has been issued to the purchaser by

the Department. A construction contractor or other entity shall not make

tax-free purchases unless it has an active Exemption Certificate issued by

the Department at the time of the purchase. [35 ILCS 120/5k(a)] The

exemption allowed by this Section for the sale of building materials may

be limited to the extent authorized by ordinance by the municipality or

county that created the enterprise zone into which the building materials

will be incorporated. The ordinance, however, may neither require nor

prohibit the purchase of building materials from any retailer or class of

retailers in order to qualify for the exemption allowed under Section 5k of

the Retailers' Occupation Tax Act. [35 ILCS 120/5k(d)]

2) Upon request from an enterprise zone administrator, the Department shall

issue an Exemption Certificate for each construction contractor or other

entity identified by the enterprise zone administrator. The Department

shall make the Exemption Certificates available directly to each enterprise

zone administrator, construction contractor or other entity.

A) The request for an Exemption Certificate from the enterprise zone

administrator to the Department must include the following

information:

i) the name, address, telephone number and e-mail address of

the construction contractor or other entity;

ii) the name and number of the enterprise zone;

iii) the name and location or address of the building project in

the enterprise zone;


18



iv) the estimated amount of the exemption for each

construction contractor or other entity for which a request

for Exemption Certificate is made, based on a stated

estimated average tax rate and the percentage of the

contract that consists of materials;

v) the period of time over which supplies for the project are

expected to be purchased; and

vi) the FEIN of the applicant.

B) The Department shall issue an Exemption Certificate within 3

business days after receipt of a request from the zone

administrator, unless the Department, for reasonable cause, is

unable to issue an Exemption Certificate within 3 business days.

Examples of "reasonable cause" include, but are not limited to,

receipt of a request lacking all the information required by

subsection (bc)(2)(A), the receipt of a large number of requests for

Exemption Certificates from a zone administrator, or lack of

sufficient staff to process the number of existing requests.

C) The Department may refuse to issue an Exemption Certificate if the

owner, any partner, or a corporate officer, and in the case of a

limited liability company, any manager or member, of the

construction contractor or other entity is or has been the owner, a

partner, a corporate officer, and in the case of a limited liability

company, a manager or member, of a person that is in default for

moneys due to the Department under this Act or any other tax or

fee Act administered by the Department.

D) The request for an Exemption Certificate must be submitted

electronically.

E) An Exemption Certificate shall be effective for no more than 2

years after the date of issuance. At the request of a zone

administrator, the Department may renew an Exemption

Certificate.


18



F) After the Department issues an Exemption Certificate for a given

enterprise zone building project, an enterprise zone administrator

may notify the Department of additional construction contractors

or other entities eligible for Exemption Certificates. Upon

notification by an enterprise zone administrator, and subject to the

other provisions of this subsection (bc), the Department shall issue

an Exemption Certificate to each additional construction

contractor or other entity identified by the enterprise zone

administrator.

G) An enterprise zone administrator may notify the Department to

rescind an Exemption Certificate previously issued by the

Department but that has not yet expired. Upon notification by the

enterprise zone administrator, and subject to the other provisions

of this subsection (bc), the Department shall issue the rescission of

the Exemption Certificate to the construction contractor or other

entity identified by the enterprise zone administrator and provide a

copy to the enterprise zone administrator. [35 ILCS 120/5k]

3) Notwithstanding anything to the contrary in this subsection (bc), for

Enterprise Zone building projects already in existence and for which

construction contracts are already in place on July 1, 2013, the request

for Exemption Certificates from an enterprise zone administrator to the

Department for pre-existing construction contractors and other entities

must include the information required under subsection (bc)(2)(A), but

need not include the information listed in subsections (bc)(2)(A)(iv) and

(v). For any new construction contract entered into on or after July 1,

2013, however, all of the information in subsection (bc) of this Section

must be provided. [35 ILCS 120/5k(a)]

cd) Documentation of the Exemption for Purchases made on or after July 1, 2013

1) On and after July 1, 2013, to document the exemption allowed under this

Section, the retailer must obtain from the purchaser the purchaser's

Exemption Certificate number issued by the Department, along with a

copy of the certification required by subsection (cd)(2). [35 ILCS

120/5k(b)] A construction contractor or other entity shall not make

tax-free purchases unless it has an active Exemption Certificate issued by

the Department at the time of purchase. [35 ILCS 120/5k(a)]


18



2) The retailer must obtain a certification from the purchaser that contains:

A) a statement that the building materials are being purchased for

incorporation into real estate located in an Illinois enterprise

zone;

B) the location or address of the real estate into which the building

materials will be incorporated;

C) the name of the enterprise zone in which that real estate is located;

D) a description of the building materials being purchased;

E) the purchaser's Exemption Certificate number issued by the

Department; and

F) the purchaser's signature and date of purchase [35 ILCS

120/5k(c)].

3) The retailer may comply with this subsection (cd) certification

requirement by securing from the purchaser a completed and signed Form

EZ-1.

de) Qualified Sales of Tangible Personal Property. In order to qualify for the building

materials exemption under this Section, the materials being purchased must be

building materials. That is, they must be purchased for physical incorporation

into real estate. For example, gross receipts from sales of:

1) common building materials such as lumber, bricks, cement, windows,

doors, insulation, roofing materials and sheet metal can qualify for the

exemption;

2) plumbing systems and components thereof such as bathtubs, lavatories,

sinks, faucets, garbage disposals, water pumps, water heaters, water

softeners and water pipes can qualify for the exemption;


18



3) heating systems and components thereof such as furnaces, ductwork,

vents, stokers, boilers, heating pipes and radiators can qualify for the

exemption;

4) electrical systems and components thereof such as wiring, outlets and light

fixtures that are physically incorporated into the real estate can qualify for

the exemption;

5) central air conditioning systems, ventilation systems and components

thereof that are physically incorporated into the real estate can qualify for

the exemption;

6) built-in cabinets and other woodwork that are physically incorporated into

the real estate can qualify for the exemption;

7) built-in appliances such as refrigerators, stoves, ovens and trash

compactors that are physically incorporated into the real estate can qualify

for the exemption;

8) floor coverings such as tile, linoleum and carpeting that are glued or

otherwise permanently affixed to the real estate by use of tacks, staples, or

wood stripping filled with nails that protrude upward (sometimes referred

to as "tacking strips" or "tack-down strips") can qualify for the exemption.

ef) Sales of Tangible Personal Property that Do Not Qualify for the Exemption.

Items that are not physically incorporated into the real estate cannot qualify for

the exemption. For example, gross receipts from sales of:

1) tools, machinery, equipment, fuel, forms and other items that may be used

by a construction contractor at an enterprise zone building site, but that are

not physically incorporated into the real estate, do not qualify for the

exemption;

2) free-standing appliances such as stoves, ovens, refrigerators, washing

machines, portable ventilation units, window air conditioning units, lamps,

clothes washers, clothes dryers, trash compactors and dishwashers that

may be connected to and operate from a building's electrical or plumbing

system but which do not become a component of those systems do not

qualify for the exemption;


18



3) floor coverings that are area rugs or that are attached to the structure using

only two-sided tape do not qualify for the exemption.

fg) Penalties – Revocation − Protest Procedures

1) If the Department determines that a construction contractor or other entity

that was issued an Exemption Certificate under subsection (bc) made a

tax-exempt purchase, as described in this Section, that was not eligible for

exemption under this Section, or allowed another person to make a


exemption under this Section, then, in addition to any tax or other penalty

imposed, the construction contractor or other entity is subject to a penalty

equal to the tax that would have been paid by the retailer under the Act,

including any applicable local retailers' occupation tax on the purchase

that was not eligible for the exemption.

2) Each contractor or other entity that has been issued an Exemption

Certificate under Section 5k of the Retailers' Occupation Tax Act shall

annually report to the Department the total tax benefits for taxes imposed

by the State that are received under Enterprise Zone building materials

exemption broken down by Enterprise Zone. Reports are due no later than

May 31 of each year and shall cover the previous calendar year. Failure

to report data may result in revocation of the Exemption Certificate issued

to the contractor or other entity. [20 ILCS 655/8.1(a-5)].

3) Suspension of Exemption Certificate for Failure to Report Data. A

contractor or other entity that fails to comply with the reporting

requirements or deadlines provided in subsection (fg)(2) shall have the

Exemption Certificate for which it failed to report suspended.

A) First Offense: A contractor or other entity that fails to comply with

the reporting requirements or deadlines provided in subsection

(fg)(2) shall have the Exemption Certificate suspended until the

contractor or other entity complies with the reporting requirements

of subsection (fg)(2).

B) Second Offense: A contractor or other entity that fails to comply

with the reporting requirements or deadlines provided in


18



subsection (fg)(2) for two reporting periods within a five-year

period shall have all Exemption Certificates issued to it suspended

until 30 days after the contractor or other entity complies with the

reporting requirements of subsection (fg)(2).

C) Subsequent Offenses: A contractor or other entity that fails to

comply with the reporting requirements or deadlines of subsection

(fg)(2) for more than two reporting periods within a five-year




4) Suspension or Revocation of Exemption Certificate for Both Failure to

Report Data and Unlawful Use of Exemption Certificate. The Department

shall suspend or revoke the Exemption Certificate of a contractor or other

entity found to have both failed to comply with the reporting requirements

of subsection (fg)(2) and to have used an Exemption Certificate in

violation of subsection (fg)(1), as follows:

A) First Offense: In addition to all other penalties provided by law, a

first offense shall result in the suspension of all Exemption

Certificates issued to a contractor or other entity for 1 year.

B) Second Offense: In addition to all other penalties provided by law,

a second offense shall result in permanent revocation of all

Exemption Certificates issued to the contractor or other entity.

5) Ineligibility. A contractor or other entity is not eligible to receive

additional Exemption Certificates during the period that one or more

Exemption Certificates issued to it are subject to suspension or revocation.

6) Protest Procedures. Any person aggrieved by any decision of the

Department under subsections (fg)(3) through (fg)(4) may, within 20 days

after notice of the decision, protest and request a hearing, whereupon the

Department shall give notice to that person of the time and place fixed for

a hearing and shall hold a hearing and then issue its final administrative

decision in the matter to that person. In the absence of a protest within 20

days, the Department's decision shall become final without any further

determination being made or notice given.


18




Section 130.1952 Sales of Building Materials to a High Impact Business

a) Beginning January 1, 1995, each retailer who makes a sale of building materials

that will be incorporated into a High Impact Business (HIB) location as

designated by the Department of Commerce and Economic Opportunity (DCEO)

under Section 5.5 of the Illinois Enterprise Zone Act may deduct receipts from

thosesuch sales when calculating the 6.25% State rate of tax imposed by the

Retailers' Occupation Tax Act and any local taxes. [35 ILCS 120/5l]

b) A retailer claiming the exemption must have among its books and records a

written statement signed by the purchaser setting out facts which establish the

exemption. For purchases made through June 30, 2013, this purchaser's statement

must contain the following information:

1) a certification by the purchaser that the building materials being purchased

are being purchased for incorporation into a HIB location;

2) a description of the building materials being purchased (this may be done

by a cross reference to the retailer's invoice number);

3) the name of the HIB location into which the building materials will be

incorporated and, if applicable, the street address of the real estate; and

4) the purchaser's signature and date of signing.

bc) Issuance of Exemption Certificates for Purchases Made on and after July 1, 2013

1) Each retailer who makes a sale of building materials that will be

incorporated into a High Impact Business location as designated by the

DCEO under Section 5.5 of the Illinois Enterprise Zone Act may deduct

receipts from thosesuch sales when calculating the tax imposed by the Act

and when calculating any applicable local taxes. No retailer who is

eligible for the exemption under Section 5k of the Act for making a sale of

building materials to be incorporated into real estate in an enterprise zone

by rehabilitation, remodeling or new construction shall be eligible for the

exemption authorized under this Section. [35 ILCS 120/5l]


18



2) Upon request from a designated High Impact Business, the Department

shall issue a High Impact Business Building Materials Exemption

Certificate (Exemption Certificate) for each construction contractor or

other entity identified by the designated High Impact Business. The

Department shall make an Exemption Certificate available to each

construction contractor or other entity and the designated High Impact

Business. [35 ILCS 120/5l(b)]

A) A request for an Exemption Certificate from the designated High

Impact Business must include the following information:



ii) the name and location or address of the designated High

Impact Business;

iii) the estimated amount of the exemption for each





iv) the period of time over which supplies for the project are


v) the FEIN of the applicant.

B) The Department shall issue an Exemption Certificates within 3

business days after receipt of a request from the designated High

Impact Business, unless the Department, for reasonable cause, is

unable to issue the Exemption Certificate within 3 business days.

Examples of "reasonable cause" include, but are not limited to,

receipt of a request lacking all the information required by

subsection (bc)(2)(A), the receipt of a large number of requests for

Exemption Certificates from a zone administrator, or lack of

sufficient staff to process the number of existing requests.


18









moneys due to the Department under the Retailers' Occupation

Tax Act or any other tax or fee Act administered by the

Department.

D) The request for an Exemption Certificate must be submitted

electronically.

E) An Exemption Certificate shall be effective for no more than 2

years after the date of issuance. At the request of the designated

High Impact Business, the Department may renew an Exemption

Certificate.

F) After the Department issues Exemption Certificates for a

designated High Impact Business building project, the designated

High Impact Business may notify the Department of additional

construction contractors or other entities eligible for an Exemption

Certificate. Upon notification by the designated High Impact

Business, and subject to the other provisions of this subsection

(bc), the Department shall issue an Exemption Certificate to each

additional construction contractor or other entity identified by the

designated High Impact Business.

G) A designated High Impact Business may notify the Department to

rescind an Exemption Certificate previously issued by the

Department but that has not yet expired. Upon notification by the

designated High Impact Business, and subject to the other

provisions of this subsection (bc), the Department shall issue the

rescission of the Exemption Certificate to the construction

contractor or other entity identified by the designated High Impact

Business and provide a copy to the designated High Impact

Business.


18



3) Notwithstanding anything to the contrary in this Section, for High Impact

Businesses' building projects already in existence and for which

construction contracts are already in place on July 1, 2013, the request

for Exemption Certificates from the designated High Impact Business to

the Department for these pre-existing construction contractors and other

entities must include the information required under subsection

(bc)(2)(A), but need not include the information listed in subsection

(bc)(2)(A)(iii) and (iv). For any new construction contract entered into on

or after July 1, 2013, however, all of the information in subsection (bc)

must be provided. [35 ILCS 120/5l(c)]

cd) Documentation of Exemption for Purchases Made on or after July 1, 2013



Exemption Certificate number issued by the Department along with a

certification identified in subsection (cd)(2). A construction contractor or

other entity shall not make tax-free purchases unless it has an active

Exemption Certificate issued by the Department at the time of purchase.

[35 ILCS 120/5l(b)]



incorporation into a designated High Impact Business location;

B) the location or address of the designated High Impact Business into

which the building materials will be incorporated;

C) The name of the designated High Impact Business;



Department; and

F) the purchaser's signature and date of purchase.


18



3) The retailer may comply with this subsection (cd) certification


EZ-1.

de) Qualified Sales of Tangible Personal Property. In order to qualify for the

deduction, the materials being purchased must be building materials. That is, they

must be purchased for physical incorporation into an HIB location. For example,

gross receipts from sales of the following can qualify for the exemption:

1) common building materials such as lumber, bricks, cement, windows,

doors, insulation, roofing materials and sheet metal;

2) plumbing systems and components thereof such as bathtubs, lavatories,

sinks, faucets, garbage disposals, water pumps, water heaters, water

softeners and water pipes;

3) heating systems and components thereof such as furnaces, ductwork,

vents, stokers, boilers, heating pipes and radiators;

4) electrical systems and components thereof such as wiring, outlets and light

fixtures thatwhich are physically incorporated into the HIB location;

5) central air conditioning systems, ventilation systems and components

thereof thatwhich are physically incorporated into the HIB location;

6) built-in cabinets and other woodwork thatwhich is physically incorporated

into the HIB location;

7) built-in appliances such as refrigerators, stoves, ovens and trash

compactors thatwhich are physically incorporated into the HIB location;

8) floor coverings such as tile, linoleum and carpeting that are glued or

otherwise permanently affixed to the HIB location by use of tacks, staples,

or wood stripping filled with nails that protrude upward (sometimes

referred to as "tacking strips" or "tack-down strips");

9) landscape products such as trees, shrubs, topsoil and sod thatwhich are

physically incorporated (i.e., transplanted) into the HIB location.


18



ef) Sales of Tangible Personal Property that Do Not Qualify for the Exemption.

Items that are not physically incorporated into an HIB location cannot qualify for

the exemption. For example, gross receipts from sales of the following do not

qualify for the exemption:

1) tools, machinery, equipment, fuel, forms and other items thatwhich may

be used by a construction contractor at an HIB location, but which are not

physically incorporated into the HIB location;

2) free-standing appliances such as stoves, ovens, refrigerators, washing

machines, portable ventilation units, window air conditioning units, lamps,

clothes washers, clothes dryers, trash compactors and dishwashers

thatwhich may be connected to and operate from a building's electrical or

plumbing system but which do not become a component of those systems;

3) floor coverings that are area rugs or that are attached to the structure using

only two-sided tape.

fg) Penalties − Revocation − Protest Procedures

1) If the Department determines that a construction contractor or other entity

that was issued an Exemption Certificate under subsection (bc) made a


exemption under this Section, or allowed another person to make a


exemption under this Section, then, in addition to any tax or other penalty

imposed, the construction contractor or other entity is subject to a penalty

equal to the tax that would have been paid by the retailer under the

Retailers' Occupation Tax Act as well as any applicable local retailers'

occupation tax on the purchase that was not eligible for the exemption [35

ILCS 120/5l(b)].


Certificate shall annually report to the Department the total tax benefits

for taxes imposed by the State that are received under Exemption

Certificates and shall be broken down by designated High Impact

Business. Reports are due no later than May 31 of each year and shall

cover the previous calendar year. Failure to report the data may result in


18



revocation of the Exemption Certificate issued to the contractor or other

entity. [20 ILCS 655/8.1(a-5)]

3) Suspension of Exemption Certificate for Failure to Report Data. A


requirements or deadlines provided in subsection (fg)(2) shall have the




(fg)(2) shall have the Exemption Certificate suspended until the


of subsection (fg)(2).



subsection (fg)(2) for two reporting periods within a five-year











Report Data and Unlawful Use of Exemption Certificate. The Department

shall revoke or suspend, as follows, the Exemption Certificate of a

contractor or other entity that has, for the same certificate, both failed to

comply with the reporting requirements of subsection (fg)(2) and has been

found to have used the Exemption Certificate in violation of subsection

(fg)(1):





18










Department under subsections (fg)(3) through (fg)(4) may, within 20 days








Section 130.1954 Sales of Building Materials Incorporated into Real Estate within River

Edge Redevelopment Zones

a) River Edge Redevelopment Zone − In General

1) Effective July 12, 2006, each retailer that makes a qualified sale of

building materials to be incorporated into real estate within a River Edge

Redevelopment Zone in accordance with the River Edge Redevelopment

Zone Act by remodeling, rehabilitating, or new construction may deduct

receipts from those sales when calculating the tax imposed by the Act.

(Section 2-54 of the Retailers' Occupation Tax Act [35 ILCS 120/2-54])

2) A "qualified sale" means a sale of building materials that will be

incorporated into real estate as part of an industrial or commercial

project for which a Certificate of Eligibility for Sales Tax Exemption has

been issued by the corporate authorities of the municipality in which the

building project is located before July 1, 2013, and for which a River

Edge Building Materials Exemption Certificate has been issued by the


18



Department on or after July 1, 2013. (Section 2-54 of the Retailers'

Occupation Tax Act [35 ILCS 120/2-54])

3) "Industrial project" means:

A) a capital project, including one or more buildings and other

structures, improvements, machinery and equipment, whether or

not on the same site or sites, suitable for use by any manufacturing,

industrial, research, transportation or commercial enterprise,

including but not limited to use as a factory, mill, processing plant,

assembly plant, packaging plant, fabricating plant, ethanol plant,

office building, industrial distribution center, warehouse, repair,

overhaul or service facility, freight terminal, research facility, test

facility, railroad facility, port facility, solid waste and wastewater

treatment and disposal sites and other pollution control facilities,

resource or waste reduction, recovery, treatment and disposal

facilities, and:

i) the sites of any of the facilities listed in this subsection

(a)(3)(A) and other rights in land for those facilities,

whether improved or unimproved;

ii) site preparation and landscaping for facilities listed in this

subsection (a)(3)(A); and

iii) all appurtenances and facilities incidental to the facilities

listed in this subsection (a)(3)(A), such as utilities, access

roads, railroad sidings, truck docking and similar facilities,

parking facilities, dockage, wharfage, railroad roadbed,

track, trestle, depot, terminal, switching and signaling

equipment or related equipment, and other necessary or

convenient improvements; or

B) any land, buildings, machinery or equipment comprising an

addition to or renovation, rehabilitation or improvement of any

existing capital project.

4) "Commercial project" means any project, including but not limited to one

or more buildings and other structures, improvements, machinery and


18



equipment, whether or not on the same site or sites, suitable for use by any

retail or wholesale concern, distributorship or agency, any cultural

facilities of a for-profit or not-for-profit type, including but not limited to

educational, theatrical, recreational and entertainment, sports facilities,

racetracks, stadiums, convention centers, exhibition halls, arenas, opera

houses and theaters, waterfront improvements, swimming pools, boat

storage, moorage, docking facilities, restaurants, velodromes, coliseums,

sports training facilities, parking facilities, terminals, hotels and motels,

gymnasiums, medical facilities and port facilities.

5) Nothing in the definitions of "industrial project" or "commercial project"

is meant to imply that the building materials exemption for an industrial

project or commercial project may extend beyond the borders of the River

Edge Redevelopment Zone or may extend beyond the exemption of sales

of building materials incorporated into an industrial project or commercial

project.

b) Building Materials Purchased for Physical Incorporation into Real Estate Located

in a River Edge Redevelopment Zone

1) In order to qualify for the exemption, the materials being purchased must

be building materials. That is, they must be purchased for physical

incorporation into real estate. For example, gross receipts from sales of

the following items can qualify for the exemption:

A) common building materials such as lumber, bricks, cement,

windows, doors, insulation, roofing materials and sheet metal;

B) plumbing systems and components such as bathtubs, lavatories,

sinks, faucets, garbage disposals, water pumps, water heaters,

water softeners and water pipes;

C) heating systems and components such as furnaces, ductwork,

vents, stokers, boilers, heating pipes and radiators;

D) electrical systems and components such as wiring, outlets and light

fixtures that are physically incorporated into the real estate;


18



E) central air conditioning systems, ventilation systems and

components that are physically incorporated into the real estate;

F) built-in cabinets and other woodwork that are physically

incorporated into the real estate can qualify for the deduction;

G) built-in appliances such as refrigerators, stoves, ovens and trash

compactors that are physically incorporated into the real estate;

and

H) floor coverings such as tile, linoleum and carpeting that are glued

or otherwise permanently affixed to the real estate by use of tacks,

staples, or wood stripping filled with nails that protrude upward

(sometimes referred to as tacking strips or tack-down strips).

2) Items that are not physically incorporated into the real estate cannot

qualify for the exemption. For example, gross receipts from sales of the

following do not qualify:

A) tools, machinery, equipment, fuel, forms and other items that may

be used by a construction contractor at a River Edge

Redevelopment Zone site, but that are not physically incorporated

into the real estate;

B) free-standing appliances such as stoves, oven, refrigerators,

washing machines, portable ventilation units, window air

conditioning units, lamps, clothes washers, clothes dryers, trash

compactors and dishwashers that may be connected to and operate

from a building's electrical or plumbing system but that do not

become a component of those systems; and

C) floor coverings that are area rugs or that are attached to the

structure using only two-sided tape.

3) Building materials incorporated into stand-alone residential homes,

residential apartments, residential condominiums, residential townhouses,

residential duplexes, residential buildings or residential structures do not

qualify for the exemption. Building materials physically incorporated into

a commercial project, a portion of which is dedicated for residential


18



purposes, shall be allocated on a square-footage basis for common

building materials (for example, lumber, cement, bricks, insulation, air

conditioning and heating equipment serving an entire project and roofing

materials) and directly allocated to either the commercial portion or

residential portion when direct allocation of the building materials is

possible (for example, bathtubs, sinks, lavatories, cabinets, built-in

appliances and air conditioning and heating equipment serving

individually owned or leased units or space). Only the building materials

allocated to the commercial portion of the project can qualify for the

exemption.

c) Certificate of Eligibility for Sales Tax Exemption for Purchases Made through

June 30, 2013

1) To document the exemption, the retailer must obtain from the purchaser a

copy of the Certificate of Eligibility for Sales Tax Exemption issued by the

corporate authorities of the municipality in which the real estate into

which the building materials will be incorporated is located. The

Certificate of Eligibility for Sales Tax Exemption must be obtained by the

retailer prior to the sale.

2) The Certificate of Eligibility for Sales Tax Exemption must contain all of

the following:

A) a statement that the commercial or industrial project identified in

the Certificate meets all the requirements of the jurisdiction in

which the project is located;

B) the location or address of the building project; and

C) the signature of the chief executive officer of the municipality in

which the building project is located, or the chief executive

officer's delegate.

3) In order to properly document this exemption, prior to the sale the retailer

must also obtain a certificate from the purchaser that contains all of the

following:


18




incorporation into real estate located in a River Edge

Redevelopment Zone included in a redevelopment project area in

accordance with the River Edge Redevelopment Zone Act:



C) the name of the River Edge Redevelopment Zone in which the real

estate is located;

D) a description of the building materials being purchased; and

E) the purchaser's signature and date of purchase. [35 ILCS

120/2-54]

cd) Issuance of Exemption Certificates for Purchases Made on and after July 1, 2013

1) Upon request from the corporate authorities of the municipality in which

the building project is located, the Department shall issue a River Edge

Building Materials Exemption Certificate (Exemption Certificate) for each

construction contractor or other entity identified by the corporate

authorities of the municipality in which the building project is located.

The Department shall make the Exemption Certificates available to the

corporate authorities of the municipality in which the building project is

located and each construction contractor or other entity.

A) The request for Exemption Certificates from the corporate

authorities of the municipality in which the building project is

located to the Department must include the following information:



ii) the name and number of the River Edge Redevelopment

Zone in which the building project is located;

iii) the name and location or address of the building project in

the River Edge Redevelopment Zone;


18



iv) the estimated amount of the exemption for each





v) the period of time over which supplies for the project are


vi) the FEIN of the construction contractor or other entity.

B) The Department shall issue the Exemption Certificates within 3

business days after receipt of request from the corporate


located unless the Department, for reasonable cause, is unable to

issue the Exemption Certificate within 3 business days. Examples

of "reasonable cause" include, but are not limited to, receipt of a

request lacking all the information required by subsection

(cd)(1)(A), the receipt of a large number of requests for Exemption

Certificates from a zone administrator, or lack of sufficient staff to

process the number of existing requests.







moneys due to the Department under the Retailers' Occupation

Tax Act or any other tax or fee Act administered by the

Department.

D) The request for Exemption Certificates must be submitted

electronically.

E) The Exemption Certificate shall be effective for no more than 2

years after the date of issuance. At the request of the corporate


18




located, the Department may renew an Exemption Certificate.

F) After the Department issues Exemption Certificates for a given

River Edge building project, the corporate authorities of the

municipality in which the building project is located may notify the

Department of additional construction contractors or other entities

eligible for an Exemption Certificate. Upon notification by the

corporate authorities of the municipality in which the building

project is located, and subject to the other provisions of this

subsection (cd), the Department shall issue an Exemption

Certificate to each additional construction contractor or other

entity identified by the corporate authorities of the municipality in

which the building project is located.

G) The corporate authorities of the municipality in which the building

project is located may notify the Department to rescind an

Exemption Certificate previously issued by the Department but that

has not yet expired. Upon notification by the corporate authorities

of the municipality in which the building project is located, and

subject to the other provisions of this subsection (cd), the

Department shall issue the rescission of the Exemption Certificate

to the construction contractor or other entity identified by the

corporate authorities of the municipality in which the building

project is located and provide a copy to the corporate authorities

of the municipality in which the building project is located.

2) Notwithstanding anything to the contrary in subsection (cd), for River

Edge building projects already in existence and for which construction

contracts are already in place on July 1, 2013, the request for Exemption

Certificates from the corporate authorities of the municipality in which the

building project is located to the Department for these pre-existing

construction contractors and other entities must include the information

required under subsection (cd)(1)(A), but not including the information

listed in subsections (cd)(1)(A)(iv) and (v). For any new construction

contract entered into on or after July 1, 2013, however, all of the

information in subsection (cd) must be provided. [35 ILCS 120/2-54(d)]

de) Documentation of the Exemption for Purchases Made on or after July 1, 2013


18





Exemption Certificate number issued by the Department. A construction

contractor or other entity shall not make tax-free purchases unless it has

an active Exemption Certificate issued by the Department at the time of

purchase. [35 ILCS 120/5l(b)]



incorporation into real estate located in a River Edge

Redevelopment Zone;



C) the name of the River Edge Redevelopment Zone in which that

real estate is located;



Department; and

F) the purchaser's signature and date of purchase.

3) The retailer may comply with this subsection (de) certification


EZ-1.

ef) Penalties − Revocation − Protest Procedures

1) If the Department of Revenue determines that a construction contractor or

other entity that was issued an Exemption Certificate under subsection

(cd) made a tax-exempt purchase, as described in this Section, that was

not eligible for exemption under subsection (cd), or allowed another

person to make a tax-exempt purchase, as described in subsection (cd),

that was not eligible for exemption under subsection (cd), then, in addition


18



to any tax or other penalty imposed, the construction contractor or other

entity is subject to a penalty equal to the tax that would have been paid by

the retailer under the Retailers' Occupation Tax Act as well as any

applicable local retailers' occupation tax on the purchase that was not

eligible for the exemption. [35 ILCS 120/5l(b)]


Certificate under Section 2-54 of the Retailers' Occupation Tax Act shall

annually report to the Department the total tax benefits for taxes imposed

by the State that are received under River Edge building materials

exemption. Reports shall contain information reasonably required by the

Department to enable it to verify and calculate the total tax benefits for

taxes imposed by the State, and shall be broken down by River Edge

Redevelopment Zone. Reports are due no later than May 31 of each year

and shall cover the previous calendar year. Failure to report data may

result in revocation of the River Edge Building Materials Exemption

Certificate issued to the contractor or other entity. [65 ILCS

115/10-10.2(a-5)]

3) Suspension of Exemption Certificate for Failure to Report Data: A


requirements or deadlines provided in subsection (ef)(2) shall have the




(ef)(2) shall have the Exemption Certificate suspended until the


of subsection (ef)(2).



subsection (ef)(2) for two reporting periods within a five-year



reporting requirements of subsection (ef)(2).




18






reporting requirements of subsection (ef)(2).


Report Data and Unlawful Use of Exemption Certificate. Use by a

contractor or other entity of its Exemption Certificate in violation of

subsection (ef)(1) and failure to comply with the reporting requirements of

subsection (ef)(2) for the same certificate shall result in the suspension or

revocation of the contractor's or other entity's Exemption Certificates.











Department under subsections (ef)(3) through (ef)(4) may, within 20 days








Section 130.1980 Optometrists and Opticians

a) Optometrists – When Liable For Tax

When optometrists sell tangible personal property to purchasers for use or


18



consumption apart from their rendering of service as optometrists, they incur

Retailers' Occupation Tax liability. This is the case, for example, where

optometrists sell spectacles, frames or mountings, without examination or

treatment of the eyes, to purchasers for use or consumption, or where optometrists

sell such items such as sun glasses, cleaning solutions for lenses, barometers,

telescopes, field glasses, opera glasses or other tangible personal property to

purchasers for use or consumption apart from their rendering of service. (For

information about whether these items qualify as medical appliances, see Food,

Drugs, Medicines and Medical Appliances and Grooming and Hygiene Products,

Section 130.311310 of this Part.)

b) Optometrists – When Not Liable For Tax

Optometrists are engaged in professions and primarily render service. To the

extent to which they engage in thatsuch profession, they are not engaged in the

business of selling tangible personal property to purchasers for use or

consumption within the meaning of the Act. Consequently, they are not required

to remit Retailers' Occupation Tax measured by their receipts from engaging in

thosesuch professions, including receipts from both services and tangible personal

property transferred incident to those services.

c) Opticians

1) When opticians sell such tangible personal property such as lenses

thatwhich they produce in accordance with the prescriptions of licensed

optometrists, the opticians are engaged primarily in a service occupation

and do not incur Retailers' Occupation Tax liability on their receipts from

thosesuch sales. (For information concerning the tax on persons engaged

in the business of making sales of service, see the Regulations pertaining

to the Service Occupation Tax Act (86 Ill. Adm. Code 140).)

2) An optician would incur Retailers' Occupation Tax liability if he or she

should engage in selling any tangible personal property at retail apart from

engaging in a service occupation (e.g., selling eyeglass cases or lens

cleaning solutions over-the-counter).


Section 130.1990 Peddlers, Hawkers and Itinerant Vendors


18



a) When Liable For Tax

1) Persons who transport a supply of tangible goods from place to place,

whether upon trucks, wagons or otherwise, exposing thosesuch goods for

sale, soliciting and negotiating sales, and immediately delivering the

goods sold, are considered to be peddlers, hawkers or itinerant vendors.

When theWhere such peddlers, hawkers or itinerant vendors sell thesuch

tangible personal property at retail in Illinois, on their own behalf, they are

required to obtain a certificate of registration from the Department, file tax

returns in conformance with the requirements of Section 3 of the Act and

Subpart E of this Part and remit to the Department the Retailers'

Occupation Tax on their receipts from thosesuch sales. It is unlawful for

any person to engage in the selling of tangible personal property at retail

in this State without a certificate of registration from the Department.

(Section 2a of the Act).

2) It is immaterial what methods are employed in consummating sales,

whether door-to-door canvass, solicitation by telephone or mail, or display

in salesrooms.

b) When Not Liable For Tax

1) When theseWhere such persons do not sell on their own behalf, but

merely act as agents for a manufacturer or distributor, or other person as a

disclosed principal, thesuch disclosed principal is liable for Retailers'

Occupation Tax if he or she is engaged in this State in the business of

selling tangible personal property to purchasers for use or consumption

(see Subpart F of this Part).

2) Even if thesuch manufacturer, distributor or other disclosed principal is

exempt from the Retailers' Occupation Tax because of interstate

commerce under Section 130.610 of Subpart F, thesuch disclosed

principal is required to register and act as an Illinois Use Tax collector if

he or she comes within the definition of "retailer maintaining a place of

business in this State" in Section 2 of the Use Tax Act and in Subpart B of

the Use Tax Regulations (86 Ill. Adm. Code 150).

c) Display Of Certificate

Each peddler, hawker or itinerant vendor, selling goods on his or her own behalf


18



to purchasers for use or consumption, must display prominently, in connection

with his or her business, the Certificate of Registration issued by the Department.

If a vehicle is used, the Certificate must be affixed conspicuously to itthereto. If

no vehicle is used, the Certificate should be attached, in such a manner as to be

readily visible by the public, to the sample case or other container used by the

peddler, hawker or itinerant vendor in transacting his or her business.


Section 130.2000 Persons Engaged in the Printing, Graphic Arts or Related Occupations,

and Their Suppliers

a) Classification of Businesses

Falling into the classification of persons engaged in the graphic arts or related

occupations are printers, book binders, typographers, portrait or commercial

photographers, commercial artists, portrait painters, sign painters, photostaters

and blueprinters. This list is illustrative, but not exhaustive. Persons falling under

this Part may or may not qualify for the graphic arts machinery and equipment

exemption set forth in Section 130.325.

b) Persons Engaged in the Graphic Arts – When Liable For Tax

1) Persons engaged in the graphic arts or related occupations may, under

certain circumstances, be considered to be engaged in the business of

selling tangible personal property to purchasers for use or consumption, in

which event they incur Retailers' Occupation Tax liability. This is the

case, for example, when they sell to purchasers for use or consumption

tangible personal property thatwhich is standard enough to be stocked for

sale or offered for sale from catalogues or other sales literature, or

thatwhich otherwise is sold at retail apart from the seller's engaging in a

service occupation. Illustrations would include legal forms, stock or

standard greeting cards, pictures or other items thatwhich are stocked for

sale or offered for sale to the public generally, or products of

photoprocessing.

2) AEffective August 1, 1961, a person who is engaged in the graphic arts

also incurs Retailers' Occupation Tax liability on his or her receipts from

sales, to users, of items thatwhich he or she produces on special order if

thesuch item serves substantially the same function as stock or standard


18



items of tangible personal property that are sold at retail. Items thatwhich

"serve substantially the same function" are those which, when produced

on special order, could be sold substantially as produced to someone other

than the original purchaser at substantially the same price. A printed item

that is personalized is always considered to be printed on special order.

3) PhotographersEffective September 1, 1988, photographers, film makers,

and other service providersservicemen, are subject to Retailers'

Occupation Tax on the photoprocessing component of their total service

charge when they sell products of photoprocessing. The tax on the

photoprocessing component will apply regardless of whether the

photographer performs the photoprocessing in-house, or engages a third-

party photoprocessor. For purposes of the tax imposed on photographs,

negatives and positives by this Section, photoprocessing includes, but is

not limited to, developing films, positives and negatives, transparencies,

tinting, coloring, making and enlarging prints. Photoprocessing does not

include products of photoprocessing produced for use in motion pictures

for public commercial exhibition, color separation, typesetting and

platemaking by photographic means in the graphic arts industry and does

not include any procedure, process or activity connected with the creation

of the images on the film from which the negatives, positives or

photographs are derived. The sale of digital photography is not a sale of

products of photoprocessing. The charge for in-house photoprocessing

may not be less than the photoprocessor's cost price of materials. In

transactions in which products of photoprocessing are sold in conjunction

with other services, if a charge for the photoprocessing component is not

separately stated, tax is imposed on 50% of the entire selling price unless

the sale is made by a professional photographer, in which case tax shall

be imposed on 10% of the entire selling price. (Section 2 of the Act) The

tax on photoprocessing may be paid when purchasing self-developing

film, such as Polaroid, or film thatwhich includes photoprocessing charges

in the purchase of the film.

A) EXAMPLE: The professional photographer receives an

assignment to shoot a specified layout from an advertising agency.

The photographer selects the location, hires the models, arranges

for the make-up, rents the equipment and shoots the scene. The

photographer sends the undeveloped film to an outside

photoprocessing laboratory for development. The photographer's


18



bill for the sale of the photograph includes a charge for his or her

artistic and other services and a separately-stated charge for the

photoprocessing component thatwhich is either the charge made to

him by the photoprocessing laboratory or thatsuch an amount plus

his or her customary mark-up. The tax should only be applied to

the photoprocessing component.

B) EXAMPLE: The same facts as above except the professional

photographer does not separately state a charge for the

photoprocessing component and bills his or her client a lump sum.

A tax is collected on 10% of the lump sum price.

C) EXAMPLE: A portrait photographer photographs a family in his

or her studio and develops the film in-house. The photographer's

bill includes a sitting fee and a separately-stated charge for the

product of photoprocessing. A tax is collected on the

photoprocessing charge only.

D) EXAMPLE: A photographer develops exposed film and transfers

negatives and prints to a consumer. Tax is collected on the entire

bill.

E) EXAMPLE: An advertising agency prepares advertising

brochures for a customer using images provided by the customer

on film, thatwhich the advertising agency develops, enlarges, and

prints. The photoprocessing component is not separately stated on

the bill. Tax is based upon 50% of the bill.

c) Persons Engaged in the Graphic Arts – When Not Liable For Tax

1) A photostater who is employed to reproduce material for his or her

customer by the photostating process, or a printer who is employed to

print material for his or her customer in accordance with copy supplied to

the printer by the customer or otherwise in accordance with the customer's

specifications and special order, or a person who otherwise engages

primarily in the transaction in furnishing graphic arts' services is not

engaged in thatsuch transaction in the business of selling tangible personal

property within the meaning of the Act, if the item so produced does not

serve substantially the same function as stock or standard items of tangible


18



personal property that are sold at retail, but is engaged in thatsuch

transaction primarily in a service occupation. For example, a printer that

is hired by a customer to print personalized wedding invitations or

greeting cards is engaged in the transaction as a serviceman.

2) To the extent to thatwhich any such person engages in a service

occupation, he or she is not liable for Retailers' Occupation Tax on his or

her receipts from that service occupationtherefrom, including receipts

from both labor and tangible personal property. (For further illustrations,

see Section 130.1995(b) of this Part.)

3) If the tax exemption described in this Section would otherwise apply, the

person supplying the printed item or other item that is produced through

the graphic arts' processes to the user will not lose that exemption because

of the fact that he or she farms the work of producing the item out to

someone else.

d) Suppliers of Persons Engaged in the Graphic Arts – When Liable For Tax

1) When persons who are engaged in the business of selling tangible personal

property sell any such tangible personal property, for use or consumption,

to persons engaged in the graphic arts or related occupations, thosesuch

vendors incur Retailers' Occupation Tax liability unless thesuch purchases

qualify for the graphic arts Machinery and Equipment Exemption (see

Section 130.325). This class of sales includes, but is not limited to, sales

of machinery, tools, equipment, office supplies and other tangible personal

property thatwhich the purchasers retain and use or consume. This class of

sales also includes sales of plates, film, pre-sensitized plates, alcohol,

chemicals, etc., thatwhich are consumed by those engaged in the graphic

arts or related occupations in the course of the performance of their work.

2) It is not material whether the plates, film, pre-sensitized plates, alcohol,

chemicals, etc., are consumed in the course of producing, by the graphic

arts' processes, items thatwhich have a commercial value, or whether the

plates, film, pre-sensitized plates, alcohol, chemicals, etc., are consumed

in producing, on special order, items of noncommercial value.

3) Likewise, this class of sales includes sales of film to photographers who

use thesuch film in producing negatives thatwhich remain the property of


18



thesuch photographers.

4) Furthermore, this class of sales includes sales of paper stock, ink,

duplicating materials (stencil sheet masters, offset masters and spirit

masters) and other tangible personal property to printers and other graphic

arts' servicemen who incorporate thesuch tangible personal property as

ingredients into items thatwhich remain the property of thesuch

servicemen instead of being resold by them in some manner.

e) Suppliers of Persons Engaged in the Graphic Arts – When Not Liable For Tax

1) Persons who sell tangible personal property to persons who are engaged in

the graphic arts or related occupations and who resell thatsuch property to

others are not required to remit Retailers' Occupation Tax measured by

their gross receipts from thosesuch sales. This class of sales includes sales

of ink, paper stock, chemicals, developing paper, sensitized paper,

bookbindings, metal, wood, glue, brads, staples, binding tape and other

tangible personal property when thatwhere such property is purchased by

persons engaged in the graphic arts or related occupations and

incorporated by them into printed matter, pictures or other tangible

personal property which they sell.

2) It is not material whether the ink, paper, developing paper and other

similar items are resold as ingredients of articles thatwhich have a

commercial value or whether the ink, paper stock, developing paper and

other similar items are resold as ingredients of articles thatwhich are

produced on special order and thatwhich have no commercial value.

f) Liability Under the Service Occupation Tax

For information concerning the application of the Service Occupation Tax to

purchases, by graphic arts' servicemen, of tangible personal property which they

retransfer as an incident to rendering service, see the Service Occupation Tax, (86

Ill. Adm. Code 140).


Section 130.2005 Persons Engaged in Nonprofit Service Enterprises and in Similar

Enterprises Operated As Businesses, and Suppliers of ThoseSuch Persons


18



a) Sales by Nonprofit Service Organizations

Effective August 1, 1961, nonprofit country clubs, boat clubs, employees' clubs or

organizations and other nonprofit social, athletic or recreational organizations,

lodges, patriotic organizations, fraternities, sororities, professional and trade

associations, civic organizations, labor unions and other nonprofit persons who

are not exclusively charitable, religious or educational organizations are liable for

Retailers' Occupation Tax when selling tangible personal property at retail to

members, guests or others. The same is true of exclusively charitable, religious or

educational organizations and institutions with certain limited exceptions.

1) Scope of the Exemption

A) There still are some very limited exemptions from the Retailers'

Occupation Tax for sales by exclusively charitable, religious and

educational organizations and institutions. However, the

exemption is not available unless the selling organization or

institution does qualify as an "exclusively" charitable, religious or

educational organization or institution.

B) It is not enough simply to be a nonprofit organization or institution.

In case of doubt concerning any such seller's Retailers' Occupation

Tax status, apply to the Department of Revenue for a letter ruling,

submitting copies of the Charter or Constitution and By-laws and

other relevant information for this purpose.

C) The exemption that is available under some circumstances for sales

by exclusively charitable, religious or educational organizations or

institutions is not available in any situation, for example, to sales

by such other kinds of nonprofit organizations as civic clubs,

nonprofit social and recreational organizations, patriotic

organizations, lodges and their auxiliaries, trade associations, etc.

Even though the latter types of organizations do much good

charitable work, they are not "exclusively" charitable organizations

under Illinois Supreme Court decisions, so any retail selling which

they do would be subject to the Retailers' Occupation Tax.

D) Some of the kinds of organizations thatwhich qualify as

exclusively charitable organizations are Parent-Teacher

organizations, the American National Red Cross, Community Fund


18



or United Fund organizations, the Y.M.C.A., the Y.W.C.A., Boy

Scout organizations and Girl Scout organizations.

E) Exclusively charitable, religious and educational organizations

incur Retailers' Occupation Tax liability when they engage in

selling tangible personal property at retail except in three

situations.

2) Sales to Members, Etc.

A) The first exception is that the sales by those organizationssuch an

organization are not taxable if they are made to the organization's

members, or to its students in the case of a school or to its patients

in the case of a nonprofit hospital thatwhich qualifies as a

charitable institution, primarily for the purposes of the selling

organization.

B) Examples of sales that come under this exemption are sales of

uniforms, insignia and Scouting equipment by Scout organizations

to their members; sales of Bibles by a church to its members, and

sales of choir robes by a church to the members of the church's

choirs. The selling organization would incur Retailers' Occupation

Tax liability if it should engage in selling any of the foregoing

items at retail to the public.

C) The selling of school books and school supplies by schools at retail

to students shall not be deemed to be "primarily for the purpose of"

the school thatwhich does thesuch selling. Consequently, schools

incur Retailers' Occupation Tax liability when they engage in

selling school books or school supplies at retail to their students or

to others.

3) Noncompetitive Sales

A) The second exception is that sales by exclusively charitable,

religious or educational organizations are not subject to the

Retailers' Occupation Tax when it can be said that thesuch selling

is noncompetitive with business establishments.


18



B) The Attorney General has laid down the following tests for

determining that thissuch selling is noncompetitive:

i) The transactions are conducted by members of the

charitable entity and not by any franchisee or licensee.

ii) All of the proceeds must go to the charity.

iii) The transaction must not be a continuing one but rather

should be held either annually or a reasonably small

number of times within a year. The test of reasonableness

would be an administrative decision, to be made by the

Department of Revenue.

iv) The reasonably ascertainable dominant motive of most

transferees of the items sold must be the making of a

charitable contribution, with the transfer of property being

merely incidental and secondary to the dominant purpose of

making a gift to the charity.

C) In addition, the Attorney General has stated that there are these

further considerations for the purpose of furnishing some guides to

the resolution of questions raised by each individual situation:

i) The nature of the particular item sold. All other things

being equal, the decision as to candy might well be

different from the decision as to refrigerators.

ii) The character of the particular sale, and the real practical

effect upon punitive competition.

D) Under this second exception, examples of exempt sales are

infrequent sales of cookies, doughnuts, candy, calendars or

Christmas trees by Scout organizations or by other exclusively

charitable organizations or by exclusively religious organizations.

In this category, the Attorney General's opinion stresses that the

sale must be infrequent, and that the dominant motive of the

purchase must be the making of a donation to the charitable or

religious organization thatwhich conducts the sale, rather than the


18



acquisition of property.

E) Even if the sale to the public occurs only once a year, the

charitable or religious organization thatwhich conducts the sale

would incur Retailers' Occupation Tax liability if it sells hats,

greeting cards or other items for which the dominant motive of the

purchase is the acquisition of the property rather than the

exchanging of the property merely as a token for the making of a

donation.

4) Occasional Dinners and Similar Activities

A) The third exception is that occasional dinners, socials or other

similar activities thatwhich are conducted by exclusively

charitable, religious or educational organizations or institutions are

not taxable, whether or not thosesuch activities are open to the

public. This exemption extends to occasional dinners, ice cream

socials, fun fairs, carnivals, rummage sales, bazaars, bake sales and

the like, when conducted by exclusively charitable, religious or

educational organizations or institutions, whether the items that are

sold are purchased or donated for the purposes of the sale, and

even if the sale is open to the public.

B) For the purposes of this exemption, "occasional" means not more

than twice in any calendar year. Where more than two events are

held in any calendar year, the organization or institution may select

thewhich two events held within that year that will be considered

exempt. Once the organization or institution has made the

selections, the selections cannot be changed. All other events in

that year will be considered taxable.

C) This exemption does not extend to "occasional" sales, by

exclusively charitable, religious or educational organizations or

institutions, of hats, greeting cards, cookbooks, flag kits and other

similar items because these are not "occasional dinners, socials or

similar activities" within the meaning of the Act, and the selling of

these kinds of items at retail even on an occasional basis does

generally place the selling organization in substantial competition

with business establishments.


18



b) Rules Governing Some Special Kinds of Selling by Exclusively Charitable and

Religious Organizations

1) Hospital Sales

A) Nonprofit hospitals thatwhich qualify as exclusively charitable

institutions are not taxable when selling food or medicine to their

patients in connection with the furnishing of hospital service to

them, nor on the operation of restaurant facilities thatwhich are

conducted primarily for the benefit of the hospital's employees,

and thatwhich are not open to the public. However, sales made in

a hospital cafeteria thatwhich is open to the public will be taxable

sales.

B) In the case of hospitals thatwhich qualify as charitable institutions,

thosesuch hospitals are not taxable when selling drugs to anyone

because this is for the relief of the sick (which is the hospital's

primary purpose) and so is "primarily for the purpose of"

thosesuch hospitals, thus qualifying thesuch transactions for tax

exemption. However, a hospital or hospital auxiliary incurs

Retailers' Occupation Tax liability when selling candy, chewing

gum, tobacco products, razor blades and the like at retail even

when thesuch items are sold only to patients because (unlike food

and medicine) these items are not necessary to the furnishing of

hospital service, and they are competitive.

C) The same distinctions apply to nonprofit sanitaria and nonprofit

nursing homes when they qualify as exclusively charitable

institutions.

2) Gift Shops and Rummage Stores

Charitable or religious organizations incur Retailers' Occupation Tax

liability on the retail selling thatwhich they do in the course of operating

gift shops and rummage stores.

3) Meals

A) Charitable or religious organizations incur Retailers' Occupation


18



Tax liability on their receipts from sales of meals to the public

unless thatsuch selling constitutes an occasional dinner or other

similar activity, as authorized in subsection (a)(4)(B), above. No

more than two such occasional dinners or other similar activities

are authorized in any calendar year. TheseSuch sales are tax

exempt, provided that all the profits from thesesuch sales are used

for charitable or religious purposes. If thesuch sales occur more

than twice in any calendar year, refer to subsection (a)(4)(B),

above.

B) Also, a church or religious organization does not incur Retailers'

Occupation Tax liability on its receipts from sales of meals

whenwhere the following conditions are met:

i) The profits, if any, are used for religious purposes;

ii) the meals are confined to the members of thatsuch church

and their guests and are not open to the public; and

iii) the serving of the meals is connected with some religious

service or function.

C) Under the circumstances just described, even if this type of selling

of meals is done rather frequently, it is exempt from the Retailers'

Occupation Tax because of being in the category of sales to

members "primarily for the purposes of" the religious organization

(the seller).

4) Special Problems Concerning Sales by Schools

A) Dining Facilities

A school does not incur Retailers' Occupation Tax liability on its

operation of a cafeteria or other dining facility thatwhich is

conducted on the school's premises, and thatwhich confines its

selling to the students and employees of the school. In any

instance in which the dining facility is opened up for the use of

other persons, all sales that are made at thesuch facility while that

condition continues to prevail are taxable.


18



B) Meaning of "Student"

For the purpose of the exemptions under discussion, a "student" is

a person who is taking a course from the school for credit.

C) School Books and School Supplies

i) A school incurs Retailers' Occupation Tax liability when

selling school books and school supplies to its students or

others, for use.

ii) Schools are not taxable on their sales of school annuals

because these are noncompetitive items.

D) Clothing and Dormitory Supplies

Schools incur Retailers' Occupation Tax liability when they sell

sweaters, sweat shirts, gym shoes, jackets and other items of

clothing to students or others for use. The same is true when a

school sells furniture, rugs or other dormitory supplies to users.

E) Miscellaneous Items

A school or school organization incurs Retailers' Occupation Tax

liability when it sells soft drinks, candy, peanuts, popcorn, chewing

gum and the like to students or to members of the public for use or

consumption, whenwhere these items are sold at a school book

store, through vending machines or otherwise than in a restricted

school cafeteria as a part of the selection which the student has in

buying meals in thesuch cafeteria. However, the proceeds from the

sale of tangible personal property by teacher-sponsored student

organizations affiliated with an elementary or secondary school

located in Illinois are exempt from Retailers' Occupation Tax. (See

Section 2-5(6) of the Act and Section86 Ill. Adm. Code 130.2006

of this Part.)

c) Registration and Returns

1) Nonprofit organizations thatwhich incur Retailers' Occupation Tax

liability as retail sellers of tangible personal property are required to

register with the Department and file periodic returns. Returns are due

monthly, except that if the taxpayer's average monthly liability to the


18



Department is $50.00 or less, the taxpayer may apply to the Department

for permission to file one return each year covering the calendar year, with

the return being due by January 31 of the following year. Whenever tax is

due for a return period, the remittance for the tax should accompany the

return thatwhich discloses thesuch tax to be due.

2) For more information concerning the filing of returns with the

Department, see Subpart E of this Part.

3) Registration and return forms may be obtained from the Department on

request.

4) In the case of a church, it is recommended that a single Certificate of

Registration be applied for by the church and that this be allowed to cover

the selling activities of that church and all of its organizations.

Registration must be obtained prior to the commencement of selling

activities. (See Section 2a of the Act.)

5) In the case of public schools or school organizations thatwhich incur some

Retailers' Occupation Tax liability so as to be required to register with the

Department of Revenue, the Board of Education thatwhich governs the

school district (rather than each individual school or school organization)

should apply to the Department for a Certificate of Registration, and

thatsuch Board of Education should file a single return for the return

period covering all the taxable school activities that occur under its

jurisdiction during the return period covered by the return.

d) Suppliers of Nonprofit Institutions, Associations and Organizations

1) Suppliers of nonprofit institutions, associations and organizations do not

incur Retailers' Occupation Tax liability when they sell tangible personal

property to these purchasersany such purchaser for resale in any form as

tangible personal property.

2) Suppliers of thesesuch purchasers incur Retailers' Occupation Tax liability

when they sell tangible personal property to any such purchaser at retail

(i.e., for use or consumption by the purchaser or to be given away by the

purchaser, and not for resale in any form as tangible personal property),

provided that the tax does not apply to receipts received by the seller from


18



sales of any kind made to any purchaser of this character who is able to

qualify as a corporation, society, association, foundation or institution

organized and operated exclusively for charitable, religious or educational

purposes, or any not-for-profit corporation, society, association,

foundation, institution or organization thatwhich has no compensated

officers or employees and thatwhich is organized and operated primarily

for the recreation of persons 55 years of age or older.

3) Many difficult questions of interpretation will arise in applying the above

proviso in subsection (d)(2). Each case will have to be decided on its own

facts, but a few principles based on Supreme Court decisions in somewhat

analogous cases are stated in this Sectionhereinbelow for guidance.

e) Nonprofit Social, Recreational and Athletic Organizations − Nonprofit Fraternal

Organizations

1) A purchaser is not necessarily qualified for this total exemption as to

receipts received by the seller from all sales made to thatsuch purchaser

merely because of the fact that the purchaser is a not-for-profit service

organization. For example, if the purchaser is incorporated or otherwise

organized primarily to provide entertainment, social, recreational or

athletic activities or facilities to its members, the purchaser is not


purposes. TheSuch a purchaser is not organized and operated exclusively

for charitable purposes even though it does some charitable work. This is

true even though thesuch purchaser is organized and operated as a not-for-

profit corporation, association, etc.

2) The same is true of nonprofit fraternal benefit societies thatwhich derive

their funds from their members and are organized primarily to provide

different forms of insurance benefits to their members and to persons

standing in designated relationships to their members, except when

thosesuch fraternal benefit societies are organized under a statutory

provision thatwhich expressly declares them to be exclusively charitable

organizations.

3) Nonprofit fraternities and sororities are not considered to be organized and

operated exclusively for charitable, religious or educational purposes.


18



f) Lodges

1) Similarly, nonprofit corporations, societies, associations, etc., thatwhich

have, as a substantial purpose, the providing of a lodge system with

ritualistic work and social activities for members, and thatwhich derive

their funds in large measure from thosesuch members, are not organized

and operated exclusively for charitable, religious or educational purposes,

even though they engage to some extent in one or more of these activities,

because a substantial purpose for the existence of such an organization is

one thatwhich does nothing to relieve the public of a duty to the persons

benefited and otherwise bestows no benefit upon the public.

2) For example, the Supreme Court has held a Masonic Lodge not to be

charitable and has held that a Masonic Home for aged and destitute

Masons is charitable. The Department will follow that distinction in this

Section when separate legal entities are involved, considering receipts

from retail sales to the former to be taxable, and considering receipts

received by the seller from retail sales made to the latter to be exempt.

However, if the same legal entity operates the noncharitable lodge and the

charitable home, the Department will not regard thatsuch entity (when

making purchases) as coming within this exemption. This is true because

the importance of the noncharitable lodge function makes it impossible to

say that thesuch a purchaser is organized and operated exclusively for

charitable, religious or educational purposes.

g) Nonprofit Professional and Trade Associations – Labor Unions – Civic Clubs –

Patriotic Organizations

Nonprofit Bar Associations, Medical Associations, Lions Clubs, Rotary Clubs,

Chambers of Commerce and other professional, trade or business associations and

labor unions, thatwhich draw their funds largely from their own members, and as

to which an important purpose is to protect and advance the interests of their

members in the business world, are not organized and operated exclusively for

charitable or educational purposes, even though thosesuch organizations may

engage in some charitable and educational work. The same conclusion applies to

the American Legion, Veterans of Foreign Wars, Amvets, the Daughters of the

American Revolution and other similar nonprofit patriotic organizations.

h) Organization Must be Nonprofit to be Exclusively Charitable

On the other hand, a purchaser cannot qualify as being organized and operated


18



exclusively for charitable purposes unless it is organized and conducted on a not-

for-profit basis, with no personal profit inuring to anyone as a result of the

purchaser's operation. The payment of reasonable salaries to necessary

employees for services actually rendered does not convert a nonprofit enterprise

into a business enterprise.

i) Other Conditions Necessary for Being Exclusively Charitable

1) In the case of a corporation, there can be no capital structure nor capital

stock, no provision for disbursing dividends or other profits and no

payment of director's fees if the corporation seeks to qualify as an

exclusively charitable corporation.

2) The Supreme Court has stated that a charitable purpose may refer to

almost anything thatwhich promotes the well-being of society and

thatwhich is not forbidden by law; but to qualify as a charity, the

purchaser must be organized and operated to benefit an indefinite number

of the public. There may be restrictions on the group to be benefited (such

as an organization for women, for children, for the aged, etc.), but the

service rendered to those eligible for benefits must, nevertheless, in some

way relieve the public of a duty thatwhich it would have to thosesuch

beneficiaries or otherwise confer some benefit on the public.

j) Determination of Purpose for Which Organization or Institution is "Organized

and Operated"

1) In the case of a corporation, the purpose for which it is "organized" will be

determined by reference to its Charter. For example, it has been held by

the Supreme Court that an Elks Lodge, whose Charter stated it was

incorporated for the mutual benefit and social intercourse of its members,

was not "organized" exclusively for "charitable purposes", even though

the corporation engaged in a considerable amount of charitable work.

2) In the case of an unincorporated society, association, etc., the Constitution

and Bylaws of that groupthereof will determine the purpose for which it is

organized.

3) To qualify for total exemption the purchaser must be organized "and

operated" exclusively for charitable, religious or educational purposes.


18



k) Examples of Exempt Buyers

1) Some examples of purchasers thatwhich come within this exemption are

churches, Sunday Schools, Church Ladies' Aid Societies, Salvation Army

and other nonprofit corporations, societies, associations, foundations and

institutions organized and operated exclusively for religious purposes (but

not including ministersMinisters or other individuals when making

purchases from their own funds); corporations, societies, associations,

foundations and institutions organized and operated exclusively for

educational purposes, whether thesuch purchaser is organized and

operated as a business enterprise or on a not-for-profit basis (but see

subsection (l) below); homes for the aged thatwhich are not organized or

operated as a business enterprise with a view to profit and thatwhich

otherwise qualify as charitable institutions; nonprofit corporations,

societies, associations, foundations and institutions organized and operated

exclusively for the purpose of conducting scientific research of a character

that would be beneficial to the public (held to be a charitable purpose); the

American National Red Cross, Community Fund or United Fund

organizations, the Y.M.C.A., the Y.W.C.A., Boy Scouts of America (as a

corporation, but not as individuals), Girl Scouts of America (as a

corporation or association, but not as individuals), nonprofit Parent-

Teacher Associations, the National Safety Council and similar

organizations and nonprofit societies for the prevention of cruelty to

children or animals (all classified as charitable); free public libraries that

are not operated for profit and that are not operated by commercial

enterprises (whether thosesuch libraries are governmental units or not),

and local housing authorities.

2) These examples are illustrative, but not exhaustive.

3) To come within this exemption, the purchaser (in addition to being


purposes) must be a "corporation", a "society", an "association", a

"foundation" or an "institution".

l) "Educational Purposes" and "School" Defined and Illustrated

1) Receipts received from retail sales to corporations, societies, associations,


18



foundations and institutions that are organized and operated exclusively

for educational purposes are not taxable. There is no specific exemption

in the Constitution for "educational purposes" as to any kind of tax, but

Section 6 of Article IX of the Illinois Constitution authorizes the General

Assembly to grant a property tax exemption for property that is used for

"school...purposes". Consequently, the Department will construe the

Retailers' Occupation Tax exemption for "educational purposes" as

meaning for "school... purposes", as the phrase "school... purposes" has

been interpreted or may be interpreted by the Supreme Court. Section 2h

of the Act provides the statutory definition of "a corporation, society,

association, foundation or institution organized and operated exclusively

for educational purposes."

2) The Supreme Court has said that a school is a place where systematic

instruction in useful branches of learning is given by methods common to

schools and institutions of learning and does not include schools for

teaching dancing, riding and deportment. In that connection, the Supreme

Court has held that an organization thatwhich conducts a four-week

training school each summer for funeral directors is not a school because

the courses given and the intensity of their instruction do not compare

favorably with those in a department of mortuary science and mortuary

practice at regular colleges and universities, but represent only a

superficial or brief instruction in courses constituting a minor part of the

study of mortuary science.

3) Consequently, flying schools, driving schools, art association schools,

modeling schools, charm schools, and the like are not organized and

operated exclusively for educational purposes because they do not offer

courses thatwhich constitute systematic instruction in useful branches by

methods common to public schools and thatwhich compare favorably in

their scope and intensity with the course of study presented in tax-

supported schools within the meaning of the Retailers' Occupation Tax

Act.

4) However, the exemption for educational purposes includes private schools

(such as parochial grade and high schools, private colleges and the like) as

well as government-owned tax-supported schools so long as the institution

qualifies as a school as hereinabove described.


18



5) Also, the Retailers' Occupation Tax "educational purposes" exemption is

not limited by the statute to nonprofit institutions. The exemption would

include vocational or technical schools or institutions organized and

operated exclusively to provide a course of study of not less than 6 weeks

duration and designed to prepare individuals to follow a trade or to pursue

a manual, technical, mechanical, industrial, business or commercial

occupation (such as a business-operated law school) as long as the

institution otherwise qualifies as a school within the meaning of this

subsection (l) and the Act. (See subsection (pq) of this Section and

Section 2(h) of the Act.)

6) In addition, for Property Tax purposes, the Supreme Court has held that an

association, thatwhich is not itself a school in the ordinary sense, but

which provides a substantial service in improving the educational

standards of schools (such as the Association of American Medical

Colleges), is within the "school purposes" exemption, so the Department

will consider thatsuch an organization to be organized and operated

exclusively for "educational purposes" for Retailers' Occupation Tax

purposes.

7) Literary societies, though somewhat educational, are mainly for the

benefit of their own members as a hobby or pastime and do not relieve the

public of a duty nor contribute sufficiently to the public to qualify for an

exemption, and they are not places where systematic instruction in useful

branches of learning is given by methods common to schools and

institutions of learning in the ordinary or commonly accepted meanings of

those terms.

m) Nonprofit Hospitals and Sanitaria

1) In the case of privately-owned hospitals, in addition to the fact that the

hospital must be organized and operated as a nonprofit enterprise (with

proceeds, if any, over expenses being put into the expansion of the

hospital's services, equipment and physical plant), some of the tests which

the Supreme Court has required to be met before the hospital can qualify

as being organized and operated exclusively for charitable purposes are

that the hospital must not discriminate against patients or doctors because

of race, color, creed or religion, and that the hospital must not refuse

admittance to any patient because of his inability to pay for hospital


18



service.

2) It is immaterial that most of the hospital's patients may be paying patients

if the hospital does not adopt any policy which is calculated to prevent

persons who cannot pay from seeking and obtaining admittance to the

hospital.

3) Delaying the admittance of nonemergency cases while the hospital makes

an investigation to try to find someone who will give the prospective

patient financial help has been held not to be an obstacle to admittance if

the hospital does not engage in such delaying tactics in the case of

emergency patients and if the hospital ultimately admits destitute patients

notwithstanding the fact that they cannot pay for services and cannot

procure financial help.

4) A hospital does not lose its character as a charitable organization because

of the fact that it refuses admittance to patients who are suffering from

dangerously contagious diseases.

5) Government-owned hospitals are deemed by the Department to be

organized and operated exclusively for charitable purposes within the

meaning of this Section.

6) The principles stated in this subsection with respect to hospitals apply also

to sanitaria and clinics.

mn) Meaning of "Exclusively"

1) Although the provision of the Retailers' Occupation Tax Act under

discussion, in excluding receipts from all sales to certain kinds of

purchasers, refers to them as being organized and operated "exclusively"

for charitable, religious or educational purposes, the Supreme Court has

not given the word "exclusively" its most literal interpretation under

similar circumstances because of the virtual impossibility of anyone being

engaged "exclusively" in anything, and so the Department will follow a

similar policy in applying the word "exclusively", as used in the Retailers'

Occupation Tax Act and in this Section, in order to carry out the manifest

intention of the General Assembly.


18



2) However, if a substantial purpose or activity of the purchaser is not

charitable, religious or educational, the Department will not consider the

purchaser to be organized and operated exclusively for charitable,

religious or educational purposes within the meaning of the Act.

no) Educational, Scientific and Similar Institutions, Associations and Organizations

Operated as "Business" Enterprises – When Liable For Tax

Persons engaged habitually, for livelihood or gain, in hospital, educational,

religious, scientific, social or cultural enterprises are among those who are

engaged in a service occupation thatwhich is nevertheless a "business" within the

meaning of the Act. When persons who operate businesses of the type described

in the preceding sentence sell tangible personal property to purchasers for use or

consumption apart from their rendering of service, thosesuch persons incur

Retailers' Occupation Tax liability. This is the case, for example, whenwhere

hospitals thatwhich are conducted as "business" enterprises operate public dining

rooms, public pharmaceutical dispensaries or otherwise sell tangible personal

property at retail to the general public, or whenwhere schools thatwhich are

operated as "business" enterprises sell tangible personal property at retail to the

general public or make retail sales to students of clothing, dormitory supplies or

other items thatwhich cannot be said to be used "primarily for the purposes of" the

school. Also, business-operated schools incur Retailers' Occupation Tax liability

on their retail sales of school books and school supplies to their students and

faculty members.

op) Educational, Scientific and Similar Institutions, Associations and Organizations

Operated as "Business" Enterprises – When Not Liable For Tax

1) Persons of the type described in the preceding paragraph are engaged

primarily in rendering service, and, to this extent, they are engaged in a

service occupation. To the extent to which they engage in asuch service

occupation, they are not required to remit Retailers' Occupation Tax

measured by any of their receipts which they realize from their rendering

of service, including those receipts thatwhich represent the price of

tangible personal property which they transfer to others as a necessary

incident to their rendering of service. The sale of meals to patients and the

furnishing of medicine for a consideration to patients in the course of

treatment by business-operated hospitals and business-operated licensed

nursing homes come within this service occupation exemption for

Retailers' Occupation Tax purposes. However, the tax liability of the


18



person engaged in thatsuch service occupation is governed by the Service

Occupation Tax Act (see Subpart A of the Service Occupation Tax

Regulations, (86 Ill. Adm. Code 140)).

2) Business-operated schools do not incur Retailers' Occupation Tax liability

on their sales of meals in a dining facility thatwhich is located on the

premises of the school and whose use is confined to the students and

employees of the school.

pq) Suppliers of Educational, Scientific and Similar Institutions, Associations and

Organizations Operated as "Business" Enterprises

1) Suppliers of educational, scientific and similar institutions, associations

and organizations operated as "business" enterprises do not incur Retailers'

Occupation Tax liability when they sell tangible personal property to any

such purchaser for resale either in connection with or apart from the

purchaser's rendering of service to others. However, for information

concerning the fact that purchases of food, medicine and other tangible

personal property by business-operated hospitals or business-operated

licensed nursing homes for retransfer to patients as an incident to service

are subject to the Service Occupation Tax, see Subpart A of the Service

Occupation Tax Regulations. Suppliers of these purchasers of the kind

referred to in the first sentence of this paragraph incur Retailers'

Occupation Tax liability when they sell tangible personal property to any

of these purchaserssuch purchaser at retail (i.e., for use or consumption by

the purchaser or to be given away by the purchaser, and not for resale in

any form as tangible personal property), provided that the tax does not

apply to receipts received by the seller from sales of any kind made to any

purchaser of this character who is able to qualify as a school. In

excluding, from the measure of the tax, receipts received by the seller

from sales of any kind to a school, the Act does not distinguish between

business and nonprofit schools.

2) Nevertheless, while the Department recognizes that a purchaser may

qualify as a school for exemption purposes notwithstanding the fact that

the purchaser is organized and operated as a business enterprise, the

Department takes the position that thesuch a purchaser cannot be

organized and operated exclusively for charitable or religious purposes if

thatsuch purchaser is organized and operated as a business enterprise with


18



a view to profit.

qr) Reporting – Records – Burden of Proof

1) When a seller claims exemption from the Retailers' Occupation Tax for

receipts received by the seller from his or her sale of tangible personal

property to a corporation, society, association, foundation or institution


purposes, the seller should include thosesuch receipts in his or her

Retailers' Occupation Tax return form, but then should deduct thosesuch

receipts on the line provided for that purpose in the return form (see

Subpart E of this Part).

2) The seller must maintain adequate books and records to sustain such

deductions (see Subpart H of this Part).

3) Sellers claiming the benefit of this exemption are cautioned against laxity

in claiming the benefit of this exemption without verifying the status of

the purchaser since the seller will have the burden of proof in establishing

his or her right to any such claimed exemption. The Courts have held

repeatedly that the burden of sustaining a right to tax exemption is on the

person claiming thesuch exemption. Tax exemption provisions in statutes

are strictly construed against the taxpayer, although the words employed

in thosesuch provisions will be given their commonly accepted and

understood meanings.


Section 130.2011 Sales to Persons Who Lease Tangible Personal Property to Exempt

Hospitals

a) OnEffective January 1, 1996 through December 31, 2000, and on and after

August 2, 2001, sales of computers and communications equipment utilized for

any hospital purpose that are sold to persons who lease those items to exempt

hospitals are not subject to Retailers' Occupation Tax. As noted in this subsection,

the exemption is not available during the period January 1, 2001 through August

1, 2001 because it expired under the provisions of Section 2-70 of the Retailers'

Occupation Tax Act [35 ILCS 120/2-70] and was not reinstated until August 2,

2001. The exemption is otherwise available, provided that:


18



1) the computers and communications equipment described in this subsection

(a)above must all be purchased for lease to a tax exempt hospital under a

lease that has been executed or is in effect at the time of purchase;

2) the lease must be for a period of one year or longer; and

3) the lease must be to a hospital that has an active tax exemption

identification number issued by the Department under Section 1g of the

Retailers' Occupation Tax Act (see Section 130.2007 of this Part).

b) OnEffective January 1, 1996 through December 31, 2000, and on and after

August 2, 2001, sales of equipment, other than that specified in subsection (a),

used in the diagnosis, analysis, or treatment of hospital patients that is sold to

persons who lease that equipment to exempt hospitals is not subject to Retailers'

Occupation Tax. As noted in this subsection (b), the exemption is not available

during the period January 1, 2001 through August 1, 2001 because it expired

under the provisions of Section 2-70 of the Retailers' Occupation Tax Act [35

ILCS 120/2-70] and was not reinstated until August 2, 2001. The exemption is

otherwise available, provided that:

1) the equipment described in this subsection (b)above must all be purchased

for lease to a tax exempt hospital under a lease that has been executed or is

in effect at the time of purchase;


3) the lease must be to a hospital that has an active tax exemption



c) The retailer must retain the certification described in subsections (c)(1) and

(2)below in the retailer'sretailers' books and records to properly document the

exemption described in this Section.

1) When this exemption may be properly claimed on the purchase of

computer or other communications equipment, the purchaser must give the

seller a certification stating that the computer or other communications

equipment is being purchased for lease to a tax exempt hospital under a


18



lease for a period of one year or longer executed or in effect at the time of

the purchase.

2) When this exemption may be properly claimed on the purchase of

equipment used in the diagnosis, analysis, or treatment of hospital

patients, the purchaser must give the seller a certification stating that the

equipment is being purchased for lease to a tax exempt hospital under a

lease for a period of one year or longer executed or in effect at the time of

the purchase, and that the equipment is for use in the diagnosis, analysis,

or treatment of hospital patients.

3) The certification described in subsections (c)(1) and (c)(2) of this Section

must also contain all of the following:

A) The seller's name and address;

B) The purchaser's name and address;

C) A description of the tangible personal property being purchased;

D) The purchaser's signature and date of signing;

E) The name and address of the hospital and its tax exemption

identification number issued by the Department; and

F) The date the lease was executed and the lease period.

d) For purposes of this Section, "hospital patients" means persons who seek any

form of medical care including, but not limited to, medical treatment, testing,

diagnosis, or therapy at a hospital or at another location under the control and

supervision of a hospital. For example, persons who are sent by doctors for X-

rays or other tests at qualifying hospitals, even though those persons are not

admitted to those hospitals, are considered hospital patients.


Section 130.2012 Sales to Persons Who Lease Tangible Personal Property to

Governmental Bodies


18



a) OnEffective January 1, 1996 through December 31, 2000, and on and after

August 2, 2001, sales of tangible personal property to a lessor who leases that

property to a governmental body are not subject to Retailers' Occupation Tax. As

noted in this subsection (a), the exemption is not available during the period

January 1, 2001 through August 1, 2001 because it expired under the provisions

of Section 2-70 of the Retailers' Occupation Tax Act [35 ILCS 120/2-70] and was

not reinstated until August 2, 2001. The exemption is otherwise available,

provided that:

1) the tangible personal property must be purchased for lease to a

governmental body under a lease that has been executed or is in effect at

the time of purchase;


3) the lease must be to a governmental body that has an active tax exemption



b) When this exemption may be properly claimed, the purchaser must give the seller

a certification stating that the property is being purchased for lease to a

governmental body, under a lease of one year or longer executed or in effect at the

time of the purchase and containing all of the following:

1) The seller's name and address;

2) The purchaser's name and address;

3) A description of the tangible personal property being purchased;

4) The purchaser's signature and date of signing;

5) The name of the governmental body and its tax exemption identification

number issued by the Department; and

6) The date the lease was executed and the lease period.



18



Section 130.2020 Physicians and Surgeons


When physicians or surgeons sell items of tangible personal property such as

medical bracelets, crutches, wheelchairs, first-aid kits, and the like, to purchasers

for use or consumption apart from their rendering of service as physicians or

surgeons, they incur Retailers' Occupation Tax liability. For information about

whether these items qualify as medical appliances, see 86 Ill. Adm. Code 130.311

(Food, Drugs, Medicines, and Medical Appliances and Grooming and Hygiene

Products), 86 Ill. Adm. Code 130.310.


Physicians and surgeons are engaged in professions and primarily render service.

To the extent to which they engage in thosesuch professions, they are not engaged

in the business of selling tangible personal property to purchasers for use or

consumption within the meaning of the Act. Consequently, they are not required

to remit Retailers' Occupation Tax measured by their receipts from engaging in

thosesuch professions, including receipts from both services and tangible personal

property transferred incident to those services.

c) Liability Under the Service Occupation Tax Act

For information concerning the application of the Service Occupation Tax to sales

by physicians and surgeons of tangible personal property that they transfer as an

incident to rendering service, see the Service Occupation Tax regulations at 86 Ill.

Adm. Code 140.


Section 130.2035 Registered Pharmacists and Druggists


When registered pharmacists or druggists sell drugs or medicines "over-the-

counter" to purchasers for use or consumption apart from their filling of the

prescription of a licensed physician or other person qualified to issue

prescriptions, or when registered pharmacists or druggists sell other tangible

personal property to purchasers for use or consumption, thosesuch registered

pharmacists or druggists incur Retailers' Occupation Tax liability.



18



1) When registered pharmacists and druggists, who, themselves, are engaged

in the practice of a licensed profession, sell medicines or drugs on the

prescription of a licensed physician or other person qualified to issue

prescriptions, thosesuch registered pharmacists and druggists are engaged

primarily in a service occupation or profession and are not required to

remit Retailers' Occupation Tax measured by their receipts from thosesuch

transactions, including receipts from both labor and tangible personal

property. These transactions are governed by the Service Occupation Tax

Act. For information concerning the Service Occupation Tax, see 86 Ill.

Adm. Code 140. For information on Sales of Drugs and Related Items, to

or by Pharmacists, see 86 Ill. Adm. Code 140.135.

2) For information concerning newspapers, magazines, books, sheet music

and phonograph records, see Section 130.2105 of this Part.

3) For information concerning photofinishing, see Section 130.2000 of this

Part.

4) For information concerning sales of medicines, see Section 130.311310 of

this Part.


Section 130.2060 Sales of Alcoholic Beverages, Motor Fuel and Tobacco Products

a) Retailers' Occupation Tax on Retail Sales of Alcoholic Beverages

Persons engaged in the business of selling alcoholic beverages to purchasers for

use or consumption are required to remit Retailers' Occupation Tax to the

Department upon their gross receipts from thosesuch sales, notwithstanding the

fact that manufacturers and importing distributors of alcoholic beverages are

required to pay certain taxes under the Liquor Control Act of 1934 [235 ILCS 5].

It is immaterial whether thesuch alcoholic beverages are consumed on or off the

premises where such alcoholic beverages are sold. In computing Retailers'

Occupation Tax liability, no amount may be deducted from gross receipts from

retail sales of alcoholic beverages to cover the taxes thatwhich have been paid by

manufacturers or importing distributors of alcoholic beverages under the Liquor

Control Act of 1934. Since the legal incidence of the Cook County Liquor

Gallonage Tax is on the consumer, with the seller acting merely as a collector of


18



the tax for the county, amounts collected because of the Cook County Liquor Tax

are not considered to be a part of the liquor retailer's receipts that are subject to

Retailers' Occupation Tax.

b) Retail Sales of Motor Fuel

Persons engaged in the business of selling motor fuel to purchasers for use or

consumption are also required to remit Retailers' Occupation Tax to the

Department upon their taxable receipts from thosesuch sales. In computing their

Retailers' Occupation Tax liability, persons who sell motor fuel for use or

consumption may deduct, from their gross receipts from thosesuch sales, the

Illinois Motor Fuel Tax collected with respect to thosesuch sales, because the

Illinois Motor Fuel Tax is on the consumer and is not considered to be a part of

the "selling price" of the motor fuel. The rate of the Illinois Motor Fuel Tax is

19ȼ per gallon. (Also, see 86 Ill. Adm. Code 500.)

c) In addition, the Cook County Motor Fuel Tax is imposed upon the consumer and

is therefore also deductible from gross receipts. However, County Motor Fuel

Taxes imposed under the County Motor Fuel Tax Law are includable in gross

receipts subject to Retailers' Occupation Tax because thosesuch taxes are imposed

upon retailers of motor fuel and not upon consumers.

d) Retailers' Occupation Tax on Retail Sales of Cigarettes and Other Tobacco

Products

1) Persons engaged in the business of selling cigarettes, cigars and other

tobacco products incur Retailers' Occupation Tax liability when selling

thosesuch products to purchasers for use or consumption. In the case of

cigarettes, the amount of the retail selling price represented by the State

Cigarette Tax or Cigarette Use Tax should be included in the total selling

price in arriving at the net taxable selling price. The rate of the Cigarette

Tax and the Cigarette Use Tax is 29 mills per cigarette, or 58 per package

on a package of 20 cigarettes.

2) If a home rule jurisdiction, such as Chicago, imposes a cigarette tax, the

amount of thatsuch local cigarette tax is subject to Retailers' Occupation

Tax. If any local government, pursuant to authorization from the Illinois

General Assembly to do so, should impose a cigarette tax in the nature of

an occupation tax, the amount collected by retailers because of that kind of

local cigarette tax is also subject to Retailers' Occupation Tax.


18



e) Improper Collection of Tax

The retailer should not collect tax on amounts foras to which he or she is acting

merely as a tax collector, such as the Cook County Liquor Gallonage Tax and the

Illinois Motor Fuel Tax. If the retailer does erroneously collect tax on thoseany

such amounts, he or she must refund the erroneously collected tax to the

purchaser or else remit thesuch erroneously collected tax to the Department. He

or she may not retain it. Also, if the retailer knowingly collects tax from

customers on receipts thatwhich are not subject to Retailers' Occupation Tax, he

or she can be subject to prosecution for a criminal violation.


Section 130.2095 Sellers of Gasohol, Coal, Coke, Fuel Oil and Other Combustibles

(Repealed)

a) All persons who are engaged in the business of selling, or selling and delivering,

coal, coke, fuel oil, briquettes, wood or other combustibles, whether in carload

lots or in smaller quantities, to purchasers for use or consumption, are required to

remit Retailers' Occupation Tax to the Department on their gross receipts from

such sales.

b) This Section includes operators of mines, dealers, haulers and all other persons

who engage in the business of selling combustibles to purchasers for use or

consumption.

c) Persons who are merely employed by a seller or by a purchaser to haul or deliver

combustibles to the purchaser, but who do not purchase and then sell the

combustibles which they so haul or deliver, are engaged in rendering a service

and not in the business of selling tangible personal property to purchasers for use

or consumption. Consequently, such persons are not required to remit Retailers'

Occupation Tax measured by their receipts from their rendering of such service,

the tax being payable by the person who actually makes the sale for use or

consumption. (For information concerning the deductibility or nondeductibility of

transportation or delivery charges, see Section 130.415 of this Part.)

d) For information on fuel sold for use in vessels on rivers bordering Illinois, see

Section 130.315 of this Part.


18



e) For information on sales of gasohol, see Section 130.320 of this Part.


Section 130.2135 Vending Machines

a) Vending Machine Sales – To Whom Taxable

Except as provided in subsection (e) of this Section, whenwhere tangible personal

property is sold to users or consumers by means of vending machines, the person

owning the property contained in thesuch vending machines makes final sales of

thatsuch property for use or consumption and becomes liable for Retailers'

Occupation Tax.

b) When Owner of Establishment is Taxable

When vending machines are placed in an establishment, the person operating

thesuch establishment sometimes owns the articles sold through the vending

machines and makes collection of the coins deposited in the machines in payment

for articles so sold. Under thesesuch conditions, thesuch person must report and

pay the tax measured by his or her gross receipts from sales made through thesuch

vending machines.

c) When Owner of Establishment is Not Taxable

However, if the person operating thesuch establishment has no control over or

right of access to the articles in vending machines located on his or her premises,

and if he or she has no access to the gross receipts in thesuch machines and no

right to remove thesuch receipts without the consent of the owner of thesuch

machines, he will not be considered to be the owner of the articles sold through

thesuch vending machines and so will not be the person who incurs Retailers'

Occupation Tax liability with respect to thesuch vending machine sales.

d) When Person Other Than Owner of Establishment is Taxable

When someone other than the owner of the establishment owns the property that

is sold through the vending machines, thesuch owner of thesuch property is liable

for tax measured by his or her gross receipts from thesuch sales, without

deducting from thesuch receipts any amounts paid as commission.

e) Exemption for Bulk Sales of Merchandise From Vending Machine

Effective July 27, 1971 through December 31, 2001, the sale of merchandise from

a bulk vending machine for 1 is exempt from the Retailers' Occupation Tax. On


18



and after January 1, 2002, the sale of merchandise from a bulk vending machine

for 50ȼ or less is exempt from the Retailers' Occupation Tax. Prior to January 1,

2002, "bulk vending machine" means a nonelectrically operated vending machine,

containing unsorted confections, nuts or other merchandise which, when a coin of

a denomination not larger than 1 is inserted, are dispensed in equal portions, at

random and without selection by the customer. On and after January 1, 2002,

"bulk vending machine" means a vending machine, containing unsorted

confections, nuts, toys, or other items designed primarily to be used or played

with by children which, when a coin or coins of a denomination not larger than

$0.50 are inserted, are dispensed in equal portions, at random and without

selection by the customer. (Section 1 of the Act)



18



Section 130.ILLUSTRATION A Examples of Tax Exemption Cards

a) This Illustration A provides samples of the tax exemption cards issued by the U.S.

Department of State to certain foreign government personnel and offices under

the authority of the Foreign Missions Act (22 USC 4301 et seq.) prior to June

2011. The plastic cards, which are the size of credit cards and have a hologram,

are valid nationwide. Cards are used at the point of sale for exemption from State

and local sales taxes and similar taxes normally charged to customers. Some cards

have restrictions on tax-free purchases. Tax exemption cards are not valid for

exemption from taxes on telephones, other utilities, or gasoline purchases. Cards

are not transferable. Only the person whose photograph appears on the front side

of the card may use it. Vendors may ask for additional identification such as a

driver's license.

b) Examples of tax exemption cards for personal purchases.

(Picture of

Diplomat)

UNITED STATES

DEPARTMENT OF STATE

Personal Tax Exemption Card BLUE STRIPE

Full tax exemption

MISSION: (Name of mission inserted here) on all personal

purchases

EXPIRATION DATE: 00/00/00

NO: 0000-0000-01 SEX: M DOB: 00/00/00

LAST NAME OF DIPLOMAT, FIRST NAME OF DIPLOMAT (Blue stripe here)

EXEMPT FROM ALL SALES TAX

(Picture of

Diplomat)

UNITED STATES

DEPARTMENT OF STATE YELLOW STRIPE

Full tax exemption

on all personal

purchases except

restricted categories

identified on the

face of the card.

Personal Tax Exemption Card

MISSION: (Name of mission inserted here)


NO: 0000-0000-01 SEX: M DOB: 00/00/00

LAST NAME OF DIPLOMAT, FIRST NAME OF DIPLOMAT (Yellow stripe here)

EXEMPTION NOT VALID FOR:

FOOD; CLOTHING; RESTAURANTS; SERVICE;

HOTELS; GROCERIES


18



c) Mission tax exemption cards are issued to embassies, consulates, and international

organizations for official purchases only and for the sole benefit of the mission

identified on the face of the card. All purchases must be made in the name of the

mission and paid for by mission check or credit card (not cash or personal check).

Personal purchases are prohibited when using a mission tax exemption card.

d) Examples of tax exemption cards for mission (official) business.

(Picture of

Diplomat)

UNITED STATES

DEPARTMENT OF STATE

Mission Tax Exemption Card BLUE STRIPE

Full tax exemption

MISSION: (Name of mission inserted here) on all official

purchases


NO: 0000-0000-01 SEX: F DOB: 00/00/00

LAST NAME OF DIPLOMAT, FIRST NAME OF DIPLOMAT (Blue stripe here)

EXEMPT FROM ALL SALE S TAX

(Picture of

Diplomat)

UNITED STATES

YELLOW STRIPE

Full tax exemption

on all official

purchases except

restricted categories

identified on the

face of the card.

DEPARTMENT OF STATE

Mission Tax Exemption Card

OFFICAL PURCHASES ONLY

MISSION: (Name of mission inserted here)


NO: 0000-0000-01 SEX: F DOB: 00/00/00

LAST NAME OF DIPLOMAT, FIRST NAME OF DIPLOMAT (Yellow stripe here)

TAX EXEMPTION NOT VALID FOR:

SALES UNDER $350; HOTELS

e) Examples of reverse of both mission and personal tax exemption cards.

NOT TRANSFERABLE

This card entitles bearer, whose photo appears on reverse, to nationwide

exemption from state and local sales taxes, restaurant and similar taxes

normally charged to the customer. Vendor may ask for additional

identification.

IF FOUND PLEASE RETURN TO:

Office of Foreign Missions


18



U.S. Department of State

3507 International Place, N.W.

Washington, D.C. 20008-3034

202-895-3563

Monday through Friday Return Postage Guaranteed

9:00 a.m.-4:00 p.m. EST Rev. 08-95

f) Beginning in June 2011, the U.S. Department of State began issuing new types of

U.S. Department of State Diplomatic Tax Exemption Cards. The new Diplomatic

Tax Exemption Cards are the same size as credit cards, made from plastic, and

contain security features such as laser-engraved personalization of data, the

inclusion of an optically variable device or kinegram, and tactile micro-text (small

raised text). They are valid nationwide. These cards are used at the point of sale

for exemption from State and local sales taxes and similar taxes normally charged

to customers. Some cards have restrictions on tax-free purchases. Tax exemption

cards are not valid for exemption from taxes on telecommunications, other

utilities, or gasoline purchases. The cards are not transferable. Only the person

whose photograph appears on the front side of the card may use the card.

Vendors may ask for additional identification such as a driver's license.

1) New image and text of U.S. Department State Diplomatic Tax Exemption

Cards. Each Diplomatic Tax Exemption Card bears an image of an animal

(an owl, eagle, buffalo or deer, replacing the previously used blue/yellow

stripes") indicating the cardholder's specific type of tax exemption and

contains text outlining the scope of the exemptions. The types of

exemptions given are determined on a case-by-case basis and, thus, will

usually vary by cardholder. The images and text in this subsection (af)(1)

were taken from the U.S. Department of State, Bureau of Diplomatic

Security, Office of Foreign Missions' "New Tax Card Design Flyer"

(publication dated June 2011), thatwhich can be found on-line at

www.state.gov/ofm/tax/. Each card is unique to the cardholder, indicates

whether the card was issued for official purchases only or for personal

purchases, and lists the specific exemptions to which that cardholder is

entitled.

A) OWL


18



Cards with this image are intended to be used solely in connection with

official purchases; the cardholder/mission is eligible for exemption from

sales, occupancy, restaurant/meal, and other similarly imposed taxes

without restriction.

B) BUFFALO


official purchases; the cardholder/mission is subject to some degree of

restriction on exemption from sales, occupancy, restaurant/meal, and other

similarly imposed taxes. (For example, thesuch cards may read "EXEMPT

FROM TAXES IMPOSED ON PURCHASES OVER $300; NOT VALID

AT HOTELS".)

C) EAGLE


18




personal purchases; the cardholder is eligible for exemption from sales,

occupancy, restaurant/meal, and other similarly imposed taxes without

restriction.

D) DEER


personal purchases; the cardholder is subject to some degree of restriction

on exemption from sales, occupancy, restaurant/meal, and other similarly

imposed taxes. (For example, thesuch cards may read "EXEMPT FROM

TAXES IMPOSED ON PURCHASES OF HOTEL STAYS,

RESTAURANT MEALS, AND RENTAL CARS".)

2) Samples of the U.S. Department of State Diplomatic Tax Exemption

Cards are for illustrative purposes only. It is important to look at the card

to determine the precise exemptions to which the cardholder is entitled.

The images below of the four types of U.S. Department State Diplomatic

Tax Exemption Cards were taken from the "White Paper Detailing the

Department of State's Newly Designed Diplomatic Tax Exemption Cards"

found on the U.S. Department of State, Bureau of Diplomatic Security,

Office of Foreign Missions website at www.state.gov/ofm/tax/.

A) Official Purchases Only, Without Restrictions


18



B) Official Purchases Only, With Restrictions


18



C) Personal Tax Exemption, Without Restrictions


18



D) Personal Tax Exemption, With Restrictions.


18



bg) Taipei Economic and Cultural Representative Office (TECRO) Cards. Each

TECRO card will indicate the cardholder's exemption type (e.g., Mission Tax

Exemption Card or Personal Tax Exemption Card) and the exempted taxes (e.g.,

State and local sales taxes, restaurant and similar taxes). For illustrative purposes

only, below are samples of the TECRO exemption cards. It is important to look at

the exemption card to determine the precise exemptions to which the cardholder is

entitled.

1) Personal Tax Exemption


18



2) Official Purchases Only


18





18


NOTICE OF ADOPTED AMENDMENTS

1) Heading of the Part: Pay Plan


3) Section Numbers: Adopted Actions:

310.50 Amendment

310.410 Amendment

310.Appendix A Table AE Repealed

4) Statutory Authority: Authorized by Sections 8, 8a and 9(7) of the Personnel Code [20

ILCS 415/8, 20 ILCS 415/8a, 20 ILCS 415/8c, 20 ILCS 415/8e, 20 ILCS 415/9(7) and 20

ILCS 415/9(14)], subsection (d) of Section 1-5 of the Illinois Administrative Procedure

Act [5 ILCS 100/1-5(d)] and by Sections 4, 6, 15 and 21 of the Illinois Public Labor

Relations Act [5 ILCS 315/4, 5 ILCS 315/6, 5 ILCS 315/15 and 5 ILCS 315/21].

5) Effective Date of Rules: March 9, 2018



8) A statement that a copy of the adopted rules including any material incorporated by

reference is on file in the Agency's principal office and is available for public inspection.

Copies of all Pay Plan amendments and collective bargaining contracts are available upon

request from the Division of Technical Services.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 13473; November 13,

2017

10) Has JCAR issued a Statement of Objection to these rules? No

11) Differences between Proposal and Final Version: Since the First Notice, the changes are

based on the intervening rulemaking and a CMS recommendation. The changes are:

In the main source notes, reference to the intervening peremptory rulemaking 41

Ill. Reg. 15837, effective and filed December 12, 2017 and adoption of the

proposed amendment 42 Ill. Reg. 712, effective and filed December 28, 2017, are

added.


18



In Section 310.50, three pay plan codes, V, W, and X, are added to the definition

of "Pay Plan Code." This is based on the intervening peremptory rulemaking 41

Ill. Reg. 15837, effective and filed December 12, 2017.

In Section 310.410, two blank rows between the rows for Health Services

Investigator I and Health Services Investigator II, Option A General are removed.

The Insurance Performance Examiner Trainee title (title code 21680) to which the

MS-09 salary range is assigned and the Juvenile Justice Vocational Instructor title

(title code 21787) to which the MS-16 salary range is assigned were added to the

table in alphabetic order by title. The removal is a CMS recommendation and the

addition is based on the intervening proposed rulemaking adopted December 28,

2017.

12) Has the change agreed upon by the Agency and JCAR been made as indicated in the

agreements issued by JCAR? None were made.


14) Are there any rulemakings pending on this Part? No

15) Summary and Purpose of Rulemaking: In the table of contents, "(Repealed)" is added at

the end of the 310.Appendix A Table AE heading.

In Section 310.50 and the definition of "divided class," the effective date of the list of

divided classes is changed to May 17, 2017. In the list of divided classes, the Internal

Security Investigator I and II titles and their title codes are removed.

In Section 310.410, the MS-salary range assignments are changed for the Internal

Security Investigator I title to MS-22 and for the Internal Security Investigator II title to

MS-28.

In Section 310.Appendix A Table AE, "(Repealed)" is added at the end of the

310.Appendix A Table AE heading. The title and rate tables are deleted.

The changes are based on: the Illinois Labor Relations Board Executive Director's

Revocation of Certification (Case No. S-UC-16-050) issued May 17, 2017 excluding as

confidential employees the incumbents appointed to the Internal Security Investigator I

and II titles and represented by the Metropolitan Alliance of Police, Chapter 294 (RC-

090); and the Illinois Labor Relations Board Decision and Order of the Illinois Labor


18



Relations Board State Panel (Case No. S-UC-16-050) issued May 16, 2017 to exclude

from bargaining unit representation the incumbents appointed to the Internal Security

Investigator I and II titles and represented by the Metropolitan Alliance of Police,

Chapter 294 (RC-090).

16) Information and questions regarding these adopted rules shall be directed to:

Lisa Fendrich

Compensation Section

Division of Technical Services

Bureau of Personnel

Department of Central Management Services

504 William G. Stratton Building

401 South Spring Street


217/782-7976

fax: 217/524-4570

[email protected]

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


18



TITLE 80: PUBLIC OFFICIALS AND EMPLOYEES

SUBTITLE B: PERSONNEL RULES, PAY PLANS, AND

POSITION CLASSIFICATIONS

CHAPTER I: DEPARTMENT OF CENTRAL MANAGEMENT SERVICES

PART 310

PAY PLAN


Section

310.20 Policy and Responsibilities

310.30 Jurisdiction

310.40 Pay Schedules

310.45 Comparison of Pay Grades or Salary Ranges Assigned to Classifications

310.47 In-Hire Rate

310.50 Definitions

310.60 Conversion of Base Salary to Pay Period Units


310.80 Increases in Pay



310.110 Implementation of Pay Plan Changes (Repealed)

310.120 Interpretation and Application of Pay Plan

310.130 Effective Date

310.140 Reinstitution of Within Grade Salary Increases (Repealed)

310.150 Fiscal Year 1985 Pay Changes in Schedule of Salary Grades, effective July 1,

1984 (Repealed)


Section


310.210 Prevailing Rate

310.220 Negotiated Rate

310.230 Part-Time Daily or Hourly Special Services Rate (Repealed)

310.240 Daily or Hourly Rate Conversion

310.250 Member, Patient and Inmate Rate

310.260 Trainee Rate


18



310.270 Legislated Rate (Repealed)

310.280 Designated Rate

310.290 Out-of-State Rate (Repealed)

310.295 Foreign Service Rate (Repealed)

310.300 Educator Schedule for RC-063 and HR-010

310.310 Physician Specialist Rate

310.320 Annual Compensation Ranges for Executive Director and Assistant Executive

Director, State Board of Elections (Repealed)

310.330 Excluded Classes Rate (Repealed)


Section

310.410 Jurisdiction

310.415 Merit Compensation Salary Range Assignments

310.420 Objectives

310.430 Responsibilities

310.440 Merit Compensation Salary Schedule

310.450 Procedures for Determining Annual Merit Increases and Bonuses

310.455 Intermittent Merit Increase (Repealed)

310.456 Merit Zone (Repealed)

310.460 Other Pay Increases

310.470 Adjustment



310.495 Broad-Band Pay Range Classes

310.500 Definitions

310.510 Conversion of Base Salary to Pay Period Units (Repealed)


310.530 Implementation

310.540 Annual Merit Increase and Bonus Guidechart

310.550 Fiscal Year 1985 Pay Changes in Merit Compensation System, effective July 1,

1984 (Repealed)

310.560 Merit Incentive Program

310.570 Gain Sharing Program

SUBPART D: FROZEN NEGOTIATED-RATES-OF-PAY DUE TO

FISCAL YEAR APPROPRIATIONS AND EXPIRED SALARY SCHEDULES IN

COLLECTIVE BARGAINING UNIT AGREEMENTS


18



Section

310.600 Jurisdiction (Repealed)

310.610 Pay Schedules (Repealed)

310.620 In-Hiring Rate (Repealed)

310.630 Definitions (Repealed)

310.640 Increases in Pay (Repealed)

310.650 Other Pay Provisions (Repealed)

310.660 Effective Date (Repealed)

310.670 Negotiated Rate (Repealed)

310.680 Trainee Rate (Repealed)

310.690 Educator Schedule for Frozen RC-063 and Frozen HR-010 (Repealed)

310.APPENDIX A Negotiated Rates of Pay

310.TABLE A RC-104 (Conservation Police Supervisors, Illinois Fraternal Order of

Police Labor Council)

310.TABLE B VR-706 (Assistant Automotive Shop Supervisors, Automotive Shop

Supervisors and Meat and Poultry Inspector Supervisors, Laborers' −

ISEA Local #2002)

310.TABLE C RC-056 (Site Superintendents and Departments of Veterans' Affairs,

Natural Resources, Human Services and Agriculture and Historic

Preservation Agency Managers, IFPE)

310.TABLE D HR-001 (Teamsters Local #700)

310.TABLE E RC-020 (Teamsters Locals #330 and #705)

310.TABLE F RC-019 (Teamsters Local #25)

310.TABLE G RC-045 (Automotive Mechanics, IFPE)

310.TABLE H RC-006 (Corrections Employees, AFSCME)

310.TABLE I RC-009 (Institutional Employees, AFSCME)

310.TABLE J RC-014 (Clerical Employees, AFSCME)

310.TABLE K RC-023 (Registered Nurses, INA)

310.TABLE L RC-008 (Boilermakers)

310.TABLE M RC-110 (Conservation Police Lodge)

310.TABLE N RC-010 (Professional Legal Unit, AFSCME)

310.TABLE O RC-028 (Paraprofessional Human Services Employees, AFSCME)

310.TABLE P RC-029 (Paraprofessional Investigatory and Law Enforcement

Employees, Meat and Poultry Inspectors and Meat and Poultry

Inspector Trainees, IFPE)

310.TABLE Q RC-033 (Meat Inspectors, IFPE) (Repealed)

310.TABLE R RC-042 (Residual Maintenance Workers, AFSCME)

310.TABLE S VR-704 (Departments of Corrections, Financial and Professional


18



Regulation, Juvenile Justice and State Police Supervisors, Laborers' –

ISEA Local #2002)

310.TABLE T HR-010 (Teachers of Deaf, IFT)

310.TABLE U HR-010 (Teachers of Deaf, Extracurricular Paid Activities)

310.TABLE V CU-500 (Corrections Meet and Confer Employees)

310.TABLE W RC-062 (Technical Employees, AFSCME)

310.TABLE X RC-063 (Professional Employees, AFSCME)

310.TABLE Y RC-063 (EducatorEducators, Educator Trainees, Juvenile Justice

School Counselors and Special Education Resources Coordinators,

AFSCME)

310.TABLE Z RC-063 (Physicians, AFSCME)

310.TABLE AA NR-916 (Departments of Central Management Services, Natural

Resources and Transportation, Teamsters)

310.TABLE AB RC-150 (Public Service Administrators Option 6, AFSCME)

(Repealed)

310.TABLE AC RC-036 (Public Service Administrators Option 8L Department of

Healthcare and Family Services, INA)

310.TABLE AD RC-184 (Blasting Experts, Blasting Specialists and Blasting

Supervisors Department of Natural Resources, SEIU Local 73)

310.TABLE AE RC-090 (Internal Security Investigators, Metropolitan Alliance of


310.APPENDIX B Frozen Negotiated-Rates-of-Pay (Repealed)

310.TABLE A Frozen RC-104-Rates-of-Pay (Conservation Police Supervisors,

Laborers' – ISEA Local #2002) (Repealed)

310.TABLE C Frozen RC-056-Rates-of-Pay (Site Superintendents and

Departments of Veterans' Affairs, Natural Resources, Human

Services and Agriculture and Historic Preservation Agency

Managers, IFPE) (Repealed)

310.TABLE H Frozen RC-006-Rates-of-Pay (Corrections Employees, AFSCME)

(Repealed)

310.TABLE I Frozen RC-009-Rates-of-Pay (Institutional Employees, AFSCME)

(Repealed)

310.TABLE J Frozen RC-014-Rates-of-Pay (Clerical Employees, AFSCME)

(Repealed)

310.TABLE K Frozen RC-023-Rates-of-Pay (Registered Nurses, INA) (Repealed)

310.TABLE M Frozen RC-110-Rates-of-Pay (Conservation Police Lodge)

(Repealed)

310.TABLE N Frozen RC-010 (Professional Legal Unit, AFSCME) (Repealed)

310.TABLE O Frozen RC-028-Rates-of-Pay (Paraprofessional Human Services


18



Employees, AFSCME) (Repealed)

310.TABLE P Frozen RC-029-Rates-of-Pay (Paraprofessional Investigatory and

Law Enforcement Employees, IFPE) (Repealed)

310.TABLE R Frozen RC-042-Rates-of-Pay (Residual Maintenance Workers,

AFSCME) (Repealed)

310.TABLE S Frozen VR-704-Rates-of-Pay (Departments of Corrections,

Financial and Professional Regulation, Juvenile Justice and State

Police Supervisors, Laborers' – ISEA Local #2002) (Repealed)

310.TABLE T Frozen HR-010-Rates-of-Pay (Teachers of Deaf, IFT) (Repealed)

310.TABLE V Frozen CU-500-Rates-of-Pay (Corrections Meet and Confer

Employees) (Repealed)

310.TABLE W Frozen RC-062-Rates-of-Pay (Technical Employees, AFSCME)

(Repealed)

310.TABLE X Frozen RC-063-Rates-of-Pay (Professional Employees, AFSCME)

(Repealed)

310.TABLE Y Frozen RC-063-Rates-of-Pay (Educators and Educator Trainees,

AFSCME) (Repealed)

310.TABLE Z Frozen RC-063-Rates-of-Pay (Physicians, AFSCME) (Repealed)

310.TABLE AB Frozen RC-150-Rates-of-Pay (Public Service Administrators

Option 6, AFSCME) (Repealed)

310.TABLE AD Frozen RC-184-Rates-of-Pay (Public Service Administrators

Option 8X Department of Natural Resources, SEIU Local 73)

(Repealed)

310.TABLE AE Frozen RC-090-Rates-of-Pay (Internal Security Investigators,

Metropolitan Alliance of Police Chapter 294) (Repealed)

310.APPENDIX C Comparison of Pay Grades or Salary Ranges Assigned to Classifications

310.ILLUSTRATION A Classification Comparison Flow Chart: Both Classes are

Whole

310.ILLUSTRATION B Classification Comparison Flow Chart: One Class is Whole

and One is Divided

310.ILLUSTRATION C Classification Comparison Flow Chart: Both Classes are

Divided

310.APPENDIX D Merit Compensation System Salary Schedule

310.APPENDIX E Teaching Salary Schedule (Repealed)

310.APPENDIX F Physician and Physician Specialist Salary Schedule (Repealed)

310.APPENDIX G Broad-Band Pay Range Classes Salary Schedule

AUTHORITY: Implementing and authorized by Sections 8 and 8a of the Personnel Code [20

ILCS 415/8 and 8a].


18



SOURCE: Filed June 28, 1967; codified at 8 Ill. Reg. 1558; emergency amendment at 8 Ill. Reg.

1990, effective January 31, 1984, for a maximum of 150 days; amended at 8 Ill. Reg. 2440,

effective February 15, 1984; emergency amendment at 8 Ill. Reg. 3348, effective March 5, 1984,

for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 4249, effective March 16,

1984, for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 5704, effective April 16,

1984, for a maximum of 150 days; emergency amendment at 8 Ill. Reg. 7290, effective May 11,

1984, for a maximum of 150 days; amended at 8 Ill. Reg. 11299, effective June 25, 1984;


emergency amendment at 8 Ill. Reg. 15007, effective August 6, 1984, for a maximum of 150

days; amended at 8 Ill. Reg. 15367, effective August 13, 1984; emergency amendment at 8 Ill.

Reg. 21310, effective October 10, 1984, for a maximum of 150 days; amended at 8 Ill. Reg.

21544, effective October 24, 1984; amended at 8 Ill. Reg. 22844, effective November 14, 1984;

emergency amendment at 9 Ill. Reg. 1134, effective January 16, 1985, for a maximum of 150

days; amended at 9 Ill. Reg. 1320, effective January 23, 1985; amended at 9 Ill. Reg. 3681,

effective March 12, 1985; emergency amendment at 9 Ill. Reg. 4163, effective March 15, 1985,

for a maximum of 150 days; emergency amendment at 9 Ill. Reg. 9231, effective May 31, 1985,

for a maximum of 150 days; amended at 9 Ill. Reg. 9420, effective June 7, 1985; amended at 9

Ill. Reg. 10663, effective July 1, 1985; emergency amendment at 9 Ill. Reg. 15043, effective

September 24, 1985, for a maximum of 150 days; amended at 10 Ill. Reg. 3230, effective

January 24, 1986; peremptory amendment at 10 Ill. Reg. 3325, effective January 22, 1986;

emergency amendment at 10 Ill. Reg. 8904, effective May 13, 1986, for a maximum of 150 days;


10 Ill. Reg. 12090, effective June 30, 1986, for a maximum of 150 days; peremptory amendment

at 10 Ill. Reg. 13675, effective July 31, 1986; peremptory amendment at 10 Ill. Reg. 14867,





effective December 22, 1986; peremptory amendment at 11 Ill. Reg. 3363, effective February 3,



effective March 24, 1987; emergency amendment at 11 Ill. Reg. 8787, effective April 15, 1987,

for a maximum of 150 days; emergency amendment at 11 Ill. Reg. 11830, effective July 1, 1987,

for a maximum of 150 days; peremptory amendment at 11 Ill. Reg. 13675, effective July 29,

1987; amended at 11 Ill. Reg. 14984, effective August 27, 1987; peremptory amendment at 11

Ill. Reg. 15273, effective September 1, 1987; peremptory amendment at 11 Ill. Reg. 17919,

effective October 19, 1987; peremptory amendment at 11 Ill. Reg. 19812, effective November

19, 1987; emergency amendment at 11 Ill. Reg. 20664, effective December 4, 1987, for a


18



maximum of 150 days; amended at 11 Ill. Reg. 20778, effective December 11, 1987; peremptory




days; peremptory amendment at 12 Ill. Reg. 7783, effective April 14, 1988; peremptory


9745, effective May 23, 1988; emergency amendment at 12 Ill. Reg. 11778, effective July 1,

1988, for a maximum of 150 days; emergency amendment at 12 Ill. Reg. 12895, effective July

18, 1988, for a maximum of 150 days; peremptory amendment at 12 Ill. Reg. 13306, effective

July 27, 1988; corrected at 12 Ill. Reg. 13359; amended at 12 Ill. Reg. 14630, effective

September 6, 1988; amended at 12 Ill. Reg. 20449, effective November 28, 1988; peremptory


Ill. Reg. 8080, effective May 10, 1989; amended at 13 Ill. Reg. 8849, effective May 30, 1989;


13 Ill. Reg. 10967, effective June 20, 1989, for a maximum of 150 days; emergency amendment

expired November 17, 1989; amended at 13 Ill. Reg. 11451, effective June 28, 1989; emergency

amendment at 13 Ill. Reg. 11854, effective July 1, 1989, for a maximum of 150 days; corrected

at 13 Ill. Reg. 12647; peremptory amendment at 13 Ill. Reg. 12887, effective July 24, 1989;


effective December 12, 1989; amended at 14 Ill. Reg. 615, effective January 2, 1990; peremptory

amendment at 14 Ill. Reg. 1627, effective January 11, 1990; amended at 14 Ill. Reg. 4455,

effective March 12, 1990; peremptory amendment at 14 Ill. Reg. 7652, effective May 7, 1990;

amended at 14 Ill. Reg. 10002, effective June 11, 1990; emergency amendment at 14 Ill. Reg.

11330, effective June 29, 1990, for a maximum of 150 days; amended at 14 Ill. Reg. 14361,

effective August 24, 1990; emergency amendment at 14 Ill. Reg. 15570, effective September 11,

1990, for a maximum of 150 days; emergency amendment expired February 8, 1991; corrected at

14 Ill. Reg. 16092; peremptory amendment at 14 Ill. Reg. 17098, effective September 26, 1990;




amendment at 15 Ill. Reg. 663, effective January 7, 1991; amended at 15 Ill. Reg. 3296, effective

February 14, 1991; amended at 15 Ill. Reg. 4401, effective March 11, 1991; peremptory


Reg. 5465, effective April 2, 1991; emergency amendment at 15 Ill. Reg. 10485, effective July 1,

1991, for a maximum of 150 days; amended at 15 Ill. Reg. 11080, effective July 19, 1991;


effective September 23, 1991; emergency amendment at 16 Ill. Reg. 711, effective December 26,

1991, for a maximum of 150 days; amended at 16 Ill. Reg. 3450, effective February 20, 1992;

peremptory amendment at 16 Ill. Reg. 5068, effective March 11, 1992; peremptory amendment


18



at 16 Ill. Reg. 7056, effective April 20, 1992; emergency amendment at 16 Ill. Reg. 8239,

effective May 19, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 8382, effective

May 26, 1992; emergency amendment at 16 Ill. Reg. 13950, effective August 19, 1992, for a

maximum of 150 days; emergency amendment at 16 Ill. Reg. 14452, effective September 4,

1992, for a maximum of 150 days; amended at 17 Ill. Reg. 238, effective December 23, 1992;


590, effective January 4, 1993; amended at 17 Ill. Reg. 1819, effective February 2, 1993;

amended at 17 Ill. Reg. 6441, effective April 8, 1993; emergency amendment at 17 Ill. Reg.


effective July 29, 1993; emergency amendment at 17 Ill. Reg. 13789, effective August 9, 1993,

for a maximum of 150 days; emergency amendment at 17 Ill. Reg. 14666, effective August 26,

1993, for a maximum of 150 days; amended at 17 Ill. Reg. 19103, effective October 25, 1993;


days; amended at 17 Ill. Reg. 22514, effective December 15, 1993; amended at 18 Ill. Reg. 227,

effective December 17, 1993; amended at 18 Ill. Reg. 1107, effective January 18, 1994; amended

at 18 Ill. Reg. 5146, effective March 21, 1994; peremptory amendment at 18 Ill. Reg. 9562,

effective June 13, 1994; emergency amendment at 18 Ill. Reg. 11299, effective July 1, 1994, for

a maximum of 150 days; peremptory amendment at 18 Ill. Reg. 13476, effective August 17,

1994; emergency amendment at 18 Ill. Reg. 14417, effective September 9, 1994, for a maximum

of 150 days; amended at 18 Ill. Reg. 16545, effective October 31, 1994; peremptory amendment

at 18 Ill. Reg. 16708, effective October 28, 1994; amended at 18 Ill. Reg. 17191, effective



Reg. 3073, effective February 17, 1995; amended at 19 Ill. Reg. 3456, effective March 7, 1995;

peremptory amendment at 19 Ill. Reg. 5145, effective March 14, 1995; amended at 19 Ill. Reg.

6452, effective May 2, 1995; peremptory amendment at 19 Ill. Reg. 6688, effective May 1, 1995;

amended at 19 Ill. Reg. 7841, effective June 1, 1995; amended at 19 Ill. Reg. 8156, effective

June 12, 1995; amended at 19 Ill. Reg. 9096, effective June 27, 1995; emergency amendment at

19 Ill. Reg. 11954, effective August 1, 1995, for a maximum of 150 days; peremptory

amendment at 19 Ill. Reg. 13979, effective September 19, 1995; peremptory amendment at 19

Ill. Reg. 15103, effective October 12, 1995; amended at 19 Ill. Reg. 16160, effective November

28, 1995; amended at 20 Ill. Reg. 308, effective December 22, 1995; emergency amendment at

20 Ill. Reg. 4060, effective February 27, 1996, for a maximum of 150 days; peremptory


7434, effective May 14, 1996; amended at 20 Ill. Reg. 8301, effective June 11, 1996; amended at

20 Ill. Reg. 8657, effective June 20, 1996; amended at 20 Ill. Reg. 9006, effective June 26, 1996;





18




Ill. Reg. 15092, effective November 7, 1996; emergency amendment at 21 Ill. Reg. 1023,

effective January 6, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 1629, effective

January 22, 1997; amended at 21 Ill. Reg. 5144, effective April 15, 1997; amended at 21 Ill. Reg.

6444, effective May 15, 1997; amended at 21 Ill. Reg. 7118, effective June 3, 1997; emergency




amendment at 21 Ill. Reg. 14589, effective October 15, 1997; peremptory amendment at 21 Ill.

Reg. 15030, effective November 10, 1997; amended at 21 Ill. Reg. 16344, effective December 9,

1997; peremptory amendment at 21 Ill. Reg. 16465, effective December 4, 1997; peremptory


Reg. 1593, effective December 22, 1997; amended at 22 Ill. Reg. 2580, effective January 14,





22 Ill. Reg. 7320, effective April 10, 1998; peremptory amendment at 22 Ill. Reg. 7692, effective

April 20, 1998; emergency amendment at 22 Ill. Reg. 12607, effective July 2, 1998, for a

maximum of 150 days; peremptory amendment at 22 Ill. Reg. 15489, effective August 7, 1998;

amended at 22 Ill. Reg. 16158, effective August 31, 1998; peremptory amendment at 22 Ill. Reg.

19105, effective September 30, 1998; peremptory amendment at 22 Ill. Reg. 19943, effective

October 27, 1998; peremptory amendment at 22 Ill. Reg. 20406, effective November 5, 1998;

amended at 22 Ill. Reg. 20581, effective November 16, 1998; amended at 23 Ill. Reg. 664,

effective January 1, 1999; peremptory amendment at 23 Ill. Reg. 730, effective December 29,

1998; emergency amendment at 23 Ill. Reg. 6533, effective May 10, 1999, for a maximum of

150 days; amended at 23 Ill. Reg. 7065, effective June 3, 1999; emergency amendment at 23 Ill.



peremptory amendment at 23 Ill. Reg. 12493, effective September 23, 1999; amended at 23 Ill.

Reg. 12604, effective September 24, 1999; amended at 23 Ill. Reg. 13053, effective September

27, 1999; peremptory amendment at 23 Ill. Reg. 13132, effective October 1, 1999; amended at

23 Ill. Reg. 13570, effective October 26, 1999; amended at 23 Ill. Reg. 14020, effective


amendment at 24 Ill. Reg. 3399, effective February 3, 2000; amended at 24 Ill. Reg. 3537,


24 Ill. Reg. 7956, effective May 23, 2000; emergency amendment at 24 Ill. Reg. 10328, effective

July 1, 2000, for a maximum of 150 days; emergency expired November 27, 2000; peremptory

amendment at 24 Ill. Reg. 10767, effective July 3, 2000; amended at 24 Ill. Reg. 13384, effective


18



August 17, 2000; peremptory amendment at 24 Ill. Reg. 14460, effective September 14, 2000;

peremptory amendment at 24 Ill. Reg. 16700, effective October 30, 2000; peremptory

amendment at 24 Ill. Reg. 17600, effective November 16, 2000; amended at 24 Ill. Reg. 18058,

effective December 4, 2000; peremptory amendment at 24 Ill. Reg. 18444, effective December 1,


effective January 22, 2001; amended at 25 Ill. Reg. 4552, effective March 14, 2001; peremptory


effective April 4, 2001; amended at 25 Ill. Reg. 6655, effective May 11, 2001; amended at 25 Ill.

Reg. 7151, effective May 25, 2001; peremptory amendment at 25 Ill. Reg. 8009, effective June

14, 2001; emergency amendment at 25 Ill. Reg. 9336, effective July 3, 2001, for a maximum of

150 days; amended at 25 Ill. Reg. 9846, effective July 23, 2001; amended at 25 Ill. Reg. 12087,


peremptory amendment at 25 Ill. Reg. 15671, effective November 15, 2001; amended at 25 Ill.

Reg. 15974, effective November 28, 2001; emergency amendment at 26 Ill. Reg. 223, effective

December 21, 2001, for a maximum of 150 days; amended at 26 Ill. Reg. 1143, effective January

17, 2002; amended at 26 Ill. Reg. 4127, effective March 5, 2002; peremptory amendment at 26



days; amended at 26 Ill. Reg. 10425, effective July 1, 2002; emergency amendment at 26 Ill.


effective September 10, 2002; amended at 26 Ill. Reg. 14965, effective October 7, 2002;

emergency amendment at 26 Ill. Reg. 16583, effective October 24, 2002, for a maximum of 150

days; emergency expired March 22, 2003; peremptory amendment at 26 Ill. Reg. 17280,

effective November 18, 2002; amended at 26 Ill. Reg. 17374, effective November 25, 2002;

amended at 26 Ill. Reg. 17987, effective December 9, 2002; amended at 27 Ill. Reg. 3261,

effective February 11, 2003; expedited correction at 28 Ill. Reg. 6151, effective February 11,

2003; amended at 27 Ill. Reg. 8855, effective May 15, 2003; amended at 27 Ill. Reg. 9114,

effective May 27, 2003; emergency amendment at 27 Ill. Reg. 10442, effective July 1, 2003, for

a maximum of 150 days; emergency expired November 27, 2003; peremptory amendment at 27

Ill. Reg. 17433, effective November 7, 2003; amended at 27 Ill. Reg. 18560, effective December

1, 2003; peremptory amendment at 28 Ill. Reg. 1441, effective January 9, 2004; amended at 28

Ill. Reg. 2684, effective January 22, 2004; amended at 28 Ill. Reg. 6879, effective April 30,


Reg. 8842, effective June 11, 2004; peremptory amendment at 28 Ill. Reg. 9717, effective June

28, 2004; amended at 28 Ill. Reg. 12585, effective August 27, 2004; peremptory amendment at

28 Ill. Reg. 13011, effective September 8, 2004; peremptory amendment at 28 Ill. Reg. 13247,

effective September 20, 2004; peremptory amendment at 28 Ill. Reg. 13656, effective September

27, 2004; emergency amendment at 28 Ill. Reg. 14174, effective October 15, 2004, for a

maximum of 150 days; emergency expired March 13, 2005; peremptory amendment at 28 Ill.


18




November 15, 2004; peremptory amendment at 28 Ill. Reg. 16513, effective December 9, 2004;


1166, effective January 7, 2005; peremptory amendment at 29 Ill. Reg. 1385, effective January 4,

2005; peremptory amendment at 29 Ill. Reg. 1559, effective January 11, 2005; peremptory


Reg. 4125, effective February 23, 2005; amended at 29 Ill. Reg. 5375, effective April 4, 2005;



May 10, 2005; amended at 29 Ill. Reg. 8110, effective May 23, 2005; peremptory amendment at




August 11, 2005; amended at 29 Ill. Reg. 13540, effective August 22, 2005; peremptory




days; peremptory amendment at 29 Ill. Reg. 20693, effective December 12, 2005; peremptory


Reg. 1382, effective January 13, 2006; amended at 30 Ill. Reg. 2289, effective February 6, 2006;

peremptory amendment at 30 Ill. Reg. 4157, effective February 22, 2006; peremptory

amendment at 30 Ill. Reg. 5687, effective March 7, 2006; peremptory amendment at 30 Ill. Reg.

6409, effective March 30, 2006; amended at 30 Ill. Reg. 7857, effective April 17, 2006; amended

at 30 Ill. Reg. 9438, effective May 15, 2006; peremptory amendment at 30 Ill. Reg. 10153,

effective May 18, 2006; peremptory amendment at 30 Ill. Reg. 10508, effective June 1, 2006;


12340, effective July 1, 2006, for a maximum of 150 days; peremptory amendment at 30 Ill.

Reg. 12418, effective July 1, 2006; amended at 30 Ill. Reg. 12761, effective July 17, 2006;



effective September 27, 2006; emergency amendment at 30 Ill. Reg. 16626, effective October 3,

2006, for a maximum of 150 days; peremptory amendment at 30 Ill. Reg. 17603, effective

October 20, 2006; amended at 30 Ill. Reg. 18610, effective November 20, 2006; peremptory





2007; amended at 31 Ill. Reg. 4982, effective March 15, 2007; peremptory amendment at 31 Ill.

Reg. 7338, effective May 3, 2007; amended at 31 Ill. Reg. 8901, effective July 1, 2007;


18





31 Ill. Reg. 12335, effective August 9, 2007; emergency amendment at 31 Ill. Reg. 12608,

effective August 16, 2007, for a maximum of 150 days; emergency amendment at 31 Ill. Reg.

13220, effective August 30, 2007, for a maximum of 150 days; peremptory amendment at 31 Ill.

Reg. 13357, effective August 29, 2007; amended at 31 Ill. Reg. 13981, effective September 21,

2007; peremptory amendment at 31 Ill. Reg. 14331, effective October 1, 2007; amended at 31 Ill.

Reg. 16094, effective November 20, 2007; amended at 31 Ill. Reg. 16792, effective December


32 Ill. Reg. 1082, effective January 11, 2008; peremptory amendment at 32 Ill. Reg. 3095,


2008; peremptory amendment at 32 Ill. Reg. 7154, effective April 17, 2008; expedited correction

at 32 Ill. Reg. 9747, effective April 17, 2008; peremptory amendment at 32 Ill. Reg. 9360,

effective June 13, 2008; amended at 32 Ill. Reg. 9881, effective July 1, 2008; peremptory


13861, effective August 8, 2008; peremptory amendment at 32 Ill. Reg. 16591, effective

September 24, 2008; peremptory amendment at 32 Ill. Reg. 16872, effective October 3, 2008;






Reg. 6354, effective April 15, 2009; peremptory amendment at 33 Ill. Reg. 6724, effective May

1, 2009; peremptory amendment at 33 Ill. Reg. 9138, effective June 12, 2009; emergency

amendment at 33 Ill. Reg. 9432, effective July 1, 2009, for a maximum of 150 days; amended at

33 Ill. Reg. 10211, effective July 1, 2009; peremptory amendment at 33 Ill. Reg. 10823, effective

July 2, 2009; peremptory amendment at 33 Ill. Reg. 11082, effective July 10, 2009; peremptory


11895, effective July 31, 2009; peremptory amendment at 33 Ill. Reg. 12872, effective

September 3, 2009; amended at 33 Ill. Reg. 14944, effective October 26, 2009; peremptory




effective January 5, 2010; peremptory amendment at 34 Ill. Reg. 3684, effective March 5, 2010;


34 Ill. Reg. 6214, effective April 16, 2010; amended at 34 Ill. Reg. 6583, effective April 30,


Reg. 7645, effective May 24, 2010; peremptory amendment at 34 Ill. Reg. 7947, effective May

26, 2010; peremptory amendment at 34 Ill. Reg. 8633, effective June 18, 2010; amended at 34


18




July 9, 2010; peremptory amendment at 34 Ill. Reg. 11864, effective July 30, 2010; emergency

amendment at 34 Ill. Reg. 12240, effective August 9, 2010, for a maximum of 150 days;



effective September 30, 2010; peremptory amendment at 34 Ill. Reg. 18912, effective November


35 Ill. Reg. 765, effective December 30, 2010; emergency amendment at 35 Ill. Reg. 1092,

effective January 1, 2011, for a maximum of 150 days; peremptory amendment at 35 Ill. Reg.

2465, effective January 19, 2011; peremptory amendment at 35 Ill. Reg. 3577, effective February

10, 2011; emergency amendment at 35 Ill. Reg. 4412, effective February 23, 2011, for a

maximum of 150 days; peremptory amendment at 35 Ill. Reg. 4803, effective March 11, 2011;

emergency amendment at 35 Ill. Reg. 5633, effective March 15, 2011, for a maximum of 150

days; peremptory amendment at 35 Ill. Reg. 5677, effective March 18, 2011; amended at 35 Ill.

Reg. 8419, effective May 23, 2011; amended at 35 Ill. Reg. 11245, effective June 28, 2011;


emergency expired November 27, 2011; peremptory amendment at 35 Ill. Reg. 12119, effective

June 29, 2011; peremptory amendment at 35 Ill. Reg. 13966, effective July 29, 2011; peremptory

amendment at 35 Ill. Reg. 15178, effective August 29, 2011; emergency amendment at 35 Ill.

Reg. 15605, effective September 16, 2011, for a maximum of 150 days; peremptory amendment

at 35 Ill. Reg. 15640, effective September 15, 2011; peremptory amendment at 35 Ill. Reg.

19707, effective November 23, 2011; amended at 35 Ill. Reg. 20144, effective December 6,

2011; amended at 36 Ill. Reg. 153, effective December 22, 2011; peremptory amendment at 36

Ill. Reg. 564, effective December 29, 2011; peremptory amendment at 36 Ill. Reg. 3957,


2012; peremptory amendment at 36 Ill. Reg. 4437, effective March 9, 2012; amended at 36 Ill.

Reg. 4707, effective March 19, 2012; amended at 36 Ill. Reg. 8460, effective May 24, 2012;

peremptory amendment at 36 Ill. Reg. 10518, effective June 27, 2012; emergency amendment at

36 Ill. Reg. 11222, effective July 1, 2012, for a maximum of 150 days; peremptory amendment

at 36 Ill. Reg. 13680, effective August 15, 2012; peremptory amendment at 36 Ill. Reg. 13973,

effective August 22, 2012; peremptory amendment at 36 Ill. Reg. 15498, effective October 16,


Ill. Reg. 17138, effective November 20, 2012; peremptory amendment at 37 Ill. Reg. 3408,

effective March 7, 2013; amended at 37 Ill. Reg. 4750, effective April 1, 2013; peremptory


9563, effective June 19, 2013; amended at 37 Ill. Reg. 9939, effective July 1, 2013; emergency



37 Ill. Reg. 12588, effective July 19, 2013; peremptory amendment at 37 Ill. Reg. 13762,


18



effective August 8, 2013; peremptory amendment at 37 Ill. Reg. 14219, effective August 23,

2013; amended at 37 Ill. Reg. 16925, effective October 8, 2013; peremptory amendment at 37 Ill.


December 6, 2013; peremptory amendment at 38 Ill. Reg. 2974, effective January 9, 2014;

amended at 38 Ill. Reg. 5250, effective February 4, 2014; peremptory amendment at 38 Ill. Reg.

6725, effective March 6, 2014; emergency amendment at 38 Ill. Reg. 9080, effective April 11,

2014, for a maximum of 150 days; peremptory amendment at 38 Ill. Reg. 9136, effective April

11, 2014; amended at 38 Ill. Reg. 9207, effective April 21, 2014; peremptory amendment at 38

Ill. Reg. 13416, effective June 11, 2014; amended at 38 Ill. Reg. 14818, effective July 1, 2014;


38 Ill. Reg. 17481, effective July 29, 2014; amended at 38 Ill. Reg. 17556, effective August 6,

2014; peremptory amendment at 38 Ill. Reg. 18791, effective August 26, 2014; peremptory


effective October 14, 2014; amended at 38 Ill. Reg. 24005, effective December 9, 2014;

peremptory amendment at 39 Ill. Reg. 728, effective December 23, 2014; emergency amendment

at 39 Ill. Reg. 708, effective December 26, 2014, for a maximum of 150 days; peremptory

amendment at 39 Ill. Reg. 6964, effective April 29, 2015; amended at 39 Ill. Reg. 7878, effective

May 22, 2015; amended at 39 Ill. Reg. 11220, effective July 28, 2015; peremptory amendment at

39 Ill. Reg. 12004, effective August 13, 2015; peremptory amendment at 39 Ill. Reg. 15807,

effective November 25, 2015; amended at 40 Ill. Reg. 5893, effective March 28, 2016;

peremptory amendment at 40 Ill. Reg. 8462, effective June 1, 2016; peremptory amendment at

40 Ill. Reg. 9658, effective June 30, 2016; amended at 40 Ill. Reg. 9356, effective July 1, 2016;


at 41 Ill. Reg. 1210, effective January 19, 2017; amended at 41 Ill. Reg. 1695, effective January

25, 2017; peremptory amendment at 41 Ill. Reg. 2078, effective February 2, 2017; amended at 41


peremptory amendment at 41 Ill. Reg. 5822, effective May 15, 2017; peremptory amendment at



Ill. Reg. 10974, effective August 10, 2017; peremptory amendment at 41 Ill. Reg. 11447,


2017; peremptory amendment at 41 Ill. Reg. 15837, effective December 12, 2017; amended at 42

Ill. Reg. 712, effective December 28, 2017; amended at 42 Ill. Reg. 5357, effective March 9,

2018.




18



The following definitions of terms are for purposes of clarification only. They affect the

Schedule of Rates (Subpart B), and Negotiated Rates of Pay (Appendix A). Section 310.500

contains definitions of terms applying specifically to the Merit Compensation System.

"Adjustment in Salary" – A change in salary rate occasioned by a previously

committed error or oversight, or required in the best interest of the State as


"Bargaining Representative" – The sole and exclusive labor organization (union,

chapter, lodge or association) recognized, as noted in an agreement with the State

of Illinois, to negotiate for one or more bargaining units and may include one or

more locals.

"Bargaining Unit" – The sole and exclusive labor organization that represents and

includes at least one position and its appointed employee as specified in a

Certification of Representative, Certification of Clarified Unit or corrected

certification issued by the Illinois Labor Relations Board as authorized by

Sections 6(c) and 9(d) of the Illinois Public Labor Relations Act [5 ILCS 315].

"Base Salary" – A dollar amount of pay specifically designated in the Negotiated

Rates of Pay (Appendix A) or Schedule of Rates (Subpart B). Base salary does

not include commission, incentive pay, bilingual pay, longevity pay, overtime

pay, shift differential pay or deductions for time not worked.















18



requirements.

"Comparable Classes" – Two or more classes that are in the same pay grade.

"Creditable Service" – All service in full or regularly scheduled part-time pay


last salary increase that was at least equivalent to a full step.

"Demotion" – The assignment for cause of an employee to a vacant position in a

class in a lower pay grade than the former class.

"Differential" – The additional compensation added to the base salary of an

employee resulting from conditions of employment imposed on the employee

during normal schedule of work.

"Divided Class" – The classification established by Section 8a(1) of the Personnel

Code [20 ILCS 415], represented by more than one bargaining unit as certified by

the Illinois Labor Relations Board. The divided classes effective May 17,

2017February 25, 2016 are:

Title Title Code

Apparel/Dry Goods Specialist III 01233

Bridge Mechanic 05310

Bridge Tender 05320

Civil Engineer I 07601

Civil Engineer II 07602

Civil Engineer III 07603

Clinical Laboratory Associate 08200

Clinical Laboratory Technician I 08215

Clinical Laboratory Technician II 08216

Educator 13100

Educator Aide 13130

Engineering Technician II 13732

Engineering Technician III 13733

Engineering Technician IV 13734

Heavy Construction Equipment Operator 18465

Highway Maintainer 18639

Highway Maintenance Lead Worker 18659

Housekeeper II 19602


18



Internal Security Investigator I 21731

Internal Security Investigator II 21732

Labor Maintenance Lead Worker 22809

Laboratory Assistant 22995

Laboratory Associate I 22997

Laboratory Associate II 22998

Laborer (Maintenance) 23080

Licensed Practical Nurse I 23551

Licensed Practical Nurse II 23552

Maintenance Equipment Operator 25020

Maintenance Worker 25500

Pest Control Operator 31810

Power Shovel Operator (Maintenance) 33360

Property and Supply Clerk II 34792

Property and Supply Clerk III 34793

Public Service Administrator 37015

Senior Public Service Administrator 40070

Silk Screen Operator 41020

Social Service Aide Trainee 41285

Storekeeper I 43051

Storekeeper II 43052

Storekeeper III 43053

Stores Clerk 43060

"Entrance Base Salary" – The initial base salary assigned to an employee upon


"Hourly Pay Grade" – The designation for hourly negotiated pay rates is "H".

"In Between Pay Grade" – The designation for negotiated pay rates in between

pay grades is ".5".







18



"Midpoint Salary" – The rate of pay that is the maximum rate and the minimum

rate in the salary range added together divided by two and rounded up or down to

the nearest whole dollar.

"Option" – The denotation of directly-related education, experience and/or










2C = Economist



3N = Networking








6H = Illinois Council on Developmental Disabilities Program Specialist






License/National Association of Business and Educational Radio


8F = Special License − Federal Aviation Administration Medical

Certificate/First Class



18





8J = Food Sanitation Certificate/Licensed Dietician






8Q = Special License − Religious Ordination by Recognized Commission



8T = Special License − Professional Educator License and Administrative

Endorsement









9G = Special License − Registered Professional Geologist License



range assigned:


2 = Fiscal Management/Accounting/Budget/ Internal




2C = Economist





18








8C = Special License – Certified Public Accountant/Certified Internal

Auditor/Certified Information Systems Auditor
















8T = Special License – Professional Educator License and Administrative

Endorsement










Substance Inspector


18















"Pay Grade" – The numeric designation used for an established set of steps or

salary range.

"Pay Plan Code" – The designation used in assigning a specific salary rate based

on a variety of factors associated with the position. Pay Plan Codes used in the

Pay Plan are:

B = Negotiated regular pension formula rate for the State of Illinois

E = Educator title AFSCME negotiated 12-month regular pension

formula rate for the State of Illinois

J = Negotiated regular pension formula rate for states other than

Illinois, California or New Jersey

L = Educator title AFSCME negotiated 12-month alternative

pension formula rate for the State of Illinois

M = Educator title AFSCME negotiated 9-month regular pension

formula rate at the Illinois School for the Visually Impaired

N = Educator title Illinois Federation of Teachers negotiated 9-

month regular pension formula rate for the Illinois School for

the Deaf

O = Educator title AFSCME negotiated 9-month regular pension

formula rate at the Illinois Center for Rehabilitation and

Education-Roosevelt

P = Educator title AFSCME negotiated 12-month maximum-

security institution rate for the State of Illinois


18



Q = Negotiated alternative pension formula rate for the State of

Illinois

S = Negotiated maximum-security institution rate for the State of

Illinois

U = Negotiated regular pension formula rate for the state of

California or New Jersey

V = Educator title AFSCME negotiated 9-month regular pension


W = Educator title AFSCME negotiated 9-month alternative pension


X = Educator title AFSCME negotiated 9-month maximum security

rate at the Department of Juvenile Justice

"Promotion" – The appointment of an employee, with the approval of the agency


class in a higher pay grade than the former class.

"Reallocation" – A position action in which gradual changes in a single position's



"Reclassification" − A position action that occurs subsequent to approval of a new



"Reevaluation" – The assignment of a different pay grade to a class based upon

change in relation to other classes or to the labor market.

"Salary Range" – The dollar value represented by Steps 1c through 8 of a pay

grade assigned to a class title.

"Satisfactory Performance Increase" – An upward revision in the base salary from

one designated step to the next higher step in the pay grade for that class as a

result of having served the required amount of time at the former rate with not

less than a satisfactory level of competence. (Satisfactory level of competence

shall mean work, the level of which, in the opinion of the agency head, is above

that typified by the marginal employee.)


18



"Transfer" – The assignment of an employee to a vacant position having the same

pay grade.

"Whole Class" – The classification established by Section 8a(1) of the Personnel

Code [20 ILCS 415], represented by no more than one bargaining unit as certified

by the Illinois Labor Relations Board and to which no more than one bargaining

unit pay grade is assigned.

"Work Year" – That period of time determined by the agency and filed with the


Code 303.300.

(Source: Amended at 42 Ill. Reg. 5357, effective March 9, 2018)


Section 310.410 Jurisdiction

The Merit Compensation System shall apply to classes of positions, or positions excluded from

bargaining unit representation, designated below and Broad-Band classes in Appendix G. In

addition, the classes are listed in the ALPHABETIC INDEX OF POSITION TITLES. Also see

Section 310.495 for the application of the Merit Compensation System for those Broad-Band

titles listed with their salary ranges in Appendix G.

Title Title Code Salary Range

Account Clerk I 00111 MS-03

Account Clerk II 00112 MS-04

Account Technician I 00115 MS-07

Account Technician II 00116 MS-09

Account Technician Trainee 00118 MS-04

Accountant 00130 MS-11

Accountant Advanced 00133 MS-14

Accountant Supervisor 00135 MS-19

Accounting and Fiscal Administration Career Trainee 00140 MS-09

Activity Program Aide I 00151 MS-04

Activity Program Aide II 00152 MS-05

Activity Therapist 00157 MS-12

Activity Therapist Coordinator 00160 MS-16


18



Activity Therapist Supervisor 00163 MS-23

Actuarial Assistant 00187 MS-14

Actuarial Examiner 00195 MS-14

Actuarial Examiner Trainee 00196 MS-10

Actuarial Senior Examiner 00197 MS-21

Actuary I 00201 MS-23

Actuary II 00202 MS-31

Actuary III 00203 MS-33

Administrative Assistant I 00501 MS-16

Administrative Assistant II 00502 MS-21

Administrative Services Worker Trainee 00600 MS-02

Agricultural Executive 00800 MS-23

Agricultural Land and Water Resources Supervisor 00811 MS-25

Agricultural Market News Assistant 00804 MS-09

Agricultural Marketing Reporter 00807 MS-19

Agricultural Marketing Representative 00810 MS-19

Agriculture Land and Water Resource Specialist I 00831 MS-11

Agriculture Land and Water Resource Specialist II 00832 MS-16

Agriculture Land and Water Resource Specialist III 00833 MS-23

Aircraft Dispatcher 00951 MS-09

Aircraft Lead Dispatcher 00952 MS-11

Aircraft Pilot I 00955 MS-21

Aircraft Pilot II 00956 MS-28

Aircraft Pilot II − Dual Rating 00957 MS-29

Animal and Animal Products Investigator 01072 MS-11

Animal and Animal Products Investigator Trainee 01075 MS-09

Apiary Inspector 01215 MS-03

Apparel/Dry Goods Specialist I 01231 MS-04

Apparel/Dry Goods Specialist II 01232 MS-05

Apparel/Dry Goods Specialist III 01233 MS-10

Appraisal Specialist I 01251 MS-11

Appraisal Specialist II 01252 MS-14

Appraisal Specialist III 01253 MS-19

Appraisal Specialist Trainee 01255 MS-09

Arbitrator 01401 MS-33

Architect 01440 MS-28

Arson Investigations Trainee 01485 MS-12

Arson Investigator I 01481 MS-15

Arson Investigator II 01482 MS-20


18



Arts Council Associate 01523 MS-09

Arts Council Program Coordinator 01526 MS-19

Arts Council Program Representative 01527 MS-12

Assignment Coordinator 01530 MS-23

Assistant Automotive Shop Supervisor 01565 MS-11

Assistant Reimbursement Officer 02424 MS-05

Audio Visual Technician I 03501 MS-04

Audio Visual Technician II 03502 MS-06

Auto and Body Repairer 03680 MS-13

Automotive Attendant I 03696 MS-03

Automotive Attendant II 03697 MS-03

Automotive Mechanic 03700 MS-13

Automotive Parts Warehouse Specialist 03734 MS-11

Automotive Parts Warehouser 03730 MS-11

Automotive Shop Supervisor 03749 MS-18

Bank Examiner I 04131 MS-14

Bank Examiner II 04132 MS-21

Bank Examiner III 04133 MS-28

Behavioral Analyst Associate 04355 MS-12

Behavioral Analyst I 04351 MS-16

Behavioral Analyst II 04352 MS-21

Blasting Expert 04720 MS-27

Blasting Specialist 04725 MS-25

Blasting Supervisor 04730 MS-29

Boat Safety Inspection Supervisor 04850 MS-22

Boiler Safety Audit Specialist 04900 MS-30

Boiler Safety Specialist 04910 MS-26

Breath Alcohol Analysis Technician 05170 MS-15

Bridge Mechanic 05310 MS-17

Bridge Tender 05320 MS-18

Building Construction Inspector I 05541 MS-18

Building Construction Inspector II 05542 MS-20

Building Services Worker 05616 MS-05

Building/Grounds Laborer 05598 MS-08

Building/Grounds Lead I 05601 MS-10

Building/Grounds Lead II 05602 MS-12

Building/Grounds Maintenance Worker 05613 MS-09

Building/Grounds Supervisor 05605 MS-12

Business Administrative Specialist 05810 MS-14


18



Business Manager 05815 MS-19

Buyer 05900 MS-19

Buyer Assistant 05905 MS-07

Cancer Registrar I 05951 MS-11

Cancer Registrar II 05952 MS-14

Cancer Registrar III 05953 MS-23

Cancer Registrar Assistant Manager 05954 MS-27

Cancer Registrar Manager 05955 MS-31

Canine Specialist 06500 MS-20

Capital Development Board Account Technician 06515 MS-08

Capital Development Board Art In Architecture Technician 06533 MS-09

Capital Development Board Construction Support Analyst 06520 MS-08

Capital Development Board Media Technician 06525 MS-11

Capital Development Board Project Technician 06530 MS-09

Cartographer III 06673 MS-28

Chaplain I 06901 MS-14

Chaplain II 06902 MS-21

Check Issuance Machine Operator 06920 MS-06

Check Issuance Machine Supervisor 06925 MS-08

Chemist I 06941 MS-14

Chemist II 06942 MS-21

Chemist III 06943 MS-25

Child Development Aide 07184 MS-07

Child Protection Advanced Specialist 07161 MS-21

Child Protection Associate Specialist 07162 MS-14

Child Protection Specialist 07163 MS-19

Child Support Specialist I 07198 MS-14

Child Support Specialist II 07199 MS-16

Child Support Specialist Trainee 07200 MS-09

Child Welfare Administrative Case Reviewer 07190 MS-28

Child Welfare Advanced Specialist 07215 MS-21

Child Welfare Associate Specialist 07216 MS-14

Child Welfare Court Facilitator 07196 MS-28

Child Welfare Nurse Specialist 07197 MS-22

Child Welfare Senior Specialist 07217 MS-28

Child Welfare Specialist 07218 MS-19

Child Welfare Staff Development Coordinator I 07201 MS-16

Child Welfare Staff Development Coordinator II 07202 MS-21

Child Welfare Staff Development Coordinator III 07203 MS-23


18



Child Welfare Staff Development Coordinator IV 07204 MS-28



Civil Engineer I 07601 MS-22

Civil Engineer II 07602 MS-26

Civil Engineer III 07603 MS-30

Civil Engineer IV 07604 MS-31

Civil Engineer Trainee 07607 MS-16

Clerical Trainee 08050 MS-01

Clinical Laboratory Associate 08200 MS-05

Clinical Laboratory Phlebotomist 08213 MS-04

Clinical Laboratory Technician I 08215 MS-07

Clinical Laboratory Technician II 08216 MS-09

Clinical Laboratory Technologist I 08220 MS-19

Clinical Laboratory Technologist II 08221 MS-21

Clinical Laboratory Technologist Trainee 08229 MS-11

Clinical Pharmacist 08235 MS-32

Clinical Psychologist 08250 MS-29

Clinical Psychology Associate 08255 MS-19

Clinical Services Supervisor 08260 MS-31

Commerce Commission Police Officer I 08451 MS-18

Commerce Commission Police Officer II 08452 MS-22

Commerce Commission Police Officer Trainee 08455 MS-10

Commerce Commission Police Sergeant 08457 MS-24

Commodities Inspector 08770 MS-08

Communications Dispatcher 08815 MS-06

Communications Equipment Technician I 08831 MS-16

Communications Equipment Technician II 08832 MS-21

Communications Equipment Technician III 08833 MS-23

Communications Systems Specialist 08860 MS-29

Community Management Specialist I 08891 MS-12

Community Management Specialist II 08892 MS-16

Community Management Specialist III 08893 MS-21

Community Planner I 08901 MS-12

Community Planner II 08902 MS-16

Community Planner III 08903 MS-21

Compliance Officer 08919 MS-11

Computer Evidence Recovery Specialist 08980 MS-32

Conservation Education Representative 09300 MS-09


18



Conservation Grant Administrator I 09311 MS-19

Conservation Grant Administrator II 09312 MS-23

Conservation Grant Administrator III 09313 MS-28

Conservation Police Lieutenant 09339 MS-23

Conservation Police Officer I 09341 MS-18

Conservation Police Officer II 09342 MS-19

Conservation Police Officer Trainee 09345 MS-06

Conservation Police Sergeant 09347 MS-22

Conservation/Historic Preservation Worker 09317 MS-01

Construction Program Assistant 09525 MS-09

Construction Supervisor I 09561 MS-10

Construction Supervisor II 09562 MS-14

Cook I 09601 MS-04

Cook II 09602 MS-07

Correctional Casework Supervisor 09655 MS-25

Correctional Counselor I 09661 MS-12

Correctional Counselor II 09662 MS-16

Correctional Counselor III 09663 MS-21

Correctional Lieutenant 09673 MS-24

Correctional Officer 09675 MS-11

Correctional Officer Trainee 09676 MS-08

Correctional Sergeant 09717 MS-16

Corrections Apprehension Specialist 09750 MS-21

Corrections Clerk I 09771 MS-11

Corrections Clerk II 09772 MS-13

Corrections Clerk III 09773 MS-18

Corrections Command Center Supervisor 09500 MS-32

Corrections Family Services Coordinator 09600 MS-32

Corrections Food Service Supervisor I 09793 MS-13

Corrections Food Service Supervisor II 09794 MS-18

Corrections Food Service Supervisor III 09795 MS-21

Corrections Grounds Supervisor 09796 MS-16

Corrections Identification Supervisor 09800 MS-24

Corrections Identification Technician 09801 MS-13

Corrections Industries Marketing Representative 09803 MS-16

Corrections Industry Lead Worker 09805 MS-16

Corrections Industry Supervisor 09807 MS-21

Corrections Intelligence Program Unit Manager 09798 MS-31

Corrections Laundry Manager I 09808 MS-18


18



Corrections Laundry Manager II 09809 MS-20

Corrections Law Library Assistant 09819 MS-11

Corrections Leisure Activities Specialist I 09811 MS-12

Corrections Leisure Activities Specialist II 09812 MS-16

Corrections Leisure Activities Specialist III 09813 MS-21

Corrections Leisure Activities Specialist IV 09814 MS-25

Corrections Locksmith 09818 MS-16

Corrections Maintenance Craftsman 09821 MS-16

Corrections Maintenance Supervisor 09822 MS-20

Corrections Maintenance Worker 09823 MS-12

Corrections Medical Technician 09824 MS-12

Corrections Nurse I 09825 MS-20

Corrections Nurse II 09826 MS-25

Corrections Nurse Trainee 09836 MS-16

Corrections Parole Agent 09842 MS-16

Corrections Placement Resources Regional Supervisor 09839 MS-31

Corrections Program Administrator 09849 MS-31

Corrections Psychologist Administrator 09855 MS-32

Corrections Regional Mental Health Services Administrator 09857 MS-32

Corrections Residence Counselor I 09837 MS-13

Corrections Residence Counselor II 09838 MS-20

Corrections Senior Parole Agent 09844 MS-21

Corrections Supply Supervisor I 09861 MS-13

Corrections Supply Supervisor II 09862 MS-18

Corrections Supply Supervisor III 09863 MS-21

Corrections Training Program Supervisor 09860 MS-32

Corrections Transportation Officer I 09871 MS-13

Corrections Transportation Officer II 09872 MS-20

Corrections Treatment Officer 09864 MS-20

Corrections Treatment Officer Supervisor 09865 MS-27

Corrections Treatment Officer Trainee 09866 MS-13

Corrections Treatment Senior Security Supervisor 09867 MS-31

Corrections Unit Superintendent 09868 MS-32

Corrections Utilities Operator 09875 MS-16

Corrections Vocational Instructor 09879 MS-16

Corrections Vocational School Supervisor 09880 MS-20

Court Reporter 09900 MS-12

Court Reporter Supervisor 09903 MS-26

Crime Scene Investigator 09980 MS-25


18



Criminal Intelligence Analyst I 10161 MS-19

Criminal Intelligence Analyst II 10162 MS-23

Criminal Intelligence Analyst Specialist 10165 MS-28

Criminal Intelligence Analyst Supervisor 10169 MS-32

Criminal Justice Specialist I 10231 MS-14

Criminal Justice Specialist II 10232 MS-23

Criminal Justice Specialist Trainee 10236 MS-10

Curator Of The Lincoln Collection 10750 MS-14

Data Processing Administrative Specialist 11415 MS-11

Data Processing Assistant 11420 MS-04

Data Processing Operator 11425 MS-03

Data Processing Operator Trainee 11428 MS-02

Data Processing Specialist 11430 MS-09

Data Processing Supervisor I 11435 MS-08

Data Processing Supervisor II 11436 MS-11

Data Processing Supervisor III 11437 MS-19

Data Processing Technician 11440 MS-06

Data Processing Technician Trainee 11443 MS-04

Day Care Licensing Representative I 11471 MS-14

Day Care Licensing Representative II 11472 MS-19

Deck Hand 11500 MS-15

Dental Assistant 11650 MS-07

Dental Hygienist 11700 MS-11

Dentist I 11751 MS-29

Dentist II 11752 MS-33

Developmental Disabilities Council Program Planner I 12361 MS-09

Developmental Disabilities Council Program Planner II 12362 MS-14

Developmental Disabilities Council Program Planner III 12363 MS-19

Developmental Psychological Services Administrator 12380 MS-32

Dietary Manager I 12501 MS-14

Dietary Manager II 12502 MS-19

Dietitian 12510 MS-12

Disability Appeals Officer 12530 MS-28

Disability Claims Adjudicator I 12537 MS-14

Disability Claims Adjudicator II 12538 MS-19

Disability Claims Adjudicator Trainee 12539 MS-10

Disability Claims Analyst 12540 MS-25

Disability Claims Specialist 12558 MS-21

Disaster Services Planner 12585 MS-21


18



Document Examiner 12640 MS-28

Drafting Worker 12749 MS-08

Drug Compliance Investigator 12778 MS-31

Economic Development Representative I 12931 MS-16

Economic Development Representative II 12932 MS-21

Economic Development Representative Trainee 12939 MS-10

Economist Associate 12940 MS-12

Educational Diagnostician 12965 MS-09

Educational Media Program Specialist 12980 MS-16

Educator 13100 MS-26

Educator – Career and Technical 13103 MS-16

Educator – Career and Technical Provisional 13104 MS-15

Educator Aide 13130 MS-08

Educator Intern 13135 MS-10

Educator Trainee 13148 MS-09

Electrical Engineer 13180 MS-28

Electroencephalograph Technician 13300 MS-05

Electronic Equipment Installer/Repairer 13340 MS-07

Electronic Equipment Installer/Repairer Lead Worker 13345 MS-09

Electronics Technician 13360 MS-12

Elevator Inspector 13495 MS-21

Elevator Operator 13500 MS-05

Emergency Response Lead Telecommunicator 13540 MS-10

Emergency Response Telecommunicator 13543 MS-08

Employment Security Field Office Supervisor 13600 MS-23

Employment Security Manpower Representative I 13621 MS-09

Employment Security Manpower Representative II 13622 MS-11

Employment Security Program Representative 13650 MS-11

Employment Security Program Representative −

Intermittent

13651 MS-11

Employment Security Service Representative 13667 MS-14

Employment Security Specialist I 13671 MS-11

Employment Security Specialist II 13672 MS-14

Employment Security Specialist III 13673 MS-21

Employment Security Tax Auditor I 13681 MS-16

Employment Security Tax Auditor II 13682 MS-21

End-User Computer Services Specialist I 13691 MS-24

End-User Computer Services Specialist II 13692 MS-28

End-User Computer Systems Analyst 13693 MS-30


18



Energy and Natural Resources Specialist I 13711 MS-12

Energy and Natural Resources Specialist II 13712 MS-16

Energy and Natural Resources Specialist III 13713 MS-21

Energy and Natural Resources Specialist Trainee 13715 MS-09

Engineering Technician I 13731 MS-10

Engineering Technician II 13732 MS-13

Engineering Technician III 13733 MS-20

Engineering Technician IV 13734 MS-30

Environmental Engineer I 13751 MS-12

Environmental Engineer II 13752 MS-16

Environmental Engineer III 13753 MS-21

Environmental Engineer IV 13754 MS-28

Environmental Equipment Operator I 13761 MS-09

Environmental Equipment Operator II 13762 MS-11

Environmental Health Specialist I 13768 MS-11

Environmental Health Specialist II 13769 MS-14

Environmental Health Specialist III 13770 MS-19

Environmental Protection Associate 13785 MS-09

Environmental Protection Engineer I 13791 MS-12

Environmental Protection Engineer II 13792 MS-16

Environmental Protection Engineer III 13793 MS-21

Environmental Protection Engineer IV 13794 MS-28

Environmental Protection Geologist I 13801 MS-12

Environmental Protection Geologist II 13802 MS-16

Environmental Protection Geologist III 13803 MS-21

Environmental Protection Legal Investigator I 13811 MS-10

Environmental Protection Legal Investigator II 13812 MS-11

Environmental Protection Legal Investigator Specialist 13815 MS-13

Environmental Protection Specialist I 13821 MS-11

Environmental Protection Specialist II 13822 MS-14

Environmental Protection Specialist III 13823 MS-19

Environmental Protection Specialist IV 13824 MS-28

Environmental Protection Technician I 13831 MS-05

Environmental Protection Technician II 13832 MS-07

Epidemiology Research and Investigation Scientist 13833 MS-29

Equal Pay Specialist 13837 MS-16

Equine Investigator 13840 MS-09

Executive I 13851 MS-19

Executive II 13852 MS-23


18



Executive Secretary I 14031 MS-08

Executive Secretary II 14032 MS-11

Executive Secretary III 14033 MS-14

Explosives Inspector I 14051 MS-11

Explosives Inspector II 14052 MS-18

Facility Assistant Fire Chief 14430 MS-10

Facility Fire Chief 14433 MS-13

Facility Fire Safety Coordinator 14435 MS-09

Facility Firefighter 14439 MS-07

Ferry Operator I 14801 MS-18

Ferry Operator II 14802 MS-19

Financial Institutions Examiner I 14971 MS-14

Financial Institutions Examiner II 14972 MS-21

Financial Institutions Examiner III 14973 MS-28

Financial Institutions Examiner Trainee 14978 MS-10

Fingerprint Technician 15204 MS-10

Fingerprint Technician Supervisor 15208 MS-18

Fingerprint Technician Trainee 15209 MS-05

Firearms Eligibility Administrator 15280 MS-32

Firearms Eligibility Analyst I 15371 MS-10

Firearms Eligibility Analyst II 15372 MS-14

Firearms Eligibility Analyst Trainee 15375 MS-08

Fire Certification Specialist I 15281 MS-16

Fire Certification Specialist II 15282 MS-18

Fire Certification Specialist Supervisor 15283 MS-22

Fire Prevention Inspector I 15316 MS-13

Fire Prevention Inspector II 15317 MS-20

Fire Prevention Inspector Trainee 15320 MS-10

Fire Protection Engineer 15340 MS‐28

Fire Protection Specialist I 15351 MS-14

Flight Safety Coordinator 15640 MS-28

Florist II 15652 MS-08

Food Services Program Manager 15800 MS-31

Foreign Service Economic Development Executive I 15871 MS-32

Foreign Service Economic Development Executive II 15872 MS-34

Foreign Service Economic Development Representative 15875 MS-30

Forensic Science Administrator I 15911 MS-31

Forensic Science Administrator II 15912 MS-32

Forensic Science Administrator III 15913 MS-33


18



Forensic Scientist I 15891 MS-19

Forensic Scientist II 15892 MS-23

Forensic Scientist III 15893 MS-28

Forensic Scientist Trainee 15897 MS-12

Gaming Licensing Analyst 17171 MS-10

Gaming Operations Supervisor 17181 MS-33

Gaming Senior Special Agent 17191 MS-29

Gaming Shift Supervisor 17187 MS-31

Gaming Special Agent 17192 MS-21

Gaming Special Agent Trainee 17195 MS-11

Gaming Unit Supervisor 17201 MS-33

Geographic Information Specialist I 17271 MS-21

Geographic Information Specialist II 17272 MS-29

Geographic Information Trainee 17276 MS-12

Governmental Career Trainee 17325 MS-09

Graduate Pharmacist 17345 MS-23

Graphic Arts Designer 17366 MS-11

Graphic Arts Designer Advanced 17370 MS-14

Graphic Arts Designer Supervisor 17365 MS-19

Graphic Arts Technician 17400 MS-09

Grounds Supervisor 17549 MS-18

Guard I 17681 MS-04

Guard II 17682 MS-06

Guard III 17683 MS-09

Guard Supervisor 17685 MS-11

Guardianship Representative 17710 MS-16

Guardianship Supervisor 17720 MS-24

Habilitation Program Coordinator 17960 MS-16

Handicapped Services Representative I 17981 MS-08

Health Facilities Surveillance Nurse 18150 MS-22

Health Facilities Surveyor I 18011 MS-14

Health Facilities Surveyor II 18012 MS-21

Health Facilities Surveyor III 18013 MS-23

Health Information Associate 18045 MS-07

Health Information Technician 18047 MS-09

Health Services Investigator I 18179 MS-21

Health Services Investigator II, Option A − General 18185 MS-28

Health Services Investigator II, Option C − Pharmacy 18187 MS-32

Hearing and Speech Advanced Specialist 18227 MS-28


18



Hearing and Speech Associate 18231 MS-19

Hearing and Speech Specialist 18233 MS-23

Hearing and Speech Technician II 18262 MS-06

Hearings Referee 18300 MS-29

Hearings Referee − Intermittent 18301 MS-29

Heavy Construction Equipment Operator 18465 MS-18

Highway Construction Supervisor I 18525 MS-25

Highway Construction Supervisor II 18526 MS-30

Highway Maintainer 18639 MS-18

Highway Maintenance Lead Worker 18659 MS-18

Historical Documents Conservator I 18981 MS-10

Historical Exhibits Designer 18985 MS-12

Historical Library Chief Of Acquisitions 18987 MS-21

Historical Research Editor II 19002 MS-11

Historical Research Specialist 19008 MS-23

Housekeeper II 19602 MS-03

Human Relations Representative 19670 MS-14

Human Resources Assistant 19690 MS-05

Human Resources Associate 19691 MS-08

Human Resources Trainee 19694 MS-04

Human Rights Investigator I 19774 MS-14

Human Rights Investigator II 19775 MS-19

Human Rights Investigator III 19776 MS-21

Human Rights Investigator Trainee 19768 MS-09

Human Rights Mediation Supervisor 19769 MS-23

Human Rights Mediator 19771 MS-16

Human Rights Specialist I 19778 MS-11

Human Rights Specialist II 19779 MS-14

Human Rights Specialist III 19780 MS-19

Human Services Casework Manager 19788 MS-23

Human Services Caseworker 19785 MS-14

Human Services Grants Coordinator I 19791 MS-11

Human Services Grants Coordinator II 19792 MS-16

Human Services Grants Coordinator III 19793 MS-23

Human Services Grants Coordinator Trainee 19796 MS-09

Human Services Sign Language Interpreter 19810 MS-14

Iconographer 19880 MS-09

Industrial and Community Development Representative I 21051 MS-16

Industrial and Community Development Representative II 21052 MS-21


18



Industrial Commission Reporter 21080 MS-14

Industrial Commission Technician 21095 MS-08

Industrial Services Consultant I 21121 MS-11

Industrial Services Consultant II 21122 MS-14

Industrial Services Consultant Trainee 21125 MS-08

Industrial Services Hygienist 21127 MS-21

Industrial Services Hygienist Technician 21130 MS-14

Industrial Services Hygienist Trainee 21133 MS-09

Information Services Intern 21160 MS-12

Information Services Specialist I 21161 MS-16

Information Services Specialist II 21162 MS-21

Information Systems Analyst I 21165 MS-25

Information Systems Analyst II 21166 MS-29

Information Systems Analyst III 21167 MS-32


Specialist I

21216 MS-21


Specialist II

21217 MS-31

Inhalation Therapist 21259 MS-05

Inhalation Therapy Supervisor 21260 MS-08

Institutional Maintenance Worker 21465 MS-05

Instrument Designer 21500 MS-19

Insurance Analyst I 21561 MS-06

Insurance Analyst II 21562 MS-09

Insurance Analyst III 21563 MS-11

Insurance Analyst IV 21564 MS-14

Insurance Analyst Trainee 21566 MS-04

Insurance Company Claims Examiner I 21601 MS-16

Insurance Company Claims Examiner II 21602 MS-21

Insurance Company Field Staff Examiner 21608 MS-14

Insurance Company Financial Examiner Trainee 21610 MS-10

Insurance Performance Examiner I 21671 MS-11

Insurance Performance Examiner II 21672 MS-16

Insurance Performance Examiner III 21673 MS-23

Insurance Performance Examiner Trainee 21680 MS-09

Intermittent Clerk 21686 MS-02

Intermittent Laborer (Maintenance) 21687 MS-08

Intermittent Unemployment Insurance Representative 21689 MS-09

Intermittent Unemployment Insurance Technician 21690 MS-04


18



Internal Auditor I 21721 MS-16

Internal Auditor Trainee 21726 MS-09

Internal Investigations Principal Evaluation Supervisor 21735 MS-31

Internal Investigations Supervisor 21740 MS-31

Internal Security Investigator I 21731 MS-22MS-19

Internal Security Investigator II 21732 MS-28MS-25

International Marketing Representative I 21761 MS-11

Janitor I 21951 MS-13

Janitor II 21952 MS-14

Juvenile Justice Chief of Security 21965 MS-31

Juvenile Justice Psychologist Administrator 21967 MS-32

Juvenile Justice School Counselor 21970 MS-26

Juvenile Justice Specialist 21971 MS-20

Juvenile Justice Specialist Intern 21976 MS-13

Juvenile Justice Supervisor 21980 MS-27

Juvenile Justice Unit Superintendent 21985 MS-32

Juvenile Justice Vocational Instructor 21787 MS-16



Juvenile Justice Youth and Family Specialist Supervisor 21995 MS-28

Kidcare Supervisor 22003 MS-23

Labor Conciliator 22750 MS-23

Labor Maintenance Lead Worker 22809 MS-16

Laboratory Assistant 22995 MS-03

Laboratory Associate I 22997 MS-07

Laboratory Associate II 22998 MS-09

Laboratory Equipment Specialist 22990 MS-19

Laboratory Quality Specialist I 23021 MS-21

Laboratory Quality Specialist II 23022 MS-25

Laboratory Research Scientist 23025 MS-29

Laboratory Research Specialist I 23027 MS-21

Laboratory Research Specialist II 23028 MS-25

Laborer (Maintenance) 23080 MS-15

Land Acquisition Agent I 23091 MS-12

Land Acquisition Agent II 23092 MS-19

Land Acquisition Agent III 23093 MS-25

Land Reclamation Specialist I 23131 MS-11

Land Reclamation Specialist II 23132 MS-16

Land Reclamation Specialist Trainee 23137 MS-09


18



Landscape Architect 23145 MS-28

Landscape Planner 23150 MS-21

Laundry Manager I 23191 MS-10

Law Enforcement Training Administrator 23260 MS-32

Legal Research Assistant 23350 MS-10

Liability Claims Adjuster I 23371 MS-11

Liability Claims Adjuster II 23372 MS-19

Liability Claims Adjuster Trainee 23375 MS-09

Librarian I 23401 MS-14

Librarian II 23402 MS-19

Library Aide I 23421 MS-03

Library Aide II 23422 MS-04

Library Aide III 23423 MS-05

Library Associate 23430 MS-09

Library Technical Assistant 23450 MS-07

Licensed Practical Nurse I 23551 MS-09

Licensed Practical Nurse II 23552 MS-10

Licensing Assistant 23568 MS-05

Licensing Investigations Supervisor 23577 MS-32

Licensing Investigator I 23571 MS-10

Licensing Investigator II 23572 MS-13

Licensing Investigator III 23573 MS-15

Licensing Investigator IV 23574 MS-20

Life Sciences Career Trainee 23600 MS-09

Liquor Control Special Agent I 23751 MS-13

Liquor Control Special Agent II 23752 MS-14

Local Historical Services Representative 24000 MS-16

Local Housing Advisor I 24031 MS-11

Local Housing Advisor II 24032 MS-14

Local Housing Advisor III 24033 MS-19

Local Revenue and Fiscal Advisor I 24101 MS-12

Local Revenue and Fiscal Advisor II 24102 MS-16

Local Revenue and Fiscal Advisor III 24103 MS-21

Lock and Dam Tender 24290 MS-07

Locksmith 24300 MS-16

Lottery Commodities Distributor II 24402 MS-09

Lottery Regional Coordinator 24504 MS-21

Lottery Sales Representative 24515 MS-14

Lottery Telemarketing Representative 24520 MS-06


18



Maintenance Equipment Operator 25020 MS-18

Maintenance Worker 25500 MS-16

Management Operations Analyst I 25541 MS-19

Management Operations Analyst II 25542 MS-23

Management Operations Analyst Trainee 25545 MS-12

Management Systems Specialist 25583 MS-25

Manpower Planner I 25591 MS-11

Manpower Planner II 25592 MS-16

Manpower Planner III 25593 MS-23

Manpower Planner Trainee 25597 MS-09

Manuscripts Manager 25610 MS-21

Meat and Poultry Inspector 26070 MS-10

Meat and Poultry Inspector Supervisor 26073 MS-13

Meat and Poultry Inspector Trainee 26075 MS-07

Mechanical Engineer I 26201 MS-12

Mechanical Engineer II 26202 MS-16

Mechanical Engineer III 26203 MS-21

Medicaid Management Analyst 26301 MS-20

Medicaid Management Intern 26305 MS-13

Medical Administrator I Option C 26400 MS-60

Medical Administrator I Option D 26401 MS-62

Medical Administrator II Option C 26402 MS-61

Medical Administrator II Option D 26403 MS-64

Medical Administrator III 26404 MS-65

Medical Administrator IV 26405 MS-66

Medical Administrator V 26406 MS-67

Medical Assistance Consultant I 26501 MS-10

Medical Assistance Consultant II 26502 MS-14

Medical Assistance Consultant III 26503 MS-21

Mental Health Administrator I 26811 MS-19

Mental Health Administrator II 26812 MS-23

Mental Health Administrator Trainee 26817 MS-14

Mental Health Program Administrator 26908 MS-63

Mental Health Recovery Support Specialist I 26921 MS-16

Mental Health Recovery Support Specialist II 26922 MS-19

Mental Health Specialist I 26924 MS-09

Mental Health Specialist II 26925 MS-11

Mental Health Specialist III 26926 MS-14

Mental Health Specialist Trainee 26928 MS-08


18



Mental Health Technician I 27011 MS-04

Mental Health Technician II 27012 MS-05

Mental Health Technician III 27013 MS-06

Mental Health Technician IV 27014 MS-07

Mental Health Technician V 27015 MS-08

Mental Health Technician VI 27016 MS-09

Mental Health Technician Trainee 27020 MS-03

Meteorologist 27120 MS-19

Methods and Procedures Advisor I 27131 MS-11

Methods and Procedures Advisor II 27132 MS-14

Methods and Procedures Advisor III 27133 MS-23

Methods and Procedures Career Associate I 27135 MS-08

Methods and Procedures Career Associate II 27136 MS-09

Methods and Procedures Career Associate Trainee 27137 MS-06

Metrologist Associate 27146 MS-12

Microbiologist I 27151 MS-14

Microbiologist II 27152 MS-21

Microfilm Laboratory Technician I 27175 MS-04

Microfilm Laboratory Technician II 27176 MS-06

Microfilm Operator I 27181 MS-03

Microfilm Operator II 27182 MS-04

Microfilm Operator III 27183 MS-05

Mine Rescue Station Assistant 28150 MS-07

Motorist Assistance Specialist 28490 MS-05

Museum Theater Systems Technician 28700 MS-11

Narcotics and Currency Unit Supervisor 28750 MS-32

Natural Resources Advanced Specialist 28833 MS-23

Natural Resources Coordinator 28831 MS-12

Natural Resources Coordinator Trainee 28830 MS-09

Natural Resources Education Program Coordinator 28834 MS-23

Natural Resources Grant Coordinator 28835 MS-20

Natural Resources Manager I 28836 MS-23

Natural Resources Manager II 28837 MS-26

Natural Resources Manager III 28838 MS-30

Natural Resources Site Manager I 28841 MS-23

Natural Resources Site Manager II 28842 MS-26

Natural Resources Specialist 28832 MS-19

Natural Resources Technician I 28851 MS-07

Natural Resources Technician II 28852 MS-10


18



Nursing Act Assistant Coordinator 29731 MS-25

Nutritionist 29820 MS-19

Occupational Therapist 29900 MS-16

Occupational Therapist Program Coordinator 29908 MS-21

Occupational Therapist Supervisor 29910 MS-25

Office Administrative Specialist 29990 MS-09

Office Administrator I 29991 MS-04

Office Administrator II 29992 MS-06

Office Administrator III 29993 MS-08

Office Administrator IV 29994 MS-11

Office Administrator V 29995 MS-12

Office Aide 30005 MS-02

Office Assistant 30010 MS-04

Office Associate 30015 MS-05

Office Clerk 30020 MS-03

Office Coordinator 30025 MS-06

Office Occupations Trainee 30075 MS-01

Office Specialist 30080 MS-08

Oral Health Consultant 30317 MS-19

Paralegal Assistant 30860 MS-11

Pension and Death Benefits Technician I 30961 MS-09

Pension and Death Benefits Technician II 30962 MS-21

Pest Control Operator 31810 MS-07

Pharmacy Lead Technician 32009 MS-06

Pharmacy Manager 32025 MS-33

Pharmacy Services Coordinator 32010 MS-32

Pharmacy Technician 32011 MS-04

Photographer 32080 MS-11

Photographic Technician I 32091 MS-08

Photographic Technician II 32092 MS-11

Photographic Technician III 32093 MS-12

Physical Therapist 32145 MS-16

Physical Therapist Program Coordinator 32153 MS-21

Physical Therapy Aide II 32192 MS-05

Physical Therapy Aide III 32193 MS-08

Physician 32200 MS-36

Physician Assistant 32210 MS-27

Physician Specialist − Option A 32221 MS-37

Physician Specialist − Option B 32222 MS-38


18



Physician Specialist − Option C 32223 MS-61

Physician Specialist − Option D 32224 MS-63

Physician Specialist − Option E 32225 MS-65

Plant and Pesticide Specialist I 32501 MS-15

Plant and Pesticide Specialist II 32502 MS-20

Plant and Pesticide Specialist Supervisor 32506 MS-20

Plumbing Consultant 32910 MS-28

Plumbing Inspector 32915 MS-22

Podiatrist 32960 MS-11

Police Lieutenant 32977 MS-31

Police Officer I 32981 MS-15

Police Officer II 32982 MS-20

Police Officer III 32983 MS-24

Police Training Specialist 32990 MS-16

Polygraph Examiner I 33001 MS-20

Polygraph Examiner II 33002 MS-24

Polygraph Examiner III 33003 MS-28

Polygraph Examiner Trainee 33005 MS-12

Power Shovel Operator 33360 MS-18

Private Secretary I 34201 MS-14

Private Secretary II 34202 MS-18

Procurement Representative 34540 MS-06

Products and Standards Inspector 34603 MS-11

Products and Standards Inspector Trainee 34605 MS-09

Program Integrity Auditor I 34631 MS-14

Program Integrity Auditor II 34632 MS-21

Program Integrity Auditor Trainee 34635 MS-09

Project Designer 34725 MS-21

Property and Supply Clerk I 34791 MS-03

Property and Supply Clerk II 34792 MS-04

Property and Supply Clerk III 34793 MS-05

Property Consultant 34900 MS-12

Psychologist Associate 35626 MS-12

Psychologist I 35611 MS-16

Psychologist II 35612 MS-23

Psychologist III 35613 MS-28

Psychology Intern 35660 MS-15

Public Administration Intern 35700 MS-11

Public Aid Eligibility Assistant 35825 MS-05


18



Public Aid Investigator 35870 MS-21

Public Aid Investigator Trainee 35874 MS-11

Public Aid Lead Casework Specialist 35880 MS-16

Public Aid Program Quality Analyst 35890 MS-21

Public Aid Quality Control Reviewer 35892 MS-16

Public Aid Quality Control Supervisor 35900 MS-21

Public Aid Staff Development Specialist I 36071 MS-12

Public Aid Staff Development Specialist II 36072 MS-16

Public Aid Staff Development Specialist III 36073 MS-22

Public Health Educator 36430 MS-21

Public Health Educator Associate 36434 MS-11

Public Health Program Specialist I 36611 MS-11

Public Health Program Specialist II 36612 MS-14

Public Health Program Specialist III 36613 MS-21

Public Health Program Specialist Trainee 36615 MS-09

Public Information Coordinator 36750 MS-19

Public Information Officer I 37001 MS-09

Public Information Officer II 37002 MS-11

Public Information Officer III 37003 MS-21

Public Information Officer IV 37004 MS-25

Public Safety Drug Screening Specialist 37006 MS-16

Public Safety Inspector 37007 MS-14

Public Safety Inspector Trainee 37010 MS-07

Public Service Executive 37017 MS-31

Public Service Supervisor 37016 MS-28

Race Track Maintainer I 37551 MS-10

Race Track Maintainer II 37552 MS-12

Radiologic Technologist 37500 MS-08

Radiologic Technologist Chief 37505 MS-17

Radiologic Technologist Program Coordinator 37507 MS-09

Railroad Safety Specialist I 37601 MS-21

Railroad Safety Specialist II 37602 MS-25

Railroad Safety Specialist III 37603 MS-29

Railroad Safety Specialist IV 37604 MS-32

Ranger 37725 MS-10

Real Estate Investigator 37730 MS-21

Real Estate Professions Examiner 37760 MS-28

Recreation Worker I 38001 MS-09

Recreation Worker II 38002 MS-11


18



Refrigeration and Air Conditioning Repairer 38119 MS-12

Registered Nurse − Advanced Practice 38135 MS-26

Registered Nurse I 38131 MS-18

Registered Nurse II 38132 MS-22

Rehabilitation Case Coordinator I 38141 MS-05

Rehabilitation Case Coordinator II 38142 MS-07

Rehabilitation Counselor 38145 MS-16

Rehabilitation Counselor Aide I 38155 MS-06

Rehabilitation Counselor Aide II 38156 MS-08

Rehabilitation Counselor Senior 38158 MS-21

Rehabilitation Counselor Trainee 38159 MS-12

Rehabilitation Services Advisor I 38176 MS-23

Rehabilitation Workshop Instructor I 38192 MS-05

Rehabilitation Workshop Instructor II 38193 MS-09

Rehabilitation Workshop Supervisor I 38194 MS-09

Rehabilitation Workshop Supervisor II 38195 MS-11

Rehabilitation Workshop Supervisor III 38196 MS-14

Rehabilitation/Mobility Instructor 38163 MS-21

Rehabilitation/Mobility Instructor Trainee 38167 MS-12

Reimbursement Officer I 38199 MS-11

Reimbursement Officer II 38200 MS-14

Reproduction Service Supervisor I 38201 MS-10

Reproduction Service Supervisor II 38202 MS-18

Reproduction Service Technician I 38203 MS-03

Reproduction Service Technician II 38204 MS-06

Reproduction Service Technician III 38205 MS-08

Research Economist 38209 MS-18

Research Fellow, Option B 38211 MS-19

Research Scientist I 38231 MS-10

Research Scientist II 38232 MS-14

Research Scientist III 38233 MS-23

Resident Physician 38270 MS-15

Residential Care Program Supervisor I 38271 MS-22

Residential Care Worker 38277 MS-09

Residential Care Worker Trainee 38279 MS-05

Resource Planner I 38281 MS-16

Resource Planner II 38282 MS-21

Resource Planner III 38283 MS-28

Retirement Benefits Representative 38313 MS-09


18



Retirement Benefits Representative Supervisor 38314 MS-11

Retirement Benefits Representative Trainee 38316 MS-07

Retirement System Disability Specialist 38310 MS-21

Revenue Audit Supervisor 38369 MS-32

Revenue Auditor I 38371 MS-14

Revenue Auditor II 38372 MS-21

Revenue Auditor III 38373 MS-28

Revenue Auditor Trainee 38375 MS-09

Revenue Collection Officer I 38401 MS-12

Revenue Collection Officer II 38402 MS-16

Revenue Collection Officer III 38403 MS-21

Revenue Collection Officer Trainee 38405 MS-09

Revenue Computer Audit Specialist 38425 MS-29

Revenue Senior Special Agent 38557 MS-29

Revenue Special Agent 38558 MS-21

Revenue Special Agent Trainee 38565 MS-11

Revenue Tax Specialist I 38571 MS-09

Revenue Tax Specialist II 38572 MS-11

Revenue Tax Specialist III 38573 MS-16

Revenue Tax Specialist Trainee 38575 MS-07

Safety Responsibility Analyst 38910 MS-09

Safety Responsibility Analyst Supervisor 38915 MS-11

School Psychologist 39200 MS-21

Security Guard I 39851 MS-13

Security Guard II 39852 MS-14

Security Officer 39870 MS-10

Security Officer Chief 39875 MS-13

Security Officer Lieutenant 39876 MS-11

Security Officer Sergeant 39877 MS-10

Security Therapy Aide I 39901 MS-10

Security Therapy Aide II 39902 MS-11

Security Therapy Aide III 39903 MS-13

Security Therapy Aide IV 39904 MS-16

Security Therapy Aide Trainee 39905 MS-06

Seed Analyst I 39951 MS-09

Seed Analyst II 39952 MS-10

Seed Analyst Trainee 39953 MS-07

Senior Ranger 40090 MS-11

Sex Offender Registration Unit Supervisor 40700 MS-33


18



Sex Offender Therapist I 40531 MS-16

Sex Offender Therapist II 40532 MS-21

Shift Supervisor 40800 MS-31

Sign Hanger 40900 MS-16

Sign Hanger Foreman 40910 MS-18

Sign Shop Foreman 41000 MS-12

Silk Screen Operator 41020 MS-17

Site Assistant Superintendent I 41071 MS-12

Site Assistant Superintendent II 41072 MS-16

Site Interpreter 41090 MS-07

Site Interpretive Coordinator 41093 MS-10

Site Security Officer 41115 MS-06

Site Services Specialist I 41117 MS-12

Site Services Specialist II 41118 MS-16

Site Superintendent I 41211 MS-20

Site Superintendent II 41212 MS-25

Site Superintendent III 41213 MS-29

Site Technician I 41131 MS-07

Site Technician II 41132 MS-09

Small Engine Mechanic 41150 MS-10

Social Service Aide I 41281 MS-05

Social Service Aide II 41282 MS-08

Social Service Aide Trainee 41285 MS-03

Social Service Community Planner 41295 MS-08

Social Service Consultant I 41301 MS-19

Social Service Consultant II 41302 MS-21

Social Service Program Planner I 41311 MS-12

Social Service Program Planner II 41312 MS-16

Social Service Program Planner III 41313 MS-23

Social Service Program Planner IV 41314 MS-28

Social Services Career Trainee 41320 MS-09

Social Worker I 41411 MS-16

Social Worker II 41412 MS-21

Social Worker III 41413 MS-23

Social Worker IV 41414 MS-28

Social Worker Intern 41430 MS-15

Special Education Resources Coordinator 41680 MS-26

Staff Development Specialist I 41771 MS-19

Staff Development Technician I 41781 MS-09


18



Staff Development Technician II 41782 MS-12

Staff Pharmacist 41787 MS-31

State Mine Inspector 42230 MS-21

State Mine Inspector-At-Large 42240 MS-31

State Police Crime Information Evaluator 41801 MS-08

State Police Evidence Technician I 41901 MS-09

State Police Evidence Technician II 41902 MS-10

State Police Field Specialist I 42001 MS-19

State Police Field Specialist II 42002 MS-23

State Police Inspector 42100 MS-33

Statistical Research Specialist I 42741 MS-09

Statistical Research Specialist II 42742 MS-11

Statistical Research Specialist III 42743 MS-16

Statistical Research Supervisor 42745 MS-23

Statistical Research Technician 42748 MS-08

Storage Tank Safety Specialist 43005 MS-19

Storekeeper I 43051 MS-11

Storekeeper II 43052 MS-12

Storekeeper III 43053 MS-13

Stores Clerk 43060 MS-03

Student Intern 43190 MS-01

Student Worker 43200 MS-01

Supervising Vehicle Testing Compliance Officer 43680 MS-22

Support Service Coordinator I 44221 MS-07

Support Service Coordinator II 44222 MS-09

Support Service Lead 44225 MS-04

Support Service Worker 44238 MS-03

Switchboard Chief Operator 44410 MS-11

Switchboard Operator I 44411 MS-03

Switchboard Operator II 44412 MS-04

Switchboard Operator III 44413 MS-06

Technical Advisor Advanced Program Specialist 45256 MS-31

Technical Advisor I 45251 MS-19

Technical Advisor II 45252 MS-23

Technical Advisor III 45253 MS-29

Technical Manager I 45261 MS-18

Telecommunications Specialist 45295 MS-12

Telecommunications Supervisor 45305 MS-23

Telecommunications Systems Analyst 45308 MS-16


18



Telecommunications Systems Technician I 45312 MS-07

Telecommunications Systems Technician II 45313 MS-10

Telecommunications Systems Technician Trainee 45314 MS-05

Telecommunicator 45321 MS-09

Telecommunicator − Command Center 45316 MS-10

Telecommunicator Call Taker 45322 MS-11

Telecommunicator Lead Call Taker 45323 MS-14

Telecommunicator Lead Specialist 45327 MS-16

Telecommunicator Lead Worker 45324 MS-11

Telecommunicator Lead Worker − Command Center 45318 MS-12

Telecommunicator Specialist 45326 MS-12

Telecommunicator Trainee 45325 MS-07

Terrorism Research Specialist I 45371 MS-19

Terrorism Research Specialist II 45372 MS-23

Terrorism Research Specialist III 45373 MS-28

Terrorism Research Specialist Trainee 45375 MS-11

Transportation Officer 45830 MS-11

Truck Weighing Inspector 46100 MS-10

Unemployment Insurance Adjudicator I 47001 MS-08

Unemployment Insurance Adjudicator II 47002 MS-10

Unemployment Insurance Adjudicator III 47003 MS-12

Unemployment Insurance Revenue Analyst I 47081 MS-12

Unemployment Insurance Revenue Analyst II 47082 MS-16

Unemployment Insurance Revenue Specialist 47087 MS-10

Unemployment Insurance Special Agent 47096 MS-19

Utility Engineer I 47451 MS-20

Utility Engineer II 47452 MS-24

Vehicle Compliance Inspector 47570 MS-15

Vehicle Emission Compliance Inspector 47580 MS-10

Vehicle Emission Compliance Supervisor 47583 MS-12

Vehicle Emission Quality Assurance Auditor 47584 MS-10

Vehicle Permit Evaluator 47585 MS-08

Veterans Educational Specialist I 47681 MS-12

Veterans Educational Specialist II 47682 MS-16

Veterans Educational Specialist III 47683 MS-25

Veterans Employment Representative I 47701 MS-11

Veterans Employment Representative II 47702 MS-14

Veterans Nursing Assistant − Certified 47750 MS-05

Veterans Service Officer 47800 MS-11


18



Veterans Service Officer Associate 47804 MS-10

Veterinarian I 47901 MS-19

Veterinarian II 47902 MS-23

Veterinarian III 47903 MS-25

Veterinary Consumer Safety Officer 47911 MS-20

Veterinary Pathologist 47916 MS-29

Veterinary Supervisor I 47917 MS-25

Veterinary Supervisor II 47918 MS-26

Vision/Hearing Consultant I 47941 MS-14

Vision/Hearing Consultant II 47942 MS-23

Vision/Hearing Consultant III 47943 MS-25

Vital Records Quality Control Inspector 48000 MS-10

Vocational Instructor 48200 MS-09

Volunteer Services Coordinator I 48481 MS-10

Volunteer Services Coordinator II 48482 MS-14

Volunteer Services Coordinator III 48483 MS-19

Wage Claims Specialist 48770 MS-06

Warehouse Claims Specialist 48780 MS-22

Warehouse Examiner 48881 MS-13

Warehouse Examiner Specialist 48882 MS-18

Warehouse Examiner Supervisor 48786 MS-20

Waterways Construction Supervisor I 49061 MS-14

Waterways Construction Supervisor II 49062 MS-19

Weatherization Specialist I 49101 MS-11

Weatherization Specialist II 49102 MS-16

Weatherization Specialist III 49103 MS-23

Weatherization Specialist Trainee 49105 MS-09

Well Inspector I 49421 MS-11

Well Inspector II 49422 MS-18

Well Inspector Trainee 49425 MS-09

Workers Compensation Insurance Compliance Investigator 49640 MS-23

NOTE: Effective January 1, 2008, the merit compensation grade 12 in the Personnel Code [20

ILCS 415/8b.18(a) and (b) and 8b.19(a) and (b)] that formerly was indicated by MC-12

is MS-32.



18




Section 310.TABLE AE RC-090 (Internal Security Investigators, Metropolitan Alliance of


Title Title Code Bargaining Unit Pay Plan Code

Internal Security Investigator I 21731 RC-090 Q

Internal Security Investigator II 21732 RC-090 Q


S T E P S

Title 1c 1b 1a 1 2 3 4 5 6 7 8

Internal Security Investigator I 4646 4799 4952 5105 5353 5598 5850 6085 6327 6694 6965

Internal Security Investigator II 5455 5634 5815 5995 6296 6595 6904 7212 7508 7972 8291

(Source: Repealed at 42 Ill. Reg. 5357, effective March 9, 2018)


18

HEALTH FACILITIES AND SERVICES REVIEW BOARD


1) Heading of the Part: Narrative and Planning Policies



1100.20 Amendment

1100.30 Amendment

1100.90 Repealed

1100.210 Amendment

1100.220 Amendment

1100.340 Repealed

1100.510 Amendment

4) Statutory Authority: Illinois Health Facilities Planning Act [20 ILCS 3960/12]




8) A copy of the adopted rules, including any material incorporated by reference, is on file

in the Agency's principal office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 5900; June 2, 2017

10) Has JCAR issued a Statement of Objection to this rulemaking? No

11) Differences between Proposal and Final Version: The definition of Perinatal Center is

retained. Independent Travel Time Studies as a supplement to the distance calculations

outlined in rule is retained. The classification of counties for the distance calculations are

revised. Nonsubstantive, technical changes were made throughout the rulemaking.

12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the

agreements issued by JCAR? Yes




18



15) Summary and Purpose of Rulemaking: The Board will use "distance" instead of "normal

travel time" for pertinent review criteria. This is because "distance" is constant while

"normal travel time" varies depending on the time of day that the calculation is made.

Therefore, Sections in this Part related to normal travel time are deleted and, where

applicable, replaced with distance. The distances used are consistent with the Travel

Time Study conducted by Board staff and comments received during First Notice. The

distance is specified for each group of counties based on where the proposed project will

be located.

The classification of counties is updated for the above-mentioned distance calculations.

The Board is keeping the definition of Perinatal Center. In the First Notice, the Board

proposed deleting this definition. However, the term Perinatal Center is still in the

Developmental Disability Prevention Act [410 ILCS 250/2(e)], which the definition

references. Also, the Board grants exemptions to establish level III Perinatal Centers.

A citation to 77 Ill. Adm. Code 1110 is updated because of pending amendments in that

Part.

Outdated Sections are being updated or repealed. Nonsubstantive, technical changes

were made.


Jeannie Mitchell

General Counsel

Health Facilities and Services Review Board

69 W. Washington Street, Suite 3501

Chicago IL 60602

312/814-2678

[email protected]



18




CHAPTER II: HEALTH FACILITIES AND SERVICES REVIEW BOARD

SUBCHAPTER a: ILLINOIS HEALTH CARE FACILITIES PLAN

PART 1100

NARRATIVE AND PLANNING POLICIES

SUBPART A: GENERAL NARRATIVE

Section


1100.20 Authority

1100.30 Purpose

1100.40 Health Maintenance Organizations (Repealed)

1100.50 Subchapter Organization

1100.60 Mandatory Reporting of Data

1100.70 Data Appendices

1100.75 Annual Bed Report

1100.80 Institutional Master Plan Hospitals (Repealed)

1100.90 Public Hearings (Repealed)

SUBPART B: DEFINITIONS

Section


1100.220 Definitions

SUBPART C: PLANNING POLICIES

Section

1100.310 Need Assessment

1100.320 Staffing

1100.330 Professional Education

1100.340 Public Testimony (Repealed)

1100.350 Multi-Institutional Systems

1100.360 Modern Facilities

1100.370 Occupancy/Utilization Standards

1100.380 Systems Planning

1100.390 Quality


18



1100.400 Location

1100.410 Needed Facilities

1100.420 Discontinuation

1100.430 Coordination with Other State Agencies

1100.440 Requirements for Authorized Hospital Beds

SUBPART D: NEED ASSESSMENT

Section

1100.510 Introduction, Formula Components, Planning Area Development Policies, and

DistanceNormal Travel Time Determinations

1100.520 Medical-Surgical/Pediatric Categories of Service

1100.530 Obstetric Care Category of Service

1100.540 Intensive Care Category of Service

1100.550 Comprehensive Physical Rehabilitation Category of Service

1100.560 Acute Mental Illness Treatment Category of Service

1100.570 Substance Abuse/Addiction Treatment Category of Service (Repealed)

1100.580 Neonatal Intensive Care Category of Service

1100.590 Burn Treatment Category of Service (Repealed)

1100.600 Therapeutic Radiology Equipment (Repealed)

1100.610 Open Heart Surgery Category of Service

1100.620 Cardiac Catheterization Services

1100.630 In-Center Hemodialysis Category of Service

1100.640 Non-Hospital Based Ambulatory Surgical Treatment Center Services − Category

of Service

1100.650 Computer Systems (Repealed)

1100.660 General Long-Term Nursing Care Category of Service (Repealed)

1100.661 General Long-Term Care-Sheltered Care Category of Service (Repealed)

1100.670 Specialized Long-Term Care Categories of Service (Repealed)

1100.680 Intraoperative Magnetic Resonance Imagining Category of Service (Repealed)

1100.690 High Linear Energy Transfer (L.E.T.) (Repealed)

1100.700 Positron Emission Tomographic Scanning (P.E.T.) (Repealed)

1100.710 Extracorporeal Shock Wave Lithotripsy (Repealed)

1100.720 Selected Organ Transplantation

1100.730 Kidney Transplantation

1100.740 Subacute Care Hospital Model

1100.750 Postsurgical Recovery Care Center Alternative Health Care Model

1100.760 Children's Respite Care Center Alternative Health Care Model

1100.770 Community-Based Residential Rehabilitation Center Alternative Health Care


18



Model

1100.800 Freestanding Emergency Center Medical Services Category of Service

1100.810 Long-Term Acute Care Hospital Category of Service

1100.APPENDIX A Applicable Codes and Standards Utilized in 77 Ill. Adm. Code: Chapter

II, Subchapter a (Repealed)

AUTHORITY: Authorized by Section 12 of and implementing the Illinois Health Facilities

Planning Act [20 ILCS 3960/12].

SOURCE: Fourth Edition adopted at 3 Ill. Reg. 30, p. 194, effective July 28, 1979; amended at 4

Ill. Reg. 4, p. 129, effective January 11, 1980; amended at 5 Ill. Reg. 4895, effective April 22,

1981; amended at 5 Ill. Reg. 10297, effective September 30, 1981; amended at 6 Ill. Reg. 3079,

effective March 8, 1982; emergency amendments at 6 Ill. Reg. 6895, effective May 20, 1982, for

a maximum of 150 days; amended at 6 Ill. Reg. 11574, effective September 9, 1982; Fifth

Edition adopted at 7 Ill. Reg. 5441, effective April 15, 1983; amended at 8 Ill. Reg. 1633,

effective January 31, 1984; codified at 8 Ill. Reg. 15476; amended at 9 Ill. Reg. 3344, effective

March 6, 1985; amended at 11 Ill. Reg. 7311, effective April 1, 1987; amended at 12 Ill. Reg.

16079, effective September 21, 1988; amended at 13 Ill. Reg. 16055, effective September 29,

1989; amended at 16 Ill. Reg. 16074, effective October 2, 1992; amended at 18 Ill. Reg. 2986,

effective February 10, 1994; amended at 18 Ill. Reg. 8448, effective July 1, 1994; emergency

amendment at 19 Ill. Reg. 1941, effective January 31, 1995, for a maximum of 150 days;

amended at 19 Ill. Reg. 2985, effective March 1, 1995; amended at 19 Ill. Reg. 10143, effective

June 30, 1995; recodified from the Department of Public Health to the Health Facilities Planning

Board at 20 Ill. Reg. 2594; amended at 20 Ill. Reg. 14778, effective November 15, 1996;

amended at 21 Ill. Reg. 6220, effective May 30, 1997; expedited correction at 21 Ill. Reg. 17201,

effective May 30, 1997; amended at 23 Ill. Reg. 2960, effective March 15, 1999; amended at 24

Ill. Reg. 6070, effective April 7, 2000; amended at 25 Ill. Reg. 10796, effective August 24, 2001;

amended at 27 Ill. Reg. 2904, effective February 21, 2003; amended at 31 Ill. Reg. 15255,

effective November 1, 2007; amended at 32 Ill. Reg. 4743, effective March 18, 2008; amended

at 32 Ill. Reg. 12321, effective July 18, 2008; expedited correction at 33 Ill. Reg. 4040, effective

July 18, 2008; amended at 34 Ill. Reg. 6067, effective April 13, 2010; amended at 35 Ill. Reg.

16978, effective October 7, 2011; amended at 36 Ill. Reg. 2542, effective January 31, 2012;

amended at 38 Ill. Reg. 2822, effective February 1, 2014; amended at 42 Ill. Reg. 5410, effective

March 7, 2018.

SUBPART A: GENERAL NARRATIVE

Section 1100.20 Authority


18



This PartState Plan for health care facilities in Illinois is prepared and promulgated by authority

granted to the Illinois Department of Public Health (Agency) and the Illinois Health Facilities

and Services ReviewPlanning Board (State Board) under Section 12 of Public Act 78-1156, "The

Illinois Health Facilities Planning Act [20 ILCS 3960]".


Section 1100.30 Purpose

This PartState Plan is developed in order to implement particular provisions and purposes of the

Illinois Health Facilities Planning Act and is specifically designed to develop a procedure that:

a) which establishes an orderly and comprehensive health care delivery system that

which will guarantee the availability of quality health care to the general public;

b) which considers the projected impact on health care costs by evaluating financial

and economic feasibility of proposed projects;

c) which requires a person proposing to establish, construct, or modify a health care

facility or acquire major medical equipment subject to this Subchaptersubchapter

to have the qualifications, background, character and financial resources to

adequately provide a proper service for the community;

d) which promotes through the process of comprehensive health planning the

orderly and economic development of health care facilities in the State of Illinois

to avoid unnecessary duplication of facilities or services; and

e) which provides criteria for reviewing proposed projects and which details projects

to which this Subchaptersubchapter applies.


Section 1100.90 Public Hearings (Repealed)

Public Hearings on the subchapter were held in accordance with the provisions of Section 12 of

the Act. The Executive Secretary maintains a record of the Public Hearings on this Edition and

of any Rule revisions. Copies of the Public Hearing records are available for inspection at the

Official Headquarters of the State Board at 525 West Jefferson Street, Springfield, Illinois


18



62761.


SUBPART B: DEFINITIONS

Section 1100.210 Introduction

The definitions related to this Subchapter a are listed in this Subpart. Additional definitions

pertaining to this Subchapter are contained in the Act, as well as in other State BoardHFPB rules

such as 77 Ill. Adm. Code 1130. IfWhere there is disagreement on the applicability of any

definition contained in this Subpart, the AdministratorExecutive Secretary shall decide the

matter. The decision may be appealed to the State BoardHFPB pursuant to the declaratory ruling

provisions of 77 Ill. Adm. Code 1130.



"Act" means the Illinois Health Facilities Planning Act [20 ILCS 3960].

"Acute Dialysis" means dialysis given on an intensive care, inpatient basis to

patients suffering from (presumably reversible) acute renal failure, or to patients

with chronic renal failure with serious complications.

"Acute Mental Illness" means a crisis state or an acute phase of one or more

specific psychiatric disorders in which a person displays one or more specific

psychiatric symptoms of such severity as to prohibit effective functioning in any

community setting. Persons who are acutely mentally ill may be admitted to an

acute mental illness facility or unit under the provisions of the Mental Health and

Developmental Disabilities Code [405 ILCS 5], which determines the specific

requirements for admission by age and type of admission.

"Acute Mental Illness Facility" or "Acute Mental Illness Unit" means a facility or

a distinct unit in a facility that provides a program of acute mental illness

treatment service (as defined in this Section); that is designed, equipped,

organized and operated to deliver inpatient and supportive acute mental illness

treatment services; and that is licensed by the Department of Public Health under


18



the Hospital Licensing Act [210 ILCS 85] or is a facility operated or maintained

by the State or a State agency.

"Acute Mental Illness Treatment Service" means a category of service that

provides a program of care for those persons suffering from acute mental illness.

These services are provided in a highly structured setting in a distinct psychiatric

unit of a general hospital, in a private psychiatric hospital, or in a State-operated

facility to individuals who are severely mentally ill and in a state of acute crisis, in

an effort to stabilize the individual and either effect his or her quick placement in

a less restrictive setting or reach a determination that extended treatment is

needed. Acute mental illness is typified by an average length of stay of 45 days or

less for adults and 60 days or less for children and adolescents.

"Administrative Perinatal Center" or "APC" means a referral facility designated

under the Regionalized Perinatal Health Care Code (77 Ill. Adm. Code 640) and

intended to care for the high risk patient before, during or after labor and

delivery and characterized by sophistication and availability of personnel,

equipment, laboratory, transportation techniques, consultation and other support

services. [410 ILCS 250/2(e)] An APC is a university or university-affiliated

facility designated by the Department of Public Health that has a Level III

hospital and is responsible for providing leadership and oversight of the

Department of Public Health's regionalized perinatal health care program,

including continuing education for health professions.

"Admissions" means the number of patients accepted for inpatient service during

a 12-month period; newbornsthe newborn are not included.

"Adult Catheterization" means the cardiac catheterization of patients 15 years of

age and older.

"Adverse Action" means a disciplinary action taken by Illinois Department of

Public Health, Centers for Medicare and Medicaid Services, or any other State or

federal agency against a person or entity that owns and/or operates a licensed or

Medicare or Medicaid certified healthcare facility in the State of Illinois. These

actions include, but are not limited to, all Type A violations. A "Type A" violation

means a violation of the Nursing Home Care Act or 77 Ill. Adm. Code 300, 330,

340, 350 or 390 that creates a condition or occurrence relating to the operation

and maintenance of a facility presenting a substantial probability that death or


18



serious mental or physical harm to a resident will result therefrom. [210 ILCS

45/1-129]

"Agency", "Department" or "IDPH" means the Illinois Department of Public

Health. [20 ILCS 3960/3]

"Ambulatory Care" means all types of health care services that are provided on an

outpatient basis, in contrast to services provided in the home or to persons who

are inpatients. While many inpatients may be ambulatory, the term ambulatory

care usually implies that the patient must travel to a location to receive services

that do not require an overnight stay. (Source: Glossary of Terms Commonly

Used in Health Care (Illinois Health and Hospital Association, 1151 East

Warrenville Road, PO Box 3015, Naperville IL 60566, 630/276-5400; 2004, no

later amendments or editions included)).

"Ambulatory Surgical Treatment Center" or "ASTC" means any institution, place

or building required to be licensed pursuant to the Ambulatory Surgical Treatment

Center Act [210 ILCS 5].

"Authorized Hospital Bed Capacity" means the number of beds recognized for

planning purposes at a hospital facility, as determined by HFSRB. The

operational status of authorized hospital beds is identified as physically available,

reserve, or transitional, as follows:

"Physically Available Beds" means beds that are physically set up, meet

hospital licensure requirements, and are available for use. These are beds

maintained in the hospital for the use of inpatients and that furnish

accommodations with supporting services (such as food, laundry, and

housekeeping). These beds may or may not be staffed, but are physically

available.

"Reserve Beds" means beds that are not set up for inpatients, but could be

made physically available for inpatient use within 72 hours.

"Transitional Beds" means beds for which a Certificate of Need (CON)

has been issued, but that are not yet physically available, and beds that are

temporarily unavailable due to modernization projects that do not require a

CON.


18



"Authorized Long-Term Care Bed Capacity" means the number of beds by

category of service, recognized and licensed by IDPH for long-term care.

"Average Daily Census" or "ADC" means over a 12-month period the average

number of inpatients receiving service on any given day.

"Average Length of Stay" or "ALOS" means over a 12-month period the average

duration of inpatient stay expressed in days as determined by dividing total

inpatient days by total admissions.

"Base Year" means the calendar year, as determined by IDPH, that serves as the

starting point or benchmark for the historical utilization and population

projections.

"Birth Center" or "Center" means an alternative health care delivery model that is

exclusively dedicated to serving the childbirth-related needs of women and their

newborns and has no more than 10 beds. A birth center is a designated site that is

away from the mother's usual place of residence and in which births are planned

to occur following a normal, uncomplicated, and low-risk pregnancy. [210 ILCS

3/35]

"Board Certified or Board Eligible Physician" means a physician who has

satisfactorily completed an examination (or is "eligible" to take such examination)

in a medical specialty and has taken all of the specific training requirements for

certification by a specialty board. For purposes of this definition, "medical

specialty" shall mean a specific area of medical practice by health care

professionals.

"Cardiac Catheterization Category of Service" means, for the purposes of this

Part, the performance of catheterization procedures that, due to safety and quality

considerations, are preferably performed within a cardiac catheterization

laboratory or special procedure room. Procedures that do not require the use of

such specialized settings, such as pericardiocentesis, myocardial biopsy, cardiac

pacemaker insertion or replacement, right heart catheterization with a flow-

directed catheter (e.g., Swan-Ganz catheter), intra-aortic balloon pump assistance

with intra-aortic balloon catheter placement, certain types of electrophysiology,

arterial pressure or blood gas monitoring, fluoroscopy, and cardiac ultrasound, are

not recognized as procedures that, under this Subchapter, would in and of


18



themselves qualify a facility as having a cardiac catheterization category of

service.

"Cardiac Surgeon" means a physician board eligible or board certified by the

American Board of Thoracic Surgery.

"Cardiac Surgery Room" means a physically identifiable room adequately staffed

and equipped for the performance of open and closed heart surgery and

extracorporeal bypass.

"Cardiological Team" means the designated specialists and support personnel who

consistently work together in the performance of open heart surgery.

"Cardiovascular Surgical Procedures" means any surgical procedure dealing with

the heart, coronary arteries and surgery of the great vessels.

"Cardiovascular Surgical Services" means the programs, equipment and staff

dealing with the surgery of the heart, coronary arteries and great vessels.

"Category of Service" means a grouping by generic class of various types or

levels of support functions, equipment, care or treatment provided to

patient/residents. Examples include but are not limited to medical-surgical,

pediatrics, cardiac catheterization, etc. A category of service may include

subcategories or levels of care that identify a particular degree or type of care

within the category of service.

"Chronic Renal Dialysis" means a category of service in which dialysis is

performed on a regular long-term basis in patients with chronic irreversible renal

failure. The maintenance and preparation of patients for kidney transplantation

(including the immediate post-operative period and in case of organ rejection) or

other acute conditions within a hospital does not constitute a chronic renal dialysis

category of service.

"Clinical Encounter Time" means an instance of direct provider/practitioner to

patient interaction, between a patient and a practitioner vested with primary

responsibility for diagnosing, evaluating or treating the patient's condition, or

both. The clinical encounter definition excludes practitioner actions in the absence

of a patient, such as practitioner to practitioner interaction and practitioner to

records interaction.


18



"Closed Heart Surgery" means any cardiovascular surgical procedures that do not

include the use of a heart/lung pump.

"Combined Maternity and Gynecological Unit" means an entire facility or a

distinct part of a facility that provides both a program of maternity care (as

defined in this Section) and a program of obstetric gynecological care (as defined

in this Section), and that is designed, equipped, organized and operated in

accordance with the requirements of the Hospital Licensing Act [210 ILCS 85].

"Community-Based Residential Rehabilitation" means services that include, but

are not limited to, case management, training and assistance with activities of

daily living, nursing consultation, traditional therapies (physical, occupational,

speech), functional interventions in the residence and community (job placement,

shopping, banking, recreation), counseling, self-management strategies,

productive activities, and multiple opportunities for skill acquisition and practice

throughout the day. [210 ILCS 3/35]

"Community-Based Residential Rehabilitation Center" means a designated site

that provides rehabilitation or support, or both, for persons who have

experienced severe brain injury, who are medically stable, and who no longer

require acute rehabilitative care or intense medical or nursing services. The

average length of stay in a community-based residential rehabilitation center

shall not exceed 4 months. [210 ILCS 3/35]

"Comprehensive Physical Rehabilitation" means a category of service provided in

a comprehensive physical rehabilitation facility providing the coordinated

interdisciplinary team approach to physical disability under a physician licensed

to practice medicine in all its branches who directs a plan of management of one

or more of the classes of chronic or acute disabling disease or injury.

Comprehensive physical rehabilitation services can be provided only by a

comprehensive physical rehabilitation facility.

"Comprehensive Physical Rehabilitation Facility" means a distinct bed unit of a

hospital or a special referral hospital that provides a program of comprehensive

physical rehabilitation; that is designed, equipped, organized and operated to

deliver inpatient rehabilitation services; and that is licensed by the Department of

Public Health under the Hospital Licensing Act or is a facility operated or


18



maintained by the State or a State agency. Types of comprehensive physical

rehabilitation facilities include:

"Freestanding comprehensive physical rehabilitation facility" means a

specialty hospital dedicated to the provision of comprehensive

rehabilitation; and

"Hospital-based comprehensive physical rehabilitation facility" means a

distinct unit, located in a hospital, dedicated to the provision of

comprehensive physical rehabilitation.

"Dedicated Cardiac Catheterization Laboratory" means a distinct laboratory that is

staffed, equipped and operated solely for the provision of cardiac catheterization.

"Designated Pediatric Beds" means beds within the facility that are primarily used

for pediatric patients and are not a component part of a distinct pediatric unit as

defined in this Section.

"Dialysis" means a process by which dissolved substances are removed from a patient's

body by diffusion from one fluid compartment to another across a semi-permeable

membrane. [210 ILCS 62/5] The two types of dialysis that are recognized in

classical practice are hemodialysis and peritoneal dialysis.

"Dialysis Technician" means an individual who is not a registered nurse or

physician and who provides dialysis care under the supervision of a registered

nurse or physician. [210 ILCS 62/5]

"Discontinuation" means to cease operation of an entire health care facility or to

cease operation of a category of service and is further defined in 77 Ill. Adm.

Code 1130.

"Distinct Unit" means a physically distinct area comprising all beds served by a

nursing station in which a particular category of service is provided and utilizing a

nursing staff assigned exclusively to the distinct area.

"DRG" means diagnostic related groups utilized in the Medicare and Medicaid

programs for health care reimbursement.


18



"Emergency Medical Services System" or "EMS System" means an organization

of hospitals, vehicle service providers and personnel approved by IDPH in a

specific geographic area, which coordinates and provides pre-hospital and inter-

hospital emergency care and non-emergency medical transports at a BLS, ILS,

and/or ALS level pursuant to a System program plan submitted to and approved

by IDPH, and pursuant to the EMS Region Plan adopted for the EMS Region in

which the System is located. [210 ILCS 50/3.20]

"Emergent Care" means medical or surgical procedures and care provided to those

patients treated in an emergency department (ED) of a hospital or freestanding

emergency center who have traumatic conditions or illnesses with an acuity level

that is classified as level one or level two based upon the Emergency Severity

Index (ESI) as defined in the "Emergency Severity Index Version 4:

Implementation Handbook" published by the Agency for Healthcare Research and

Quality, Rockville MD (Gilboy N, Tanabe P, Travers DA, Rosenau AM, Eitel

DR; AHRQ Publication No. 05-0046-2; May 2005, no later amendments or

editions included).

"End Stage Renal Disease" or "ESRD" means that stage of renal impairment that

appears irreversible and permanent and that requires a regular course of dialysis

or kidney transplantation to maintain life. [210 ILCS 62/5]

"End Stage Renal Disease Facility" means a freestanding facility or a unit within

an existing health care facility that furnishes in-center hemodialysis treatment and

other routine dialysis services to end stage renal disease patients. These types of

services may include self-dialysis, training in self-dialysis, dialysis performed by

trained professional staff, and chronic maintenance dialysis, including peritoneal

dialysis.

"Extracorporeal Circulation" or "Bypass" means, for the purpose of open heart

surgery category of service, the circulation of blood outside the body, as through a

heart/lung apparatus for carbon dioxide-oxygen exchange.

"Federally Qualified Health Center" means a health center funded under section

330 of the Public Health Service Act (42 USC 254b).

"Fertility Rate" means determinations by IDPH of population fertility that is

based upon resident birth data for an area. The fertility rate data sources include:


18



• birth data from the Division of Vital Records by age of mother and by

county; and

• population figures from IDPH estimates for females age 15-44 by county.

"Freestanding Emergency Center" or "FEC" means a facility subject to licensure

under Section 32.5 of the Emergency Medical Services (EMS) Systems Act [210

ILCS 50/32.5] that provides emergency medical and related services.

"Freestanding Emergency Center Medical Services" or "FECMS" means a

category of service pertaining to the provision of emergency medical and related

services provided in a freestanding emergency center.

"General Long-Term Care" means a classification of categories of service that

provide inpatient levels of care primarily for convalescent or chronic disease adult

patients/residents who do not require specialized long-term care services. The

General Long-Term Care Classification includes the nursing category of service,

which provides inpatient treatment for convalescent or chronic disease

patients/residents and includes the skilled nursing level of care and/or the

intermediate nursing level of care (both as defined in IDPH's Skilled Nursing and

Intermediate Care Facilities Code (77 Ill. Adm. Code 300)).

"HFSRB" or "State Board" means the Health Facilities and Service Review Board

established by the Act.

"Health Professional Shortage Areas" means urban or rural areas, population

groups, or medical or other public facilities that may have shortages of primary

medical care, dental or mental health providers, as determined by HHS' Shortage

Designation Branch in the Health Resources and Services Administration (HRSA)

Bureau of Health Professions National Center for Health Workforce; and as

determined by the Illinois Designation of Shortage Areas (77 Ill. Adm. Code

590.410).

"Health Service Area" or "HSA" means the following geographic areas:

HSA I – Illinois Counties of Boone, Carroll, DeKalb, Jo Daviess, Lee,

Ogle, Stephenson, Whiteside, and Winnebago

HSA II – Illinois Counties of Bureau, Fulton, Henderson, Knox, LaSalle,


18



Marshall, McDonough, Peoria, Putnam, Stark, Tazewell, Warren, and

Woodford

HSA III – Illinois Counties of Adams, Brown, Calhoun, Cass, Christian,

Greene, Hancock, Jersey, Logan, Macoupin, Mason, Menard,

Montgomery, Morgan, Pike, Sangamon, Schuyler, and Scott

HSA IV – Illinois Counties of Champaign, Clark, Coles, Cumberland,

DeWitt, Douglas, Edgar, Ford, Iroquois, Livingston, Macon, McLean,

Moultrie, Piatt, Shelby, and Vermilion

HSA V – Illinois Counties of Alexander, Bond, Clay, Crawford, Edwards,

Effingham, Fayette, Franklin, Gallatin, Hamilton, Hardin, Jackson, Jasper,

Jefferson, Johnson, Lawrence, Marion, Massac, Perry, Pope, Pulaski,

Randolph, Richland, Saline, Union, Wabash, Washington, Wayne, White,

and Williamson

HSA VI – City of Chicago

HSA VII – DuPage County and Suburban Cook County

HSA VIII – Illinois Counties of Kane, Lake, and McHenry

HSA IX – Illinois Counties of Grundy, Kankakee, Kendall, and Will

HSA X – Illinois Counties of Henry, Mercer, and Rock Island

HSA XI – Illinois Counties of Clinton, Madison, Monroe, and St. Clair

"Hematocrit" means a measure of the packed cell volume of red blood cells

expressed as a percentage of total blood volume.

"Hemodialysis" means a type of dialysis that involves the use of artificial kidney

through which blood is circulated on one side of a semi-permeable membrane

while the other side is bathed by a salt dialysis solution. The accumulated toxic

products diffuse out of the blood into the dialysate bath solution. The

concentration and total amount of water and salt in the body fluid are adjusted by

appropriate alterations in composition of the dialysate fluid.


18



"Home Hemodialysis" means a type of dialysis that is done at home by the patient

and a partner. Both are trained in the dialysis facility until the patient and partner

become proficient to dialyze at home. The dialysis is usually three times per

week.

"Home-Assisted Hemodialysis" means hemodialysis done in a home and/or long

term care setting through a staff-assisted program. The patient is not trained to do

dialysis himself/herself.

"Hospital" means a facility, institution, place or building licensed pursuant to or

operated in accordance with the Hospital Licensing Act [210 ILCS 45] or a State-

operated facility that is utilized for the prevention, diagnosis and treatment of

physical and mental ills. For purposes of this Subchapter, two basic types of

hospitals are recognized:

General Hospital – a facility that offers an integrated variety of categories

of service and that offers and performs scheduled surgical procedures on

an inpatient basis.

Special or Specialized Hospital – a facility that offers, primarily, a special

or particular category of service.

"Illinois Department of Public Health" or "Agency" or "IDPH" means the

Department of Public Health of the State of Illinois. [20 ILCS 3960/3]

"In-Center Hemodialysis" means a category of service that is provided in an end

stage renal disease facility licensed by the State of Illinois and/or certified by the

Centers for Medicare and Medicaid Services.

"In-Center Hemodialysis Treatment" means a regimen of hemodialysis received

by a patient usually three times a week, averaging four hours.

"Independent Travel Time Studies" means studies developed and submitted to

refine or supplement the determination of Normal Travel Time. Independent

Travel Time studies will be considered by HFSRB only if conducted utilizing the

criteria specified in this Part.

"Index of Medically Underserved" or "IMU" means shortage designation criteria

applied to determine Medically Underserved Area or Medically Underserved


18



Population designation. The four variables of the IMU are ratio of primary

medical care physicians per 1,000 population, infant mortality rate, percentage of

the population with incomes below the poverty level, and percentage of the

population age 65 or over (Source: Health Resources and Services Administration

Bureau of Health Professions website (http://bhpr.hrsa.gov)).

"Intensive Care Service" means a category of service providing the coordinated

delivery of treatment to the critically ill patient or to patients requiring continuous

care due to special diagnostic considerations requiring extensive monitoring of

vital signs through mechanical means and through direct nursing supervision.

This service is given at the direction of a physician on behalf of patients by

physicians, dentists, nurses, and other professional and technical personnel. The

intensive care category of service includes the following subcategories: medical

ICU, surgical ICU, coronary care, pediatric ICU, and combinations of such ICUs.

This category of service does not include intermediate intensive or coronary care

and special care units that are included in the medical-surgical category of

service.

"Intensive Care Unit" or "ICU" means a distinct part of a facility that provides a

program of intensive care service; that is designed, equipped, organized and

operated to deliver optimal medical care for the critically ill or for patients with

special diagnostic conditions requiring specialized equipment, procedures and

staff; and that is under the direct visual supervision of a nursing staff. Prior to

February 15, 2003, the repeal of 77 Ill. Adm. Code 1110.1010, 1110.1020 and

1110.1030, the beds and corresponding utilization for the burn treatment category

of service were included in the intensive care category of service.

"Inventory of Health Care Facilities and Services and Need Determinations"

means a statewide inventory of beds and other services, and need determinations

that HFSRB shall maintain and update on the Board's website, as mandated in the

Health Facilities Planning Act. (See Section 12(4) of the Act.)

"Key Room" means a term used in space planning to designate the primary

functional component of a department used to develop a space program or

estimate of square feet for that department. Examples of key rooms include, but

are not limited to, examination rooms for ambulatory care, operating rooms for

surgical suites, treatment stations for dialysis, imaging rooms for radiology.


18



"Kidney Transplantation Center" means a hospital that directly furnishes

transplantation and other medical and surgical specialty services required for the

care of the kidney transplant patient, including inpatient dialysis furnished

directly or under arrangement.

"Kidney Transplantation Service" means a category of service that involves the

surgical replacement of a nonfunctioning human kidney with a donor kidney in

order to restore renal function to the patient.

"Maternity Care" means a subcategory of obstetric service related to the medical

care of the patient prior to and during the act of giving birth either to a living child

or to a dead fetus and to the continuing medical care of both patient and newborn

infant under the direction of a physician, by physicians, nurses, and other

professional and technical personnel.

"Maternity Facility" or "Maternity Unit" means an entire facility or a distinct part

of a facility that provides a program of maternity and newborn care and that is

designed, equipped, organized, and operated in accordance with the requirements

of the Hospital Licensing Act.

"Medically Underserved Areas" means a whole county or a group of contiguous

counties, or a group of county or civil divisions, or a group of urban census tracts

in which residents have a shortage of personal health services, as determined by

HHS' Shortage Designation Branch in the Health Resources and Services

Administration (HRSA) Bureau of Health Professions National Center for Health

Workforce.

"Medically Underserved Populations" means groups of persons who face

economic, cultural or linguistic barriers to health care, as determined by HHS'

Shortage Designation Branch in the Health Resources and Services

Administration (HRSA) Bureau of Health Professions National Center for Health

Workforce.

"Medical-Surgical Service" means a category of service pertaining to the medical-

surgical inpatient care performed at the direction of a physician, by physicians,

dentists, nurses and other professional and technical personnel. For purposes of

77 Ill. Adm. Code Chapter II, Subchapter a (Illinois Health Care Facilities Plan),

this category of service may include medical-surgical and their respective sub-

specialties of service. The medical-surgical category of service specifically does


18



not include the following other separate categories of service and their

subcategories:

Obstetric Service;

Pediatric Service;

Intensive Care Service;

Comprehensive Physical Rehabilitation Service;

Acute and Chronic Mental Illness Treatment Service;

Neonatal Intensive Care Service;

General Long-Term Care Service;

Specialized Long-Term Care Service;

Long-Term Acute Care Service.

"Medical-Surgical Unit" means an assemblage of inpatient beds and related

facilities in which medical-surgical services are provided to a defined and limited

class of patients according to their particular medical care needs.

"Modernization" means modification of an existing health care facility by means

of building, alteration, reconstruction, remodeling, replacement and/or expansion,

the erection of new buildings, or the acquisition, alteration or replacement of

equipment. Modification does not include a substantial change in either the bed

count or scope of the facility.

"Neonatal Intensive Care" means a level of care providing constant and close

medical coordination, multi-disciplinary consultation and supervision to those

neonates with serious and life threatening developmental or acquired medical and

surgical problems that require highly specialized treatment and highly trained

nursing personnel.

"Neonatal Intensive Care Service" means a category of service providing

treatment of the infant for problems identified in the neonatal period that warrant


18



intensive care. An intensive neonatal care service must include a related obstetric

service for care of the high-risk mother (except when the facility is dedicated to

the care of children).

"Neonatal Intensive Care Unit" means a distinct part of a facility that provides a

program of intensive neonatal care and that is designed, equipped and operated to

deliver medical and surgical care to high-risk infants.

"Neonatologist" means a physician who is certified by the American Board of

Pediatrics Subboard of Neonatal-Perinatal Medicine or a licensed osteopathic

physician with equivalent training and experience and certified by the American

Osteopathic Board of Pediatricians.

"Newborn Nursery Level I", "Newborn Nursery Level II", "Newborn Nursery

Level II with Extended Neonatal Capabilities" and "Newborn Nursery Level III"

mean designations for hospitals providing newborn health care as defined and

listed in the Regionalized Perinatal Health Care Code (77 Ill. Adm. Code 640).

"Non-Hospital Based Ambulatory Surgery" means a category of service relating

to surgery that is performed at ambulatory surgical treatment centers on patients

that arrive and are discharged the same day. Ambulatory surgery as the provision

of surgical services may require anesthesia or a period of post-operative

observation or both on a patient whose inpatient stay is not anticipated as being

medically necessary.

"Non-emergent Care" means medical or surgical procedures and care provided to

those patients treated in an emergency department (ED) of a hospital or

freestanding emergency center who have conditions or illnesses that are not

classified as level one or level two based upon the Emergency Severity Index.

"Normal Travel Time" means the time necessary to traverse a route by an

individual vehicle driving at posted speed limits between any two points of

interest. Normal Travel Time is to be considered by HFSRB only as calculated

utilizing methodologies specified in this Part. Normal Travel Time for proposed

projects shall be established by using the facility's location as the base point and

utilizing time factors specified in the applicable rules.

HFSRB NOTE: Normal Travel Time as used in this Part is a conceptual model

approximating a reasonable time of travel between two points. It is intended to

exclude a "worst" or "best" case situation such as travel during rush hours,


18



midnight hours, or by emergency vehicle.

"Observation Days" means the number of days of service provided to outpatients

for the purpose of determining whether a patient requires admission as an

inpatient or other treatment.

"Obstetric/Gynecological Care" means a subcategory of obstetric service in which

medical care is provided to clean (non-infectious) gynecological, surgical or

medical cases that are admitted to a postpartum section of an obstetric unit in

accordance with the requirements of the Hospital Licensing Act.

"Obstetric Service" means a category of service pertaining to the medical or

surgical care of maternity and newborn patients or medical or surgical cases that

may be admitted to a postpartum unit

"Occupancy Rate" means a measure of inpatient health facility use, determined by

dividing average daily census by the number of authorized beds. It measures the

average percentage of a facility's beds occupied and may be institution-wide or

specific for one department or service.

"Occupancy Target" means a utilization level established by IDPH for a facility or

service reflecting adequate access as well as operational efficiency.

"Open Heart Surgery" means a category of service that utilizes any form of

cardiac surgery that requires the use of extracorporeal circulation and

oxygenation. The use of a pump during the procedure distinguishes "open heart"

from "closed heart" surgery.

"Operating Room (Class B)" or "Surgical Procedure Room (Class B)" means a

setting designed and equipped for major or minor surgical procedures performed

in conjunction with oral, parenteral or intravenous sedation or under analgesic or

dissociative drugs. (Source: Guidelines for Optimal Ambulatory Surgical Care

and Office-based Surgery, third edition, American College of Surgeons, 633 N.

Saint Clair Street, Chicago IL 60611-3211, 312/202-5000; 2000, no later

amendments or editions included)

"Operating Room (Class C)" means a setting designed and equipped for major

surgical procedures that require general or regional block anesthesia and support

of vital bodily functions. (Source: Guidelines for Optimal Ambulatory Surgical


18



Care and Office-based Surgery, third edition, American College of Surgeons, 633

N. Saint Clair Street, Chicago IL 60611-3211, 312/202-5000; 2000, no later

amendments or editions included)

"Out-of-Home Respite Care" means care provided in a facility setting to a

clinically stable individual whose medical condition does not require major

diagnostic procedures or therapeutic interventions and who normally receives care

in a home environment for the purposes of providing a respite to the caregiver

from the responsibilities of providing the care.

"Patient Care Unit" means the grouping of beds to provide an inpatient category

of service. Units are physically identifiable areas that are staffed to provide all

care required for particular service.

"Patient Days" means the total number of days of service provided to inpatients

over a 12-month period, usually expressed as annual patient days measured. This

figure includes observation days if the observation patient occupies a bed that is

included in IDPH's Inventory of Health Care Facilities and Services and Need

Determinations.

"Patient Migration" means the total number of patients who reside in a given

planning area but receive services at health care facilities located in another

planning area for a given year. Patient migration is determined by utilizing the

latest available patient origin data concerning admissions to health care facilities

by various categories of service for a given year. The term in-migration refers to

the number of patients who are not residents of a planning area that enter the area

to receive services, while the term out-migration refers to the number of planning

area residents who leave the planning area to obtain services elsewhere.

"Pediatric Catheterization" means the cardiac catheterization of patients zero to 14

years in age.

"Pediatric Facility" or "Distinct Pediatric Unit" means an entire facility or a

distinct unit of a facility, where the nurses' station services only that unit, that

provides a program of pediatric service and is designed, equipped, organized and

operated to render medical-surgical care to the zero to 14 age population.

"Pediatric Service" means a category of service for the delivery of treatment

pertaining to the non-intensive medical-surgical care of a pediatric patient (zero to


18



14 years in age) performed at the direction of a physician on behalf of the patient

by physicians, dentists, nurses and other professional and technical personnel.

"Perinatal Center" means a referral facility designated under the Regionalized

Perinatal Health Care Code (77 Ill. Adm. Code 640) and intended to care for the

high risk patient before, during or after labor and delivery and characterized by

sophistication and availability of personnel, equipment, laboratory, transportation

techniques, consultation and other support services. "Perinatal Center" is further

defined in the Developmental Disability Prevention Act [410 ILCS 250/2(e)].

"Peritoneal Dialysis" means a type of dialysis in which the dialysate fluid is

infused slowly into the peritoneum, causing dialysis of water and waste products

to occur through the peritoneal sac, which acts as a semi-permeable membrane.

The fluid and waste, after accumulating for a period of time (one hour), is drained

from the abdomen and the process is repeated.

"Planning Area" means a defined geographic area within the State established by

HFSRB as a basis for the collection, organization, and analysis of information to

determine health care resources and needs and to serve as a basis for planning.

"Population Estimates" means the latest available numbers of residents of a

geographic area based upon birth and death records and other inputs, as

determined by IDPH. These numbers may be further broken down by age and sex

cohorts.

"Population Projections" means the numbers of residents of a geographic area

projected for one or more future time periods, as determined by IDPH and based

upon State of Illinois population projections, as available. These numbers are for

defined geographic areas and may be further broken down by age and sex cohorts.

"Post-Anesthesia Recovery Phase I" means the phase in surgical recovery that

focuses on providing a transition from a totally anesthetized state to one requiring

less acute interventions. Recovery occurs in the post-anesthesia care unit (PACU).

The purpose of this phase is for patients to regain physiological homeostasis and

receive appropriate nursing intervention as needed.

"Post-Anesthesia Recovery Phase II" means the phase in surgical recovery that

focuses on preparing the patient for self care, care by family members, or care in

an extended care environment. The patient is discharged to phase II recovery


18



when intensive nursing care no longer is needed. In the phase II area, sometimes

referred to as the step-down or discharge area, the patient becomes more alert and

functional.

"Postsurgical Recovery Care Center" means a designated site which provides

postsurgical recovery care for generally healthy patients undergoing surgical

procedures that require overnight nursing care, pain control, or observation that

would otherwise be provided in an inpatient setting. Such a center may be either

freestanding or a defined unit of an ambulatory surgical treatment center or

hospital. The maximum length of stay for patients in a postsurgical recovery care

center is not to exceed 72 hours. (Section 35 of the Alternative Health Care

Delivery Act [210 ILCS 3/35])

"Postsurgical Recovery Care Center Alternative Health Care Model" means a

category of service for the provision of postsurgical recovery care within a

postsurgical recovery care center.

"Pre-Dialysis" means that the initiation of hemodialysis therapy is anticipated

within 12 months.

"Pump Procedures" means the utilization of a heart/lung pump in surgery to

perform the work of the heart and lungs. Included in these procedures are

myocardiac revascularization, aortic and mitral valve replacement, ventricular

aneurysm repairs, pulmonary valvuloplastyvalvuoplasty, and all other procedures

utilizing a cardiac pump.

"Quality of Care", for purposes of 77 Ill. Adm. Code 1110.1101110.230, the

degree to which delivered health services meet established professional standards

and are judged to be of value to the consumer. Quality may also be seen as the

degree to which actions taken or not taken maximize the probability of beneficial

health outcomes and minimize risk and other outcomes, given the existing state of

medical science and art. (Source: "A Glossary of Terms for Community Health

Care and Services for Older Persons", World Health Organization Centre for

Health Development, 5-1, 1-chome, Wakinohama-Kaigandori, Chuo-Ku, Kobe

651-0073 Japan, tel. +81 78 230 3100; 2004, no later amendments or editions

included)

"Rapid Population Growth Rate" means an average of the three most recent

annual growth rates of a defined geographic area's population that has exceeded


18



the average of three to seven immediately preceding annual growth rates by at

least 100%.

"Renal Dialysis Facility" means a freestanding facility, or a unit within an existing

health care facility, that furnishes routine chronic dialysis services to chronic renal

disease patients. Routine services are self-dialysis, training in self-dialysis,

dialysis performed by trained professional staff, and chronic maintenance dialysis,

including peritoneal dialysis.

"Resource Hospital" means the hospital that is responsible for an Emergency

Medical Services (EMS) System in a specific geographic region, as defined in the

Emergency Medical Services (EMS) Systems Act [210 ILCS 50].

"Selected Organ Transplantation Center" means a hospital that provides staffing

and other adult or pediatric medical and surgical specialty services required for

the care of a transplant patient.

"Selected Organ Transplantation Service" means a category of service relating to

the surgical transplantation of any of the following human organs: heart, lung,

heart-lung, liver, pancreas or intestine. It does not include bone marrow or cornea

transplants.

"Self-Care Dialysis" or "Self-Dialysis" means maintenance dialysis performed by

a trained patient in a special facility with or without the assistance of a family

member or other helper.

"Self-Care Dialysis Training" means a program that trains patients or their

helpers, or both, to perform self-care dialysis in the in-center setting.

"Site" means the location of an existing or proposed facility. An existing facility

site is determined by street address. In a proposed facility the legal property

description or the street address can be used to identify the site.

"Special Procedures Laboratory with a Cardiac Catheterization Service" means a

special procedures or angiography laboratory that has the equipment, staff and

support services required to provide cardiac catheterization and in which

catheterizations are routinely performed. The laboratory is also utilized for other

procedures, such as angiography, not directly related to cardiac catheterization.


18



"Specialized Long-Term Care" means a classification consisting of categories of

service that provide inpatient care primarily for children (ages zero through 21) or

inpatient care for adults who require specialized treatment and care because of

mental or developmental disabilities. The Specialized Long-Term Care

Classification includes the following categories of services:

Chronic Mental Illness (MI) − levels of care provided to severely mentally

ill clients in a structured setting in a psychiatric unit of a general hospital,

in a private psychiatric hospital, or in a State-operated facility primarily in

order to facilitate the improvement of their functioning level, to prevent

further deterioration of their functioning level, or, in some instances, to

maintain their current level of functioning.

Long-Term Care for the Developmentally Disabled (Adult) (DD-Adult) −

levels of care for developmentally disabled adults as defined in the Illinois

Mental Health and Developmental Disabilities Code [405 ILCS 5]

(including those facilities licensed as Intermediate Care Facilities for the

Developmentally Disabled (ICF/DD)) that provide an integrated,

individually tailored program of services for developmentally disabled

adults and that provide an active, aggressive and organized program of

services directed toward achieving measurable behavioral and learning

objectives.

Long-Term Care for the Developmentally Disabled (Children)

(DD-Children) − levels of care for developmentally disabled children

limited to those residents ages zero through 21 years and whose condition

meets the definition of developmental disabilities in the Illinois Mental

Health and Developmental Disabilities Code.

"Subacute Care" means the provision of medical specialty care for patients who

need a greater intensity or complexity of care than generally provided in a skilled

nursing facility but who no longer require acute hospital care. Subacute care

includes physician supervision, registered nursing and physiological monitoring

on a continual basis. (Section 35 of the Alternative Health Care Delivery Act

[210 ILCS 3/35])

"Subacute Care Hospital" means a designated site that provides medical specialty

care for patients who need a greater intensity or complexity of care than

generally provided in a skilled nursing facility but who no longer require acute


18



hospital care. The average length of stay for patients treated in subacute care

hospitals shall not be less than 20 days; for individual patients, the expected

length of stay at the time of admission shall not be less than 10 days. A subacute

care hospital is either a freestanding building or a distinct physical and

operational entity within a hospital or nursing home building. A subacute care

hospital shall only consist of beds currently existing in licensed hospitals or

skilled nursing facilities. (Section 35 of the Alternative Health Care Delivery

Act)

"Subacute Care Hospital Model" means a category of service for the provision of

subacute care.

"Surgical Referral Site" means an ambulatory surgical treatment center or hospital

in which surgery will be performed and the surgical patient then transferred to the

recovery care center.

"Teaching Institution" means, for the purpose of selected organ transplantation

category of service, a hospital having a major relationship with a medical school

as defined and listed in the Directory of Residency Training Programs developed

by the American Medical Association and the National Organ Procurement and

Transplantation Network (AMA, 535 N. Dearborn, Chicago IL 60610, 312/751-

6079; 2009-2010, no later amendments or editions included).

"Urea" means the chief product of urine and the final product of protein

metabolism in the body.

"Urea Reduction Ratio" or "URR" means the amount of blood cleared of urea

during dialysis. It is reflected by the ratio of the measured level of urea before

dialysis and urea remaining after dialysis. The larger the URR, the greater the

amount of urea removed during the dialysis treatment.

"Use Rate" means the ratio of inpatient days per 1,000 population over a 12-

month period (Inpatient Days/Population in Thousands = Use Rate). For need

assessment purposes, HFSRB may establish minimum or maximum use rates in

order to promote the development of additional resources or to limit unnecessary

duplication of services and beds in a planning area.

"Utilization Standards" means an operational target for facilities or services that

may demonstrate operational efficiencies, minimum proficiency or other


18



performance parameters. Utilization standards and their purposes are established

by category of service. Utilization may be expressed by various ratios, such as

facility or bed service occupancy rates or hours of use for types of equipment,

operating rooms, dialysis stations, etc.


SUBPART C: PLANNING POLICIES

Section 1100.340 Public Testimony (Repealed)

There may exist within a planning area special conditions which impact on the need for or the

availability of health care services. To address these concerns the State Board will consider

public testimony when acting upon a proposed application.


SUBPART D: NEED ASSESSMENT

Section 1100.510 Introduction, Formula Components, Planning Area Development

Policies, and DistanceNormal Travel Time Determinations

a) Introduction

This Subpart details the policies and methodologies utilized to assess the need for

beds and services. The calculations and numeric results, as well as the related

data elements that pertain to the methodologies detailed in this Subpart, are

contained in the Inventory of Health Care Facilities.

b) Formula Components

Formulas utilized by HFSRB in projecting the need for beds and services can be

categorized as demand based or incidence based need formulas. Each of these

formula types represents a different conceptual outlook and incorporates different

data elements as formula variables.

1) Demand Based Formula. Demand equations utilize the concept that what

has occurred in the past will occur in the future. The formulas utilize

inpatient days of care and population projections as the key data variables.

The first formula step is to establish a utilization to population ratio (use

rate). This ratio basically says that within a population an average number


18



of inpatient days of care will be generated. This rate is then applied to the

population projection for the same area. This states that if the rate of use

is constant, a future population can be expected to generate an identifiable

number of inpatient days. These projected days are then converted to a

daily census (total projected patient days divided by days in year) and

multiplied by an occupancy target. The projected day figure can be

equated to 100% occupancy of service for which need is projected. An

occupancy factor adjustment is applied to insure that sufficient beds exist

to handle days when inpatient admissions are exceptionally high. This

type of formula may also be adjusted by the application of minimum and

maximum use rates in planning areas that lack facilities or certain types of

beds or where a high concentration of beds and services has caused

unnecessary duplication. These rates are controls and serve to inflate

(minimum use rate) or deflate (maximum use rate) the projected bed need.

These rates are established when historical patterns of use are influenced

by a maldistribution of services. By adding to or subtracting from the

number of needed beds, development of new beds and facilities can be

influenced to add beds to underserved areas and to restrict bed growth in

areas of high bed to population ratios.

2) Incidence Based Formula. This type of formula utilizes the incidence

level of a disease or a condition within a population to predict need.

Utilizing national or State rates, the formula predicts the number of

planning area residents who will need hospitalization based on the number

of people who live in the planning area. Utilizing a standard estimate of

how long a patient will be hospitalized, admissions are converted into

patient days. As in the demand formulas, days are then converted to an

average daily census and an occupancy factor adjustment is applied to

obtain area bed need.

c) Planning Area Development Policies

HFSRB recognizes the need to establish planning areas for the purpose of

assessing and determining the need for health care facilities, beds, and services.

In establishing planning areas the following principles and factors apply:

1) For purposes of delineating planning area boundaries and for purposes of

calculating population estimates, the smallest geographical areas to be

utilized shall be community areas for the city of Chicago and townships

for all other areas in the State outside of Chicago.


18



2) Source of patient information shall be the primary basis for the allocation

of geographic areas (e.g., townships, community areas, counties) into

planning areas. As a general principle, 50% or more of residents receiving

care from facilities or resources located within the planning area should

reside within the planning area.

HFSRB NOTE: Source of patient information may only be available on a

zip code basis. In such cases, the relationship between zip code

boundaries and community area or township boundaries will be

approximated for use in establishing planning area boundaries.

3) Planning area boundaries should be established taking into consideration

the number and type of existing health care facilities and services located

within the area, shared and overlapping market areas between or among

facilities, and patterns of patient referral to area health care facilities.

Planning areas may vary in size in order to ensure access within a

reasonable travel time.

4) The primary market area for health care facilities located within a

planning area should serve a substantial number of residents of the

planning area. A primary market area means the geographic location in

which 50% or more of a facility's patients/residents reside. HFSRB

recognizes that certain health care facilities (e.g., tertiary and specialty

facilities) may have primary market areas that are not entirely contained

within the planning area in which the facility is located.

5) Planning area boundaries can also be influenced by the following factors:

A) natural geographic boundaries;

B) political boundaries that affect the patterns of services;

C) transportation patterns and systems;

D) time and distance required to access service by area residents;

E) affiliations between health care facilities and other health care

entities that affect patterns of service;


18



F) trade and economic market patterns that influence the financing of

health care services;

G) the lack of existing health resources or services in an area;

H) referral patterns to obtain tertiary services;

I) the impact of reimbursement or managed care programs;

J) socio-economic factors such as but not limited to population

density, income level, or age characteristics.

6) Planning area boundaries may vary by category of service. HFSRB

recognizes that certain services (e.g., neonatal ICU, comprehensive

physical rehabilitation, selected organ transplantation, cardiac surgery,

etc.) may require a large population base in order to assure the provision

of quality care and to be cost effective.

7) Planning areas for the acute care categories of services of medical-

surgical/pediatrics, obstetrics and intensive care must contain a minimum

population of 40,000. This population base would be sufficient to support

a 100 bed hospital based upon a facility target occupancy of 80% and an

inpatient day use rate of 725 days per 1,000 population.

8) Planning areas for general long-term service must contain a minimum

population of 10,000. This population base would be sufficient to support

100 nursing care beds based upon a rate of 9 beds per 1,000 population

(projected 1997 statewide need divided by projected 1997 State

population) with a target occupancy of 90%.

9) HFSRB recognizes that some long-term care facilities may have a primary

market area that is not contained within the planning area in which the

facility is located. Placement in long-term care facilities may be

influenced by such factors as, but not limited to: location of next of kin or

relatives; seeking services of a specialized nature such as treatment for

various diseases or disabilities; or seeking services related to religious,

ethnic, or fraternal needs. Because of the significant degree of mobility

that is exercised in seeking long term care services, HFSRB shall not


18



allocate portions of a facility's beds and services to more than one

planning area.

d) DistanceNormal Travel Time Determinations

Normal travel radiusTravel Time for proposed projects shall be the time

determined by MapQuest, Inc. (MapQuest – www.mapquest.com) multiplied by

an adjustment factor that is based upon the location of the applicant facility.

1) For applicant facilities located in the Chicago Metropolitan counties of

Cook, DuPage, Lake, Will and KaneCity of Chicago, the radiusNormal

Travel Time shall be 10 milescalculated as MapQuest times 1.25.

2) For applicant facilities located in the counties of Kankakee, Grundy,

Kendall, DeKalb, McHenry, Winnebago, Champaign, Sangamon, Peoria,

Tazewell, Rock Island, Madison, Monroe and St. Clair Chicago

Metropolitan region, including counties of Cook (excluding Chicago),

DuPage, Will, Kendall, Kane, McHenry, Lake and Aux Sable Township

of Grundy County, plus the counties of Winnebago, Peoria, Sangamon and

Champaign,, the radiusNormal Travel Time shall be 17 milescalculated as

MapQuest times 1.15.

3) For applicant facilities located in any other area of the State, the

radiusNormal Travel Time shall be 21 milescalculated as MapQuest times

1.0.

e) Independent Travel Time Studies may be prepared and submitted in addition to

the information found in subsection (d)above to refine or supplement the

determination of the applicable radius,Normal Travel Time, provided that they are

conducted as follows:

1) The study is conducted by an engineering firm pre-qualified in traffic

studies by the Illinois Department of Transportation (IDOT) or prepared

by a professional engineer also certified by the Institute of Transportation

Engineers (ITE) as a Professional Traffic Operations Engineer (PTOE).

2) A 30-minute travel time radius from the applicant facility A Travel Time

shall consist of a minimum of three round trips for each defined survey

route.


18



3) No more than one third of the round trips shall start or conclude during a

rush hour period, i.e.:

Morning Peak Period: 6:30 AM-9:30 AM

Evening Peak Period: 3:30 PM-6:30 PM

4) The routes used for determining the travel timedetermination of Normal

Travel Time shall be reasonably direct.

5) Average travel time for a one-way trip will be considered.

6) All travel routes and calculations of the travel timeNormal Travel Time

are to be documented and sealed by the responsible professional engineer.

HFSRB NOTE: Calculations produced by MapQuest, Inc. have been used as a

basis for the above methodologies. MapQuest assumes vehicular travel at posted

speed limits, with some adjustment for number of intersections and turns. The

adjustment factors in subsection (d) are intended to reflect additional factors

related to density of population.



18


NOTICE OF ADOPTED REPEALER

1) Heading of the Part: Process, Classification Policies and Review Criteria



1110.10 Repealed

1110.40 Repealed

1110.130 Repealed

1110.210 Repealed

1110.230 Repealed

1110.234 Repealed

1110.235 Repealed

1110.240 Repealed

1110.530 Repealed

1110.630 Repealed

1110.730 Repealed

1110.910 Repealed

1110.920 Repealed

1110.930 Repealed

1110.1210 Repealed

1110.1220 Repealed

1110.1230 Repealed

1110.1310 Repealed

1110.1320 Repealed

1110.1330 Repealed

1110.1430 Repealed

1110.1530 Repealed

1110.1535 Repealed

1110.1540 Repealed

1110.2330 Repealed

1110.2430 Repealed

1110.2510 Repealed

1110.2530 Repealed

1110.2540 Repealed

1110.2550 Repealed

1110.2610 Repealed

1110.2630 Repealed

1110.2640 Repealed

1110.2650 Repealed


18



1110.2810 Repealed

1110.2830 Repealed

1110.2840 Repealed

1110.2850 Repealed

1110.2930 Repealed

1110.3030 Repealed

1110.3110 Repealed

1110.3130 Repealed

1110.3210 Repealed

1110.3230 Repealed

1110.APPENDIX A Repealed

1110.APPENDIX B Repealed

1110.APPENDIX C Repealed


5) Effective Date of Repealer: March 7, 2018



8) A copy of the adopted repealer, including any material incorporated by reference, is on

file in the Agency's principal office and is available for public inspection.



11) Differences between Proposal and Final Version: None


agreements issued by JCAR? No changes were made.


14) Are there any rulemakings pending on this Part? Yes


18



15) Summary and Purpose of Rulemaking: This Part is being repealed and replaced with a

new Part. In the new Part, the old repealed Sections will be removed and the remaining

sections renumbered. The new Part will have additional changes that will be detailed in

that Notice of Adopted Rules.

16) Information and questions regarding this adopted repealer shall be directed to:

Jeannie Mitchell

General Counsel



Chicago IL 60602

312/814-2678

[email protected]


18


NOTICE OF ADOPTED RULES

1) Heading of the Part: Process, Classification Policies and Review Criteria



1110.10 New Section

1110.20 New Section

1110.100 New Section






















1110.APPENDIX A New Section

1110.APPENDIX B New Section






18





9) Notice of Proposed published in Illinois Register: 41 Ill. Reg. 6140; June 2, 2017


11) Differences between Proposal and Final Version: Change the travel distance applicable

to End Stage Renal Disease projects. Change the classification of counties for the travel

distance determinations for End Stage Renal Disease projects. Reinstate the types of

discontinuation projects that are classified as substantive projects. Retain independent

travel time studies for the Acute Mental Illness/Chronic Mental Illness category of

service. Made non-substantive, technical changes throughout the Part.


agreements issued by JCAR? Yes


14) Are there any other rulemakings pending on this Part? Yes, a repeal of the old Part.

15) Summary and Purpose of Rulemaking: This new Part replaces the old Part in order to

remove previously repealed and outdated Sections. Remaining Sections are renumbered

and reorganized. The following additional changes were made:

Change from using normal travel time to distance for applicable review criteria.

Update the types of projects that are eligible for emergency review classification.

Update the impact statement requirement to require that applicants submit copies of

letters they sent to area providers to notify the area providers of the applicants’

discontinuation.

Require applicants to describe how a discontinuation will impact access.

Remove the section for changes of ownership, mergers and consolidations permit review

criteria.


18



Move the Background of Applicant requirement from the individual review criteria for

each category of service to the General Requirements section. Also, expand the list of

exceptions for meeting the size of project criterion.

Delete the definitions for Neonatal Intensive Care, Open Heart Surgery and Cardiac

Catheterization categories of service because they are located in Part 1100. Also, update

the review criteria for the neonatal intensive care category of service.

Remove the requirement that applicants have to provide letters of interest from

prospective staff members, completed applications for employment, and contracts for

applicable criteria. Remove the personnel qualifications criteria for the comprehensive

physical rehabilitation beds category of service.

Clarify that this Part only applies to projects that require a permit with the exception of

projects that only propose a discontinuation or only fall under the long-term care category

of service.


Jeannie Mitchell

General Counsel



Chicago IL 60602

312/814-2678

[email protected]

The full text of the Adopted Rules begins on the next page:


18





SUBCHAPTER a: ILLINOIS HEALTH CARE FACILITIES PLAN

PART 1110

PROCESSING, CLASSIFICATION POLICIES AND REVIEW CRITERIA

SUBPART A: APPLICABILITY; PROJECT CLASSIFICATION

Section

1110.10 Introduction; Definition of Terms; Referenced Statutes

1110.20 Classification of Projects

SUBPART B: INTRODUCTION; GENERAL INFORMATION;

GENERAL REVIEW CRITERIA

Section


1110.110 Background of the Applicant, Purpose of Project, Safety Net Impact Statement

and Alternatives – Information Requirements

1110.120 Project Scope and Size, Utilization and Unfinished/Shell Space – Review Criteria

1110.130 Additional General Review Criteria for Master Design and Related Projects Only

SUBPART C: CATEGORY OF SERVICE REVIEW CRITERIA

Section

1110.200 Medical/Surgical, Obstetric, Pediatric and Intensive Care

1110.205 Comprehensive Physical Rehabilitation Beds

1110.210 Acute Mental Illness and Chronic Mental Illness

1110.215 Neonatal Intensive Care

1110.220 Open Heart Surgery

1110.225 Cardiac Catheterization

1110.230 In-Center Hemodialysis Projects

1110.235 Non-Hospital Based Ambulatory Surgical Treatment Center Services

1110.240 Selected Organ Transplantation

1110.245 Kidney Transplantation

1110.250 Subacute Care Hospital Model

1110.255 Postsurgical Recovery Care Center Alternative Health Care Model

1110.260 Community-Based Residential Rehabilitation Center Alternative Health Care


18



Model

1110.265 Long Term Acute Care Hospital Bed Projects

1110.270 Clinical Service Areas Other Than Categories of Service

1110.275 Birth Center − Alternative Health Care Model

1110.280 Freestanding Emergency Center Medical Services

1110.290 Discontinuation – Review Criteria

1110.APPENDIX A ASTC Services

1110.APPENDIX B State Guidelines − Square Footage and Utilization

AUTHORITY: Authorized by Section 12 of, and implementing, the Illinois Health Facilities

Planning Act [20 ILCS 3960] and the Alternative Health Care Delivery Act [210 ILCS 3].

SOURCE: Fourth Edition adopted at 3 Ill. Reg. 30, p. 194, effective July 28, 1979; amended at 4

Ill. Reg. 4, p. 129, effective January 11, 1980; amended at 5 Ill. Reg. 4895, effective April 22,

1981; amended at 5 Ill. Reg. 10297, effective September 30, 1981; amended at 6 Ill. Reg. 3079,

effective March 8, 1982; emergency amendments at 6 Ill. Reg. 6895, effective May 20, 1982, for

a maximum of 150 days; amended at 6 Ill. Reg. 11574, effective September 9, 1982; Fifth

Edition adopted at 7 Ill. Reg. 5441, effective April 15, 1983; amended at 8 Ill. Reg. 1633,

effective January 31, 1984; codified at 8 Ill. Reg. 18498; amended at 9 Ill. Reg. 3734, effective

March 6, 1985; amended at 11 Ill. Reg. 7333, effective April 1, 1987; amended at 12 Ill. Reg.

16099, effective September 21, 1988; amended at 13 Ill. Reg. 16078, effective September 29,

1989; emergency amendments at 16 Ill. Reg. 13159, effective August 4, 1992, for a maximum of

150 days; emergency expired January 1, 1993; amended at 16 Ill. Reg. 16108, effective October

2, 1992; amended at 17 Ill. Reg. 4453, effective March 24, 1993; amended at 18 Ill. Reg. 2993,

effective February 10, 1994; amended at 18 Ill. Reg. 8455, effective July 1, 1994; amended at 19

Ill. Reg. 2991, effective March 1, 1995; emergency amendment at 19 Ill. Reg. 7981, effective

May 31, 1995, for a maximum of 150 days; emergency expired October 27, 1995; emergency

amendment at 19 Ill. Reg. 15273, effective October 20, 1995, for a maximum of 150 days;

recodified from the Department of Public Health to the Health Facilities Planning Board at 20 Ill.

Reg. 2600; amended at 20 Ill. Reg. 4734, effective March 22, 1996; amended at 20 Ill. Reg.

14785, effective November 15, 1996; amended at 23 Ill. Reg. 2987, effective March 15, 1999;

amended at 24 Ill. Reg. 6075, effective April 7, 2000; amended at 25 Ill. Reg. 10806, effective

August 24, 2001; amended at 27 Ill. Reg. 2916, effective February 21, 2003; amended at 32 Ill.

Reg. 12332, effective July 18, 2008; amended at 33 Ill. Reg. 3312, effective February 6, 2009;

amended at 34 Ill. Reg. 6121, effective April 13, 2010; amended at 35 Ill. Reg. 16989, effective

October 7, 2011; amended at 36 Ill. Reg. 2569, effective January 31, 2012; amended at 38 Ill.

Reg. 8861, effective April 15, 2014; amended at 39 Ill. Reg. 13659, effective October 2, 2015;


18



former Part repealed at 42 Ill. Reg. 5444, and new Part adopted at 42 Ill. Reg. 5447, effective

March 7, 2018.

SUBPART A: APPLICABILITY; PROJECT CLASSIFICATION;

DISCONTINUATION OF CATEGORY OF SERVICE

Section 1110.10 Introduction; Definition of Terms; Referenced Statutes

a) Introduction

An application for permit shall be made to the Health Facilities and Services

Review Board (HFSRB) and shall contain such information as HFSRB deems

necessary [20 ILCS 3960/6]. The applicant is responsible for addressing all

pertinent review criteria that relate to the scope of a construction or modification

project or to a project for the acquisition of major medical equipment. Applicable

review criteria may include, but are not limited to, general review criteria,

discontinuation, category of service criteria, and financial and economic

feasibility criteria. Applications for permits shall be processed, classified and

reviewed in accordance with all applicable HFSRB rules. HFSRB shall consider a

project's conformance with all applicable review criteria in evaluating

applications and in determining whether a permit should be issued.

b) Definition of Terms

Definitions pertaining to this Part are contained in the Act, 77 Ill. Adm. Code

1100 and 1130, and various Sections of this Part. HFSRB's operational rules

relating to the processing and review of applications for permit are contained in

77 Ill. Adm. Code 1130.

c) Referenced Statutes

1) Illinois Statutes

Alternative Health Care Delivery Act [210 ILCS 3]

Ambulatory Surgical Treatment Center Act [210 ILCS 5]

Clinical Social Work and Social Work Practice Act [225 ILCS 20]

Community Benefits Act [210 ILCS 76]


18



Dietitian Nutritionist Practice Act [225 ILCS 30]

Emergency Medical Services (EMS) Systems Act [210 ILCS 50]

End Stage Renal Disease Facility Act [210 ILCS 62]

Hospital Licensing Act [210 ILCS 85]

Illinois Administrative Procedure Act [5 ILCS 100]

Illinois Health Facilities Planning Act [20 ILCS 3960]

Nursing Home Care Act [210 ILCS 45]

2) Federal Statutes

Public Health Service Act (42 USC 254E)

Social Security Act – Title XVIII (42 USC 1395)

Social Security Act – Title XIX (42 USC 1396)

Social Security Act Amendments of 1982 (PL 92-603) (42 USC 1329)

Section 1110.20 Classification of Projects

When an application for permit has been received by HFSRB, the Administrator shall classify

the project into one of the following classifications:

a) Emergency Review Classification

1) An emergency review classification applies only to those construction or

modification projects that affect the inpatient or outpatient operation of a

health care facility and are necessary because one or more of the following

conditions exist:

A) An imminent threat to the structural integrity of the building;


18



B) An imminent threat to the safe operation and functioning of the

mechanical, electrical or comparable systems of the building; or

C) Other hazardous conditions that may harm or injure persons using

the facility. [20 ILCS 3960/12(9)]

2) Applications classified as emergency will be reviewed for conformance

with the following review criteria:

A) Documentation has been provided that verifies the existence of at

least one of the conditions specified in subsection (a)(1);

B) Failure to proceed immediately with the project would result in

closure or impairment of the inpatient operation of the facility; and

C) The emergency conditions did not exist longer than 30 days prior

to the receipt of the application for permit.

3) Further details concerning the process for emergency applications are

provided in 77 Ill. Adm. Code 1130.610.

b) Non-Substantive Review Classification

Non-substantive projects are those construction or modification projects that are

not classified as substantive or emergency. Applications classified as non-

substantive will be reviewed for conformance with the applicable review criteria

in this Part.

c) Substantive Review Classification

1) Substantive projects shall include no more than the following:

A) Projects to construct:

i) A new or replacement facility located on a new site; or

ii) A replacement facility located on the same site as the

original facility and the cost of the replacement facility

exceeds the capital expenditure minimum, which shall be

reviewed by the Board within 120 days;


18



B) Projects proposing:

i) Establishment of a category of service within an existing

health care facility; or

ii) Discontinuation of a category of service within an existing

healthcare facility or discontinuation of a health care

facility.

C) Projects that involve more than 20 beds, or more than 10% of

total bed capacity, as defined by HFSRB, whichever is less, over a

2-year period, and propose a change in the bed capacity of a health

care facility by:

i) An increase in the total number of beds;

ii) A redistribution of beds among various categories of

service; or

iii) A relocation of beds from one physical facility or site to

another. [20 ILCS 3960/12(8)]

2) Applications classified as substantive will be reviewed for conformance

with all applicable review criteria contained in this Part.

d) Classification Appeal

Appeal of any classification may be made to HFSRB at the next scheduled

meeting following the date of the Administrator's determination.

SUBPART B: INTRODUCTION; GENERAL INFORMATION;

GENERAL REVIEW CRITERIA

Section 1110.100 Introduction

a) This Subpart contains the Information Requirements and Review Criteria that

apply in total or in part to all projects that require a permit, (with the exception of

projects solely involving discontinuation and long term care), including:


18



1) Purpose of Project, Safety Net Impact Statement and Alternatives −

Information Requirements;

2) Project Scope and Size, Utilization and Unfinished/Shell Space Review

Criteria.

b) Each required point of information is intended to provide HFSRB with an

overview of the need for a proposed project. HFSRB shall consider a project's

conformance with the applicable information requirements contained in this

Subpart, as well as a project's conformance with all applicable review criteria

indicated in subsection (c), to determine whether sufficient project need has been

documented to issue a Certificate of Need (CON) permit.

c) The review criteria to be addressed (as required) are contained in the following

Parts and Subparts:

1) Section 1110.120 contains review criteria concerning Project Scope and

Size, Utilization and Unfinished Shell Space, and Section 1110.270

contains review criteria concerning Clinical Service Areas Other Than

Categories of Service;

2) Subpart C contains service specific review criteria that shall be addressed,

as applicable, to the category of service included in a proposed project;

3) 77 Ill. Adm. Code 1120 contains review criteria pertaining to financial and

economic feasibility;

4) 77 Ill. Adm. Code 1130 contains the CON operational requirements that

may be applicable to a proposed project; and

5) An application for a permit or exemption shall be made to HFSRB upon

forms provided by HFSRB. This application shall contain such

information as HFSRB deems necessary. [20 ILCS 3960/6]

d) Definitions for Subparts B and C are contained in the Act, in 77 Ill. Adm. Code

1100.220 and throughout this Part.

Section 1110.110 Background of the Applicant, Purpose of Project, Safety Net Impact

Statement, and Alternatives − Information Requirements


18



The information requirements contained in this Section are applicable to all projects except

projects that are solely for discontinuation. An applicant shall document the qualifications,

background, character and financial resources to adequately provide a proper service for the

community and also demonstrate that the project promotes the orderly and economic

development of health care facilities in the State of Illinois that avoids unnecessary duplication

of facilities or service. [20 ILCS 3960/2]

a) Background of Applicant – Review Criteria

1) An applicant must demonstrate that it is fit, willing and able, and has the

qualifications, background and character to adequately provide a proper

standard of health care service for the community. [20 ILCS 3960/6] In

evaluating the qualifications, background and character of the applicant,

HFSRB shall consider whether adverse action has been taken against the

applicant, including corporate officers or directors, LLC members,

partners, and owners of at least 5% of the proposed health care facility, or

against any health care facility owned or operated by the applicant,

directly or indirectly, within 3 years preceding the filing of the application.

A health care facility is considered "owned or operated" by every person

or entity that owns, directly or indirectly, an ownership interest. If any

person or entity owns any option to acquire stock, the stock shall be

considered to be owned by that person or entity (see 77 Ill. Adm. Code

1100 and 1130 for definitions of terms such as "adverse action",

"ownership interest" and "principal shareholder").

EXAMPLES:

Examples of facilities owned or operated by an applicant include:

The applicant, Partnership ABC, owns 60% of the shares of

Corporation XYZ, which manages the Good Care Nursing Home

under a management agreement. The applicant, Partnership ABC,

owns or operates Good Care Nursing Home.

The applicant, Healthy Hospital, a corporation, is a subsidiary of

Universal Health, the parent corporation of Healthcenter

Ambulatory Surgical Treatment Center (ASTC), its wholly-owned


18



subsidiary. The applicant, Healthy Hospital, owns and operates

Healthcenter ASTC.

Dr. Wellcare is the applicant. His wife is the director of a

corporation that owns a hospital. The applicant, Dr. Wellcare,

owns or operates the hospital.

Drs. Faith, Hope and Charity own 40%, 35% and 10%,

respectively, of the shares of Healthfair, Inc., a corporation, that is

the applicant. Dr. Charity owns 45% and Drs. Well and Care each

own 25% of the shares of XYZ Nursing Home, Inc. The applicant,

Healthfair, Inc., owns and operates XYZ Nursing Home, Inc.

2) The applicant shall submit the following information:

A) A listing of all health care facilities currently owned and/or

operated by the applicant in Illinois or elsewhere, including

licensing, certification and accreditation identification numbers, as

applicable;

B) A listing of all health care facilities currently owned and/or

operated in Illinois, by any corporate officers or directors, LLC

members, partners, or owners of at least 5% of the proposed health

care facility;

C) A certified listing from the applicant of any adverse action taken

against any facility owned and/or operated by the applicant during

the 3 years prior to the filing of the application;

D) A certified listing of each applicant, corporate officer or director,

LLC member, partner and owner of at least 5% of the proposed

facility, identifying those individuals that have been:

i) cited, arrested, taken into custody, charged with, indicted,

convicted or tried for, or pled guilty to the commission of

any felony or misdemeanor or violation of the law, except

for minor parking violations; or


18



ii) the subject of any juvenile delinquency or youthful

offender proceeding;

E) Unless convictions have been expunged, all convictions shall be

detailed in writing and any police or court records regarding any

matters disclosed shall be submitted for HFSRB's consideration;

F) A certified listing of each applicant, corporate officer or director,


facility who has been charged with fraudulent conduct or any act

involving moral turpitude. Any such matter shall be disclosed in

detail;

G) A certified listing of each applicant, corporate officer or director,


facility who has any unsatisfied judgments against him or her;

H) A certified listing of each applicant, corporate officer or director,


facility. Any matter shall be discussed in detail;

I) A certified listing of each applicant, corporate officer or director,


facility who is in default in the performance or discharge of any

duty or obligation imposed by a judgment, decree, order or

directive of any court or governmental agency. Any matter shall

be discussed in detail;

J) Authorization permitting HFSRB and IDPH access to any

documents necessary to verify the information submitted,

including, but not limited to: official records of IDPH or other

State agencies; the licensing or certification records of other states,

when applicable; and the records of nationally recognized

accreditation organizations. Failure to provide the authorization

shall constitute an abandonment or withdrawal of the application

without any further action by HFSRB. Any fees paid will be

forfeited.


18



3) If, during a given calendar year, an applicant submits more than one

application for permit, the documentation provided with the prior

applications may be utilized to fulfill the requirements of this subsection

(a). In these instances, the applicant shall attest that the information has

been previously provided, cite the project number of the prior application,

and certify that no changes have occurred regarding the information that

has been previously provided. The applicant is able to submit

amendments to previously submitted information, as needed to update

and/or clarify data.

4) The documentation for the Background of the Applicant is required one

time per application, regardless of the number of categories of service

involved in a proposed project.

b) Purpose of the Project – Information Requirements

The applicant shall document that the project will provide health services that

improve the health care or well-being of the market area population to be served.

The applicant shall define the planning area or market area, or other, per the

applicant's definition.

1) The applicant shall address the purpose of the project, i.e., identify the

issues or problems that the project is proposing to address or solve.

Information to be provided shall include, but is not limited to,

identification of existing problems or issues that need to be addressed, as

applicable and appropriate for the project. Examples of such information

include:

A) The area's demographics or characteristics (e.g., rapid area growth

rate, increased aging population, higher or lower fertility rates) that

may affect the need for services in the future;

B) The population's morbidity or mortality rates;

C) The incidence of various diseases in the area;

D) The population's financial ability to access health care (e.g.,

financial hardship, increased number of charity care patients,

changes in the area population's insurance or managed care status);


18



E) The physical accessibility to necessary health care (e.g., new

highways, other changes in roadways, changes in bus/train routes

or changes in housing developments).

2) The applicant shall cite the source of the information (e.g., local health

department Illinois Project for Local Assessment of Need (IPLAN)

documents, Public Health Futures, local mental health plans, or other

health assessment studies from governmental or academic and/or other

independent sources).

3) The applicant shall detail how the project will address or improve the

previously referenced issues, as well as the population's health status and

well-being. Further, the applicant shall provide goals with quantified and

measurable objectives with specific time frames that relate to achieving

the stated goals.

4) For projects involving modernization, the applicant shall describe the

conditions being upgraded. For facility projects, the applicant shall

include statements of age and condition and any regulatory citations. For

equipment being replaced, the applicant shall also include repair and

maintenance records.

c) Safety Net Impact Statement – Information Requirements

All health care facilities, with the exception of skilled and intermediate long term

care facilities licensed under the Nursing Home Care Act, shall provide a safety

net impact statement, which shall be filed with an application for a substantive

project (see Section 1110.40). Safety net services are the services provided by

health care providers or organizations that deliver health care services to persons

with barriers to mainstream health care due to lack of insurance, inability to pay,

special needs, ethnic or cultural characteristics, or geographic isolation. [20

ILCS 3960/5.4]

1) A safety net impact statement shall describe, if reasonably known by the

applicant, all of the following information:

A) The project's material impact, if any, on essential safety net

services in the community;


18



B) The project's impact on the ability of another provider or health

care system to cross-subsidize safety net services; and

C) How the discontinuation of a facility or service might impact the

remaining safety net providers in a given community.

2) A safety net impact statement shall also include all of the following:

A) Certification describing the amount of charity care provided by the

applicant for the 3 fiscal years prior to submission of the

application. The amount calculated by hospital applicants shall be

in accordance with the reporting requirements in the Illinois

Community Benefits Act. Non-hospital applicants shall report

charity care, at cost, in accordance with an appropriate

methodology specified by the Board. (See 77 Ill. Adm. Code

1120.20(c).)

B) Certification describing the amount of care provided to Medicaid

patients for the 3 fiscal years prior to submission of the application.

Hospital and non-hospital applicants shall provide Medicaid

information consistent with data reported in IDPH's Inpatients and

Outpatients Served by Payor Source and Inpatient and Outpatient

Revenue by Payor Source.

C) Any information the applicant believes is directly relevant to safety

net services, including information regarding teaching, research,

and any other service. [20 ILCS 3960/5.4(d)(3)]

3) Safety Net Impact Statement Response

A) Any person, community organization, provider or health system or

other entity wishing to comment upon or oppose the application

may file a safety net impact statement response with the Board,

which shall provide additional information concerning a project's

impact on the safety net services in the community. [20 ILCS

3960/5.4(f)]

B) Applicants shall be provided an opportunity to submit a reply to

any safety net impact statement response. [20 ILCS 3960/5.4(g)]


18



4) HFSRB State Board Staff Report

The HFSRB State Board Staff Report shall indicate:

A) Whether a safety net impact statement was filed by the applicant;

B) Whether the safety net impact statement included information on

charity care, the amount of care provided to Medicaid patients,

and information on teaching research, or any other service

provided by the applicant that is directly relevant to safety net

services [20 ILCS 3960/5.4(h)]; and

C) Names of the parties submitting responses and the number of

responses and replies, if any, that were filed [20 ILCS

3960/5.4(h)].

d) Alternatives to the Proposed Project – Information Requirements

The applicant shall document that the proposed project is the most effective or

least costly alternative for meeting the health care needs of the population to be

served by the project.

1) Alternative options shall be addressed. Examples of alternative options

include:

A) Proposing a project of greater or lesser scope and cost;

B) Pursuing a joint venture or similar arrangement with one or more

providers or entities to meet all or a portion of the project's

intended purposes; developing alternative settings to meet all or a

portion of the project's intended purposes;

C) Utilizing other health care resources that are available to serve all

or a portion of the population proposed to be served by the project;

and

D) Other considerations.

2) Documentation shall consist of a comparison of the project to alternative

options. The comparison shall address issues of cost, patient access,


18



quality and financial benefits in both the short term (within one to 3 years

after project completion) and long term. This may vary by project or

situation.

3) The applicant shall provide empirical evidence, including quantified

outcome data, that verifies improved quality of care, as available.

Section 1110.120 Project Scope and Size, Utilization and Unfinished/Shell Space − Review

Criteria

a) Size of Project – Review Criteria

1) The applicant shall document that the physical space proposed for the

project is necessary and appropriate. The proposed square footage cannot

deviate from the square footage range indicated in Appendix B, or exceed

the square footage standard in Appendix B if the standard is a single

number, unless square footage can be justified by documenting, as

described in subsection (a)(2).

2) If the project square footage is outside the standards in Appendix B, the

applicant shall submit architectural floor plans (see HFSRB NOTE) of the

project identifying all clinical service areas and those clinical service areas

or components of those areas that do not conform to the standards. The

applicant shall submit documentation of one or more of the following:

A) The proposed space is appropriate and neither excessive nor

deficient in relation to the scope of services provided, as justified

by clinical or operational needs; supported by published data or

studies, as available; and certified by the facility's Medical

Director; or

B) The existing facility's physical configuration has constraints that

require an architectural design that exceeds the standards of

Appendix B, as documented by architectural drawings delineating

the constraints or impediments, in accordance with this subsection

(a); or


18



C) Additional space is mandated by governmental or certification

agency requirements that were not in existence when the Appendix

B standards were adopted; or

D) The project involves the conversion of existing space that results in

excess square footage.

HFSRB NOTE: Architectural floor plans submitted shall identify clinical

service areas or components and shall designate the areas in square

footage. Architectural floor plans must be of sufficient accuracy and

format to allow measurement. Format may be either a digital drawing

format (.dwg file or equivalent) or a measurable paper copy 1/16 scale or

larger.

b) Project Services Utilization − Review Criterion

The applicant shall document that, by the end of the second year of operation, the

annual utilization of the clinical service areas or equipment shall meet or exceed

the utilization standards specified in Appendix B. The number of years projected

shall not exceed the number of historical years documented. If the applicant does

not meet the utilization standards in Appendix B, or if service areas do not have

utilization standards in 77 Ill. Adm. Code 1100, the applicant shall justify its own

utilization standard by providing published data or studies, as applicable and

available from a recognized source, that minimally include the following:

1) Clinical encounter times for anticipated procedures in key rooms (for

example, procedure room, examination room, imaging room);

2) Preparation and clean-up times, as appropriate;

3) Operational availability (days/year and hours/day, for example 250

days/year and 8 hours/day); and

4) Other operational factors.

c) Size of the Project and Utilization:

For clinical service areas for which norms are not listed in Appendix B (for

example, central sterile supply, laboratory, occupational therapy, pharmacy,

physical therapy, respiratory therapy, cardiac rehabilitation, speech pathology and


18



audiology), the applicant shall document that the proposed departmental gross

square footage is necessary and appropriate. The documentation shall consist of:

1) Basis for the determination of the space (for example, key rooms,

equipment, personnel, utilization, etc.); and

2) Methodology applied.

d) Unfinished or Shell Space − Review Criterion

If the project includes unfinished space (i.e., shell space) that is to meet an

anticipated future demand for service, the applicant shall document that the

amount of shell space proposed for each department or clinical service area is

justified, and that the space will be consistent with the standards of Appendix B as

stated in subsections (a) and (b). The applicant shall provide the following

information:

1) The total gross square footage of the proposed shell space;

2) The anticipated use of the shell space, specifying the proposed SF to be

allocated to each department, area or function;

3) Evidence that the shell space is being constructed due to:

A) Requirements of governmental or certification agencies; or

B) Experienced increases in the historical occupancy or utilization of

those departments, areas or functions proposed to occupy the shell

space. The applicant shall provide the historical utilization for the

department, area or function for the latest 5-year period for which

data are available, and, based upon the average annual percentage

increase for that period, project the future utilization of the

department, area or function through the anticipated date when the

shell space will be placed into operation.

e) Assurances

The applicant shall submit the following:

1) The applicant representative who signs the CON application shall submit a

signed and dated statement attesting to the applicant's understanding that,


18



by the end of the second year of operation after project completion, the

applicant will meet or exceed the utilization standards specified in

Appendix B.

2) For shell space, the applicant shall submit the following:

A) Verification that the applicant will submit to HFSRB a CON

application to develop and utilize the shell space, regardless of the

capital thresholds in effect at that time or the categories of service

involved;

B) The anticipated date by which the subsequent CON application (to

develop and utilize the subject shell space) will be submitted; and

C) The estimated date when the shell space will be completed and

placed into operation.

Section 1110.130 Additional General Review Criteria for Master Design and Related

Projects Only

a) System Impact of Master Plan. The applicant must document that the proposed

master plan or future construction or modification projects will have a positive

impact on the health care delivery system of the planning area in terms of

improved access, long term institutional viability, and availability of services.

Documentation shall address:

1) the availability of alternative health care facilities within the planning area

and the impact the applicant's proposed future projects will have on the

utilization of those facilities;

2) how the services proposed in the applicant's future projects will improve

access to area residents;

3) what the potential impact on area residents would be if the proposed

services were not to be replaced or developed; and

4) the anticipated role of the facility in the delivery system, including

anticipated patterns of patient referral and any contractual or referral

agreement between the applicant and other providers that will result in the


18



transfer of patients to the applicant's facility.

b) Master Plan or Related Future Projects – Review Criterion

The applicant must document that all beds and services to be developed pursuant

to the master design project must be needed and that access to each service will be

improved as a result of the proposed master plan or the construction or

modification projects. The applicant must indicate anticipated completion dates

for the future construction or modification projects, and document:

1) that:

A) the proposed number of beds and services to be developed

pursuant to the master design project must be consistent with the

bed or service need determination of 77 Ill. Adm. Code 1100; or

B) if bed or service need determinations do not support the proposed

number of beds and services, there are existing factors that support

the need for that development at the time of project completion.

These factors include, but are not limited to:

i) limitations on governmental funded or charity patients that

are expected to continue;

ii) restrictive admission policies of existing planning area

health care facilities that are expected to continue;

iii) the planning area population is projected to exhibit

indicators of medical care problems, such as average family

income below poverty levels or projected high infant

mortality; and

2) utilization of the proposed beds and services will meet or exceed the

utilization targets established in 77 Ill. Adm. Code 1100 within 2 years

after completion of the future construction or modification projects.

Documentation shall include:

A) historical service/bed utilization levels;

B) projected trends in utilization, including the rationale and


18



projection assumptions used in those projections;

C) anticipated market factors such as referral patterns or changes in

population characteristics (age, density, wellness) that would

support utilization projections; and

D) anticipated changes in the delivery of the service due to changes in

technology, care delivery techniques or physician availability that

would support the projected utilization levels.

c) Relationship to Previously Approved Master Design Projects – Review Criterion

1) The applicant must document that any construction or modification project

submitted pursuant to an approved master design project is consistent with

the approved design permit. When the construction or modification

represents a single phase of a multiple phase master plan, the applicant

must document that the proposed phase is consistent with the approved

master plan, and that any elements that will be utilized to support

additional phases are justified under the approved master design permit.

Documentation shall consist of:

A) schematic architectural plans for all construction or modification

approved in the master design permit;

B) the estimated project cost for the proposed project and also for the

total construction/modification project approved in the master

design permit;

C) an item by item comparison of the construction elements (i.e., site,

number of buildings, number of floors, etc.) in the proposed

project to the approved master design permit; and

D) a comparison of proposed beds and services to those approved

under the master design permit.

2) Approval of a proposed construction or modification project that is but

one phase in a multiple phase project does not obligate approval or

positive findings on construction or modification projects in future phases.

Future applications, including those involving the replacement or addition


18



of beds, are subject to the review criteria and bed need in effect at the time

of State Board review.

SUBPART C: CATEGORY OF SERVICE REVIEW CRITERIA

Section 1110.200 Medical/Surgical, Obstetric, Pediatric and Intensive Care

a) Introduction

1) This Section applies to projects involving the following categories of

hospital bed services: Medical/Surgical; Obstetrics; Pediatrics; and

Intensive Care. Applicants proposing to establish, expand or modernize a

category of hospital bed service shall comply with the applicable

subsections of this Section, as follows:

PROJECT TYPE REQUIRED REVIEW CRITERIA

Establishment of

Services or Facility

(b)(1) − Planning Area Need – 77 Ill. Adm.

Code 1100 (formula calculation)

(b)(2) − Planning Area Need – Service to

Planning Area Residents

(b)(3) − Planning Area Need – Service

Demand − Establishment of

Category of Service

(b)(5) − Planning Area Need − Service

Accessibility

(c)(1) − Unnecessary Duplication of Services

(c)(2) − Maldistribution

(c)(3) − Impact of Project on Other Area

Providers

(e) − Staffing Availability

(f) − Performance Requirements

(g) − Assurances

Expansion of

Existing Services




Demand – Expansion of Existing

Category of Service



18




(g) − Assurances

Category of Service

Modernization

(d)(1) & (2)

& (3)

− Deteriorated Facilities

(d)(4) − Occupancy


2) If the proposed project involves the replacement of a hospital or service

onsite, the applicant shall comply with the requirements listed in

subsection (a)(1) (Category of Service Modernization) plus subsection (g)

(Assurances).

3) If the proposed project involves the replacement of a hospital or service on

a new site, the applicant shall comply with the requirements of subsection

(a)(1) (Establishment of Services or Facility).


(onsite or new site), the number of beds being replaced shall not exceed

the number justified by historical occupancy rates for each of the latest 2

years, unless additional beds can be justified per the criteria for Expansion

of Existing Services.

b) Planning Area Need − Review Criterion

The applicant shall document that the number of beds to be established or added

is necessary to serve the planning area's population, based on the following:

1) 77 Ill. Adm. Code 1100 (formula calculation)

A) The number of beds to be established for each category of service

is in conformance with the projected bed deficit specified in 77 Ill.

Adm. Code 1100, as reflected in the latest updates to the Inventory.

B) The number of beds proposed shall not exceed the number of the

projected deficit, to meet the health care needs of the population

served, in compliance with the occupancy standard specified in 77

Ill. Adm. Code 1100.

2) Service to Planning Area Residents


18



A) Applicants proposing to establish or add beds shall document that

the primary purpose of the project will be to provide necessary

health care to the residents of the area in which the proposed

project will be physically located (i.e., the planning or

geographical service area, as applicable), for each category of

service included in the project.

B) Applicants proposing to add beds to an existing category of service

shall provide patient origin information for all admissions for the

last 12-month period, verifying that at least 50% of admissions

were residents of the area. For all other projects, applicants shall

document that at least 50% of the projected patient volume will be

from residents of the area.

C) Applicants proposing to expand an existing category of service

shall submit patient origin information by zip code, based upon the

patient's legal residence (other than a health care facility).

3) Service Demand – Establishment of Bed Category of Service

The number of beds proposed to establish a new category of service is

necessary to accommodate the service demand experienced annually by

the existing applicant facility over the latest 2-year period, as evidenced by

historical and projected referrals, or, if the applicant proposes to establish

a new hospital, the applicant shall submit projected referrals. The

applicant shall document subsection (b)(3)(A) and either subsection

(b)(3)(B) or (C):

A) Historical Referrals

If the applicant is an existing facility, the applicant shall document

the number of referrals to other facilities, for each proposed

category of service, for each of the latest 2 years. Documentation

of the referrals shall include: patient origin by zip code; name and

specialty of referring physician; name and location of the recipient

hospital.

B) Projected Referrals

An applicant proposing to establish a category of service or

establish a new hospital shall submit the following:


18



i) Physician referral letters that attest to the physician's total

number of patients (by zip code of residence) who have

received care at existing facilities located in the area during

the 12-month period prior to submission of the application;

ii) An estimated number of patients the physician will refer

annually to the applicant's facility within a 24-month period

after project completion. The anticipated number of

referrals cannot exceed the physician's documented

historical caseload;

iii) The physician's notarized signature, the typed or printed

name of the physician, the physician's office address, and

the physician's specialty; and

iv) Verification by the physician that the patient referrals have

not been used to support another pending or approved CON

application for the subject services.

C) Project Service Demand − Based on Rapid Population Growth

If a projected demand for service is based upon rapid population

growth in the applicant facility's existing market area (as

experienced annually within the latest 24-month period), the

projected service demand shall be determined as follows:

i) The applicant shall define the facility's market area based

upon historical patient origin data by zip code or census

tract;

ii) Population projections shall be produced, using, as a base,

the population census or estimate for the most recent year,

for county, incorporated place, township or community

area, by the U.S. Census Bureau or IDPH;

iii) Projections shall be for a maximum period of 10 years from

the date the application is submitted;

iv) Historical data used to calculate projections shall be for a

number of years no less than the number of years projected;


18



v) Projections shall contain documentation of population

changes in terms of births, deaths, and net migration for a

period of time equal to, or in excess of, the projection

horizon;

vi) Projections shall be for total population and specified age

groups for the applicant's market area, as defined by

HFSRB, for each category of service in the application; and

vii) Documentation on projection methodology, data sources,

assumptions and special adjustments shall be submitted to

HFSRB.

4) Service Demand – Expansion of Existing Category of Service

The number of beds to be added for each category of service is necessary

to reduce the facility's experienced high occupancy and to meet a

projected demand for service. The applicant shall document subsection

(b)(4)(A) and either subsection (b)(4)(B) or (C):

A) Historical Service Demand

i) An average annual occupancy rate that has equaled or

exceeded occupancy standards for the category of service,

as specified in 77 Ill. Adm. Code 1100, for each of the

latest 2 years;

ii) If patients have been referred to other facilities in order to

receive the subject services, the applicant shall provide

documentation of the referrals, including: patient origin by

zip code; name and specialty of referring physician; and

name and location of the recipient hospital, for each of the

latest 2 years.


The applicant shall provide the following:




18








referrals cannot exceed the physician's experienced

caseload. The percentage of project referrals used to justify

the proposed expansion cannot exceed the historical

percentage of applicant market share within a 24-month

period after project completion;

iii) Each referral letter shall contain the physician's notarized

signature, the typed or printed name of the physician, the

physician's office address and the physician's specialty; and




C) Projected Service Demand – Based on Rapid Population Growth:







tract;








18






changes in terms of births, deaths and net migration for a

period of time equal to or in excess of the projection

horizon;






HFSRB.

5) Service Accessibility

The number of beds being established or added for each category of

service is necessary to improve access for planning area residents. The

applicant shall document the following:

A) Service Restrictions

The applicant shall document that at least one of the following

factors exists in the planning area:

i) The absence of the proposed service within the planning

area;

ii) Access limitations due to payor status of patients,

including, but not limited to, individuals with health care

coverage through Medicare, Medicaid, managed care or

charity care;

iii) Restrictive admission policies of existing providers;

iv) The area population and existing care system exhibit

indicators of medical care problems, such as an average

family income level below the State average poverty level,

high infant mortality, or designation by the Secretary of


18



Health and Human Services as a Health Professional

Shortage Area, a Medically Underserved Area, or a

Medically Underserved Population;

v) For purposes of this subsection (b)(5) only, all services

within the established radii outlined in 77 Ill. Adm. Code

1100.510(d) meet or exceed the utilization standard

specified in 77 Ill. Adm. Code 1100.

B) Supporting Documentation

The applicant shall provide the following documentation, as

applicable, concerning existing restrictions to service access:

i) The location and utilization of other planning area service

providers;

ii) Patient location information by zip code;

iii) Independent time-travel studies;

iv) A certification of waiting times;

v) Scheduling or admission restrictions that exist in area

providers;

vi) An assessment of area population characteristics that

document that access problems exist; and

vii) Most recently published IDPH Hospital Questionnaire.

c) Unnecessary Duplication/Maldistribution − Review Criterion

1) The applicant shall document that the project will not result in an

unnecessary duplication. The applicant shall provide the following

information:

A) A list of all zip code areas that are located, in total or in part,


1100.510(d) of the project's site;


18



B) The total population of the identified zip code areas (based upon

the most recent population numbers available for the State of

Illinois); and

C) The names and locations of all existing or approved health care

facilities located within the established radii outlined in 77 Ill.

Adm. Code 1100.510(d) of the project site that provide the

categories of bed service that are proposed by the project.

2) The applicant shall document that the project will not result in

maldistribution of services. Maldistribution exists when the identified

area (within the planning area) has an excess supply of facilities, beds and

services characterized by such factors as, but not limited to:

A) A ratio of beds to population that exceeds one and one-half times

the State average;

B) Historical utilization (for the latest 12-month period prior to

submission of the application) for existing facilities and services

that is below the occupancy standard established pursuant to 77 Ill.

Adm. Code 1100; or

C) Insufficient population to provide the volume or caseload

necessary to utilize the services proposed by the project at or above

occupancy standards.

3) The applicant shall document that, within 24 months after project

completion, the proposed project:

A) Will not lower the utilization of other area providers below the

occupancy standards specified in 77 Ill. Adm. Code 1100; and

B) Will not lower, to a further extent, the utilization of other area

hospitals that are currently (during the latest 12-month period)

operating below the occupancy standards.

d) Category of Service Modernization


18



1) If the project involves modernization of a category of hospital bed service,

the applicant shall document that the inpatient bed areas to be modernized

are deteriorated or functionally obsolete and need to be replaced or

modernized, due to such factors as, but not limited to:

A) High cost of maintenance;

B) Non-compliance with licensing or life safety codes;

C) Changes in standards of care (e.g., private versus multiple

bedrooms); or

D) Additional space for diagnostic or therapeutic purposes.

2) Documentation shall include the most recent:

A) IDPH Centers for Medicare and Medicaid Services (CMMS)

inspection reports; and

B) The Joint Commission reports.

3) Other documentation shall include the following, as applicable to the

factors cited in the application:

A) Copies of maintenance reports;

B) Copies of citations for life safety code violations; and

C) Other pertinent reports and data.

4) Projects involving the replacement or modernization of a category of

service or hospital shall meet or exceed the occupancy standards for the

categories of service, as specified in 77 Ill. Adm. Code 1100.

e) Staffing Availability − Review Criterion

The applicant shall document that relevant clinical and professional staffing needs

for the proposed project were considered and that licensure and The Joint

Commission staffing requirements can be met. In addition, the applicant shall


18



document that necessary staffing is available by providing a narrative explanation

of how the proposed staffing will be achieved.

f) Performance Requirements − Bed Capacity Minimum

1) Medical-Surgical

The minimum bed capacity for a new medical-surgical category of service

within a Metropolitan Statistical Area (MSA), as defined by the U.S.

Census Bureau, is 100 beds.

2) Obstetrics

A) The minimum unit size for a new obstetric unit within an MSA is

20 beds.

B) The minimum unit size for a new obstetric unit outside an MSA is

4 beds.

3) Intensive Care

The minimum unit size for an intensive care unit is 4 beds.

4) Pediatrics

The minimum size for a pediatric unit within an MSA is 4 beds.

g) Assurances

The applicant representative who signs the CON application shall submit a signed

and dated statement attesting to the applicant's understanding that, by the second

year of operation after project completion, the applicant will achieve and maintain

the occupancy standards specified in 77 Ill. Adm. Code 1100 for each category of

service involved in the proposal.

Section 1110.205 Comprehensive Physical Rehabilitation Beds

a) Introduction

1) This Section applies to projects involving the Comprehensive Physical

Rehabilitation (CPR) category of service. Applicants proposing to

establish, expand or modernize CPR shall comply with the applicable



18




Establishment of







Demand − Establishment of CPR


Accessibility

(c)(1) − Unnecessary Duplication of

Services



Providers

(e)(1) − Staffing Availability


(g) − Assurances

Expansion of Existing

Services




Demand – Expansion of CPR

(e)(1) − Staffing − Availability


(g) − Assurances

Comprehensive

Physical

Rehabilitation

Modernization

(d)(1) − Deteriorated Facilities

(d)(2) & (3) − Documentation




on-site, the applicant shall comply with the requirements listed in

subsection (a)(1) (Comprehensive Physical Rehabilitation Modernization)

plus subsection (g) (Assurances).





18




(on-site or new site), the number of beds being replaced shall not exceed







1) 77 Ill. Adm. Code 1100 (Formula Calculation)















B) Applicants proposing to add beds to an existing CPR service shall

provide patient origin information for all admissions for the last

12-month period, verifying that at least 50% of admissions were

residents of the area. For all other projects, applicants shall

document that at least 50% of the projected patient volume will be

from residents of the area.


18



C) Applicants proposing to expand an existing CPR service shall

submit patient origin information by zip code, based upon the


3) Service Demand – Establishment of Comprehensive Physical

Rehabilitation

The number of beds proposed to establish CPR service is necessary to

accommodate the service demand experienced annually by the existing

applicant facility over the latest 2-year period, as evidenced by historical

and projected referrals, or, if the applicant proposes to establish a new

hospital, the applicant shall submit projected referrals. The applicant shall

document subsection (b)(3)(A) and either subsection (b)(3)(B) or (C).




category of hospital bed service, for each of the latest 2 years.

Documentation of the referrals shall include: patient origin by zip

code; name and specialty of referring physician; name and location

of the recipient hospital.


An applicant proposing to establish CPR or to establish a new

hospital shall submit the following:





ii) An estimated number of patients whom the physician will

refer annually to the applicant's facility within a 24-month

period after project completion. The anticipated number of




name of the physician, the physician's office address and



18






C) Projected Service Demand − Based on Rapid Population Growth

If a projected demand for services is based upon rapid population






tract;












horizon;






HFSRB.


18



4) Service Demand – Expansion of Comprehensive Physical Rehabilitation









latest 2 years.






latest 2 years.













percentage of applicant market share, within a 24-month



18









C) Projected Service Demand – Based on Rapid Population Growth







tract;












horizon;





18





HFSRB.









area;




charity care;

















18




providers;





providers;


document that access problems exist; and





information:






Illinois population); and



Adm. Code 1100.510(d) from the project site that provide the





18






the State average;




Adm. Code 1100; or











d) Comprehensive Physical Rehabilitation Modernization

1) If the project involves modernization of a CPR service, the applicant shall

document that the inpatient bed areas to be modernized are deteriorated or

functionally obsolete and need to be replaced or modernized, due to such

factors as, but not limited to:



C) Changes in standards of care (e.g., private versus multiple bed

rooms); or


18





A) IDPH CMMS inspection reports; and










e) Staffing

1) Availability − Review Criterion

The applicant shall document that relevant clinical and professional

staffing needs for the proposed project were considered and that licensure

and The Joint Commission staffing requirements can be met. In addition,

the applicant shall document that necessary staffing is available by

providing a narrative explanation of how the proposed staffing will be

achieved.

f) Performance Requirements − Bed Capacity Minimums

1) The minimum freestanding facility size for comprehensive physical

rehabilitation is a minimum facility capacity of 100 beds.

2) The minimum hospital unit size for comprehensive physical rehabilitation

is 16 beds.


18



g) Assurances



year of operation after the project completion, the applicant will achieve and

maintain the occupancy standards specified in 77 Ill. Adm. Code 1100 for each

category of service involved in the proposal.

Section 1110.210 Acute Mental Illness and Chronic Mental Illness

a) Introduction

1) This Section applies to projects involving Acute Mental Illness (AMI) and

Chronic Mental Illness (CMI). Applicants proposing to establish, expand

or modernize AMI and CMI categories of service shall comply with the

applicable subsections of this Section, as follows:


Establishment of







Demand − Establishment of AMI

and/or CMI


Accessibility


Services



Providers



(g) − Assurances


Services




18




Demand – Expansion of AMI

and/or CMI



(g) − Assurances

Category of Service

Modernization


(d)(2) &

(3)

− Documentation





subsection (a)(1) (AMI and/or CMI Modernization) plus subsection (g)

(Assurances).


offsite, the applicant shall comply with the requirements of subsection

















18












B) Applicants proposing to add beds to an existing AMI and/or CMI

service shall provide patient origin information for all admissions

for the last 12-month period, verifying that at least 50% of

admissions were residents of the area. For all other projects,

applicants shall document that at least 50% of the projected patient

volume will be from residents of the area.

C) Applicants proposing to expand an existing AMI and/or CMI

service shall submit patient origin information by zip code, based

upon the patient's legal residence (other than a health care facility).

3) Service Demand – Establishment of AMI and/or CMI

The number of beds proposed to establish a new AMI and/or CMI service

is necessary to accommodate the service demand experienced by the

existing applicant facility over the latest 2-year period, as evidenced by

historical and projected referrals, or, if the applicant proposes to establish

a new hospital, the applicant shall submit projected referrals. The

applicant shall document subsection (b)(3)(A) and subsection (b)(3)(B) or

(C).




category of hospital bed service, for each of the latest 2 years.

Documentation of the referrals shall include: patient origin by zip

code; name and specialty of referring physician; name and location

of the recipient hospital.


18




An applicant proposing to establish a new AMI and/or CMI service

or establish a new hospital shall submit the following:

i) Physician referral and/or DHS-funded mental health

provider (59 Ill. Adm. Code 132) letters that attest to the

total number of patients (by zip code of residence) who

have received care at existing facilities located in the area

during the 12-month period prior to submission of the

application;

ii) An estimated number of patients the physician and/or DHS-

funded mental health provider will refer annually to the

applicant's facility within a 24-month period after project

completion. The anticipated number of referrals cannot

exceed the physician's and/or mental health provider's

documented historical caseload;










experienced within the latest 24-month period), the projected

service demand shall be determined as follows:



tract. Applicants proposing to use zip code data to define

the project market area shall indicate the sources of that

information;


18







iii) Projection shall be for a maximum period of 10 years from







horizon;






HFSRB.

D) Patient Type

The applicant shall identify the type of patients that will be served

by the project by providing the clinical conditions anticipated (e.g.,

eating disorder, borderline personality disorder, dementia) and age

groups (e.g., childhood, adolescent, geriatric) targeted.

4) Service Demand – Expansion of AMI and/or CMI Service







18






latest 2 years.






latest 2 years.



i) physician referral letters that attest to the physician's total




ii) an estimated number of patients the physician will refer to

the applicant's facility within a 24-month period after

project completion. The anticipated number of referrals

cannot exceed the physician's documented historical



percentage of applicant market share, within a 24-month










18





experienced within the latest 24-month period), the projected

service demand shall be determined as follows:



tract;












horizon;






HFSRB.







18






area;




charity care;

















providers;


iii) Distance to other planning area providers, according to 77

Ill. Adm. Code 1100.510(d);



18




providers;


document that access problems exist;


c) Unnecessary Duplication/Maldistribution − Review Criteria



information:









Adm. Code 1100.510(d) from the project site that provide the




area (within the planning area) has an excess supply of facilities, bed and



the State average;




18




Adm. Code 1100; or











d) AMI and/or CMI Modernization

1) If the project involves modernization of an AMI and/or CMI service, the

applicant shall document that the inpatient bed areas to be modernized are

deteriorated or functionally obsolete and need to be replaced or





rooms); or






18















document that necessary staffing is available by providing a narrative explanation

of how the proposed staffing will be achieved.

f) Performance Requirements − Bed Capacity Minimums

1) The minimum unit size for a new AMI unit within an MSA is 20 beds.

2) The minimum unit size for a new AMI unit outside an MSA is 10 beds.

g) Assurances






Section 1110.215 Neonatal Intensive Care

This Section contains Review Criteria that pertain to the Neonatal Intensive Care category of

service.

a) Staffing


18



1) The applicant must document that the personnel possessing proper

credentials in the following categories are available to staff the service:

A) Full-time Neonatal Director – a neonatologist.

B) Full-time Subspecialty Obstetrical Director – an obstetrician

certified by the American Board of Obstetrics and Gynecology in

the subspecialty of Maternal and Fetal Medicine or a licensed

osteopathic physician with equivalent training and experience and

certified by the American Osteopathic Board of Obstetrics and

Gynecology.

C) Other neonatologists and obstetricians sufficient in number to

serve the projected number of maternal and neonatal patients to be

served by the facility and to ensure adequate back-up to the

neonatal and obstetrical directors so that there will be continuity of

patient care and consultation. Backup neonatologists and

obstetricians shall have credentials equivalent to those of Neonatal

and Obstetrical Directors.

D) Full-time Nurse-Director of the obstetric-newborn nursing service

who is experienced in perinatal nursing, with a master's degree.

E) Other nurses adequate in number to serve the projected number of

maternal and neonatal patients to be served by the facility.

F) Obstetric anesthesia services under the direct supervision of a

board-certified anesthesiologist with training in maternal, fetal and

neonatal anesthesia shall be available 24 hours a day. The

directors of obstetric anesthesia services shall ensure the backup

supervision of their services when they are unavailable.

G) One or more licensed social workers with perinatal/neonatal

experience.

H) Respiratory therapists with experience in neonatal care and

adequate in number to ensure availability of a minimum of one

respiratory therapist for every 4 patients on mechanical ventilators.


18



I) Registered dietician with experience in perinatal nutrition.

2) Documentation shall include a narrative explanation of how positions will

be filled.

b) Need for Additional Beds. The applicant must document that the proposed

neonatal intensive care beds are needed. Bed need may be documented by any of

the following:

1) no neonatal intensive care services exist within the planning area;

2) that for each of the last 2 years for which data is available, the yearly

occupancy rate for the service at the affiliated perinatal center has

exceeded the target occupancy rate;

3) existing providers of the service within the planning area cannot provide

care to a patient caseload due to a limitation on funding for care providing;

or

4) that for each of the last 2 years for which data is available, the yearly

occupancy rate for the service at the applicant facility has exceeded the

target occupancy rate.

c) Obstetric Service. The applicant must document the availability within the

facility of an obstetric service capable of providing care to high-risk mothers.

Documentation must include a detailed assessment of obstetric service capability.

This requirement does not apply to a facility dedicated to the care of children.

Section 1110.220 Open Heart Surgery

a) Introduction

This Section contains Review Criteria that pertain to the Open Heart Surgery

category of service. Open heart surgical procedures performed on an emergency

basis due to a complication occurring during a cardiac catheterization procedure

shall not constitute establishment of the open heart surgery category of service

when reported to the agency within 30 days of occurrence.

b) Review Criteria


18



1) Peer Review. The applicant must document the mechanism for peer

review of an open heart surgery program.

2) Establishment of Open Heart Surgery. The applicant must document that

a minimum of 200 open heart surgical procedures will be performed

during the second year of operation or that 750 cardiac catheterizations

were performed in the latest 12-month period for which data is available.

Anticipated open heart surgical volume must be documented by historical

referral volume of at least 200 patients directly referred following

catheterization at the applicant facility to other institutions for open heart

surgery for each of the last 2 years.

3) Unnecessary Duplication of Services. The applicant must document that

the volume of any existing service within 90 minutes travel time from the

applicant will not be reduced below 350 procedures annually for adults

and 75 procedures annually for pediatrics. Documentation shall consist of

proof of contact of all facilities within 90 minutes travel time currently

providing open heart surgery to determine the projected impact the project

will have on existing open heart surgery volume.

4) Support Services. The applicant must document that the following support

services and facilities are immediately available on a 24-hour basis and

how those services will be mobilized in the case of emergencies.

A) Surgical and cardiological team appropriate for age group served.

B) Cardiac surgical intensive care unit.

C) Emergency room with full-time director, staffed 24 hours for

cardiac emergencies with acute coronary suspect surveillance area

and voice communication linkage to the ambulance service and the

coronary care unit.

D) Catheterization-angiographics laboratory services.

E) Nuclear medicine laboratory.

F) Cardiographics laboratory, electrocardiography, including exercise


18



stress testing, continuous electrocardiograph (ECG) monitoring

and phonocardiography.

G) Echocardiography service. This may or may not be a part of the

cardiographics laboratory.

H) Hematology laboratory.

I) Microbiology laboratory.

J) Blood gas and electrolyte laboratory with microtechniques for

pediatric patients.

K) Electrocardiographic laboratory.

L) Blood bank and coagulation laboratory.

M) Pulmonary function unit.

N) Installation of pacemakers.

O) Organized cardiopulmonary resuscitation team or capability.

P) Preventive maintenance program for all biomedical devices,

electrical installations, and environmental controls.

Q) Renal dialysis.

5) Staffing

A) The applicant must document that a cardiac surgical team will be

established. The team shall be composed of at least the following:

i) Two cardiac surgeons (at a minimum, one of which must

be certified and the other qualified by the American Board

of Thoracic Surgery) with special competence in

cardiology, including cardiopulmonary anatomy,

physiology, pathology and pharmacology; extracorporeal

perfusion technique; and interpretation of catheterization


18



angiographic data.

ii) Operating room nurse personnel (registered nurse (RN),

licensed practical nurse (LPN), surgical technician). The

nurse to patient ratio for the ICU module of open heart

surgery patient care should be no less than one nurse per

one patient in the immediate recovery phase and one nurse

per 2 patients thereafter.

iii) Anesthesiologists (board certified by the American Board

of Anesthesiology).

iv) Adult cardiologists (board certified by the American Board

of Internal Medicine with subspecialty certification in

cardiology).

v) Physician who is board certified in anatomic and clinical

pathology, with special expertise in microbiology,

bloodbanking, lab aspects of blood coagulation, blood

gases and electrolytes.

vi) Pump technician, or operator of the extracorporeal pump

oxygenator, who should have in-depth experience on the

active cardiac surgical service that includes perfusion

physiology, mechanics of pump operation, sterile

technique, and use of monitoring equipment, whether

he/she be a physician, nurse or technician.

vii) Radiologic technologist experienced in angiographic

principles and catheterization procedure techniques who is

experienced in the usage, operation and care of all

catheterization equipment.

B) Documentation shall include a narrative explanation of how

positions will be filled.

Section 1110.225 Cardiac Catheterization

This Section contains Review Criteria that pertain to the Cardiac Catheterization category of


18



service.

a) Peer Review

Any applicant proposing the establishment or modernization of a cardiac

catheterization unit shall detail in its application for permit the mechanism for

adequate peer review of the program. Peer review teams will evaluate the quality

of studies and related morbidity and mortality of patients and also the technical

aspects of providing the services such as film processing, equipment maintenance,

etc.

b) Establishment or Expansion of Cardiac Catheterization Service

There shall be not additional adult or pediatric catheterization categories of

service started in a health planning area unless:

1) the standards as outlined in 77 Ill. Adm. Code 1100.620 are met; unless

2) in the circumstances where area programs have failed to meet those

targets, the applicant can document historical referral volume in each of

the prior 3 years for cardiac catheterization in excess of 400 annual

procedures (e.g., certification of the number of patients transferred to other

service providers in each of the last 3 years).

c) Unnecessary Duplication of Services

1) Any application proposing to establish cardiac catheterization services

must indicate if it will reduce the volume of existing facilities below 200

catheterizations.

2) Any applicant proposing the establishment of cardiac catheterization

services must contact all facilities currently providing the service within

the planning area in which the applicant facility is located, to determine

the impact the project will have on the patient volume at existing services.

d) Modernization of Existing Cardiac Catheterization Equipment

An applicant with a proposed project for the modernization of existing equipment

that provides cardiac catheterization services shall document that the minimum

utilization standards (as outlined in 77 Ill. Adm. Code 1100.620) are met.

e) Support Services


18



1) Any applicant proposing the establishment of a dedicated cardiac

catheterization laboratory must document the availability of the following

support services;

A) Nuclear medicine laboratory.

B) Echocardiography service.

C) Electrocardiography laboratory and services, including stress

testing and continuous cardiogram monitoring.

D) Pulmonary Function unit.

E) Blood bank.

F) Hematology laboratory-coagulation laboratory.

G) Microbiology laboratory.

H) Blood Gas laboratory.

I) Clinical pathology laboratory with facilities for blood chemistry.

2) These support services need not be in operation on a 24-hour basis but

must be available when needed.

f) Laboratory Location

Due to safety considerations in the event of technical breakdown it is preferable to

group laboratory facilities. Thus in projects proposing to establish additional

catheterization laboratories such units must be located in close proximity to

existing laboratories unless such location is architecturally infeasible.

g) Staffing

It is the policy of the State Board that if cardiac catheterization services are to be

offered that a cardiac catheterization laboratory team be established. Any

applicant proposing to establish such a laboratory must document that the

following personnel will be available:


18



1) Lab director board-certified in internal medicine, pediatrics or radiology

with subspecialty training in cardiology or cardiovascular radiology.

2) A physician with training in cardiology and/or radiology present during

examination with extra physician backup personnel available.

3) Nurse specially trained in critical care of cardiac patients, knowledge of

cardiovascular medication, and understanding of catheterization

equipment.

4) Radiologic technologist highly skilled in conventional radiographic

techniques and angiographic principles, knowledgeable in every aspect of

catheterization instrumentation, and with thorough knowledge of the

anatomy and physiology of the cardiovascular system.

5) Cardiopulmonary technician for patient observation, handling blood

samples and performing blood gas evaluation calculations.

6) Monitoring and recording technician for monitoring physiologic data and

alerting physician to any changes.

7) Electronic radiologic repair technician to perform systematic tests and

routine maintenance; must be immediately available in the event of

equipment failure during a procedure.

8) Darkroom technician well trained in photographic processing and in the

operation of automatic processors used for both sheet and cine film.

h) Continuity of Care

Any applicant proposing the establishment, expansion or modernization of a

cardiac catheterization service must document that written transfer agreements

have been established with facilities with open-heart surgery capabilities for the

transfer of seriously ill patients for continuity of care.

i) Multi-Institutional Variance

1) A variance to the establishment requirements of subsection (b),

Establishment or Expansion of Cardiac Catheterization Service shall be

granted if the applicant can demonstrate that the proposed new program is


18



necessary to alleviate excessively high demands on an existing operating

program's capacity.

2) Each of the following must be documented:

A) That the proposed unit will be affiliated with the existing operating

program. This must be documented by written referral agreements

between the facilities, and documentation of shared medical staff;

B) That the existing operating program provides open heart surgery;

C) That initiation of a new program at the proposed site is more cost

effective, based upon a comparison of charges, than expansion of

the existing operating program;

D) That the existing operating program currently operates at a level of

more than 750 procedures annually per laboratory; and

E) That the proposed unit will operate at the minimum utilization

target occupancy and that such unit will not reduce utilization in

existing programs below target occupancy (e.g., certification of the

number of patients transferred to other service providers in each of

the last 3 years and market studies developed by the applicant

indicating the number of potential catheterization patients in the

area served by the applicant).

3) The existing operating program cannot utilize its volume of patient

procedures to justify a second affiliation agreement until such time as the

operating program is again operating at 750 procedures annually per

laboratory and the affiliate is operating at 400 procedures per laboratory.

Section 1110.230 In-Center Hemodialysis Projects

a) Introduction

1) This Section applies to projects involving the In-Center Hemodialysis

category of service. Applicants proposing to establish, expand or

modernize this category of service shall comply with the applicable

subsections of this Section as follows:


18




Establishment of







Demand − Establishment of In-

Center Hemodialysis


Accessibility

(c)(1) − Unnecessary Duplication of Services



Providers

(e) − Staffing

(f) − Support Services

(g) − Minimum Number of Stations

(h) − Continuity of Care

(i) − Relocation (if applicable)

(j) − Assurances

Expansion of

Existing Services




Demand – Expansion of In-Center

Hemodialysis

(e) − Staffing − Availability


(j) − Assurances

In-Center

Hemodialysis

Modernization




2) If the proposed project involves the relocation of an existing facility or

service, the applicant shall comply with the requirements listed in

subsection (a)(1) (Establishment of Services or Facility), as well as


18



requirements in Section 1110.290 (Discontinuation) and subsection (i) of

this Section (Relocation of Facilities).

3) If the proposed project involves the replacement of a facility or service

(onsite or new site), the number of stations being replaced shall not exceed

the number justified by historical utilization rates for each of the latest 2

years, unless additional stations can be justified per the criteria for

Expansion of Existing Services.


The applicant shall document that the number of stations to be established or

added is necessary to serve the planning area's population, based on the following:

1) 77 Ill. Adm. Code 1100

A) The number of stations to be established for in-center hemodialysis

is in conformance with the projected station deficit specified in 77

Ill. Adm. Code 1100, as reflected in the latest updates to the

Inventory.

B) The number of stations proposed shall not exceed the number of

the projected deficit, to meet the health care needs of the

population served, in compliance with the utilization standard



A) Applicants proposing to establish or add stations shall document

that the primary purpose of the project will be to provide necessary





B) Applicants proposing to add stations to an existing in-center

hemodialysis service shall provide patient origin information for

all admissions for the last 12-month period, verifying that at least

50% of admissions were residents of the area. For all other


18



projects, applicants shall document that at least 50% of the

projected patient volume will be from residents of the area.

C) Applicants proposing to expand an existing in-center hemodialysis

service shall submit patient origin information by zip code, based

upon the patient's legal residence (other than a health care facility).

3) Service Demand – Establishment of In-Center Hemodialysis Service

The number of stations proposed to establish a new in-center hemodialysis

service is necessary to accommodate the service demand experienced

annually by the existing applicant facility over the latest 2-year period, as

evidenced by historical and projected referrals, or, if the applicant

proposes to establish a new facility, the applicant shall submit projected

referrals. The applicant shall document subsection (b)(3)(A) and either

subsection (b)(3)(B) or (C).


i) If the applicant is an existing facility, the applicant shall

document the number of referrals to other facilities, for

each proposed category of service, for each of the latest 2

years.

ii) Documentation of the referrals shall include: patient origin

by zip code; name and specialty of referring physician;

name and location of the recipient facility.


The applicant shall provide physician referral letters that attest to:

i) The physician's total number of patients (by facility and zip

code of residence) who have received care at existing

facilities located in the area, as reported to The Renal

Network at the end of the year for the most recent 3 years

and the end of the most recent quarter;

ii) The number of new patients (by facility and zip code of

residence) located in the area, as reported to The Renal


18



Network, that the physician referred for in-center

hemodialysis for the most recent year;

iii) An estimated number of patients (transfers from existing

facilities and pre-ESRD, as well as respective zip codes of

residence) that the physician will refer annually to the

applicant's facility within a 24-month period after project

completion, based upon the physician's practice experience.

The anticipated number of referrals cannot exceed the

physician's documented historical caseload;

iv) An estimated number of existing patients who are not

expected to continue requiring in-center hemodialysis

services due to a change in health status (e.g., the patients

received kidney transplants or expired);

v) The physician's notarized signature, the typed or printed


the physician's specialty;

vi) Verification by the physician that the patient referrals have


application for the subject services; and

vii) Each referral letter shall contain a statement attesting that

the information submitted is true and correct, to the best of

the physician's belief.








tract;


18














horizon;






HFSRB.

4) Service Demand – Expansion of In-Center Hemodialysis Service

The number of stations to be added for each category of service is

necessary to reduce the facility's experienced high utilization and to meet a


(b)(4)(A) and either (b)(4)(B) or (C):


i) An average annual utilization rate that has equaled or

exceeded utilization standards for in-center hemodialysis

service, as specified in 77 Ill. Adm. Code 1100, for each of

the latest 2 years.


receive the subject service, the applicant shall provide


18





name and location of the recipient facility, for each of the

latest 2 years.


i) The applicant shall provide physician letters that attest to:

• the physician's total number of patients (by facility

and zip code of residence) who have received care

at existing facilities located in the area, as reported

to The Renal Network at the end of the year for the

most recent 3 years and the end of the most recent

quarter;

• the number of new patients (by facility and zip code

of residence) located in the area, as reported to The

Renal Network, that the physician referred for in-

center hemodialysis for the most recent year;

• an estimated number of patients (transfers from

existing facilities and pre-ESRD, as well as

respective zip codes of residence) that the physician

will refer annually to the applicant's facility within a

24-month period after project completion, based

upon the physician's practice experience. The

anticipated number of referrals cannot exceed the

physician's documented historical caseload. The

percentage of project referrals used to justify the

proposed expansion cannot exceed the historical

percentage of applicant market share, within a 24-

month period after project completion;

ii) Each referral letter shall contain the physician's notarized


physician's office address and the physician's specialty;


18



iii) The physician shall verify that the patient referrals have not

been used to support another pending or approved CON

application for the subject services; and

iv) Each referral letter shall contain a statement attesting that

the information submitted is true and correct, to the best of

the physician's belief.








tract;












horizon;





18





HFSRB.


The number of stations being established or added for the subject category

of service is necessary to improve access for planning area residents. The






area;




charity care;










within the established radii outlined in subsection (b)(5)(C)

meet or exceed the utilization standard specified in 77 Ill.

Adm. Code 1100.


The applicant shall provide the following documentation

concerning existing restrictions to service access:


18




providers;





providers;




C) The travel radius for purposes of subsection (b)(5)(A)(v) is:

i) For applicant facilities located in the counties of Cook and

DuPage, the radius shall be 5 miles.

ii) For applicant facilities located in the counties of Lake,

Kane and Will, the radius shall be 10 miles.

iii) For applicant facilities located in the counties of Kankakee,

Grundy, Kendall, DeKalb, McHenry, Winnebago,

Champaign, Sangamon, Peoria, Tazewell, Rock Island,

Monroe, Madison and St. Clair, the radius shall be 15

miles.

iv) For applicant facilities located in any other area of the

State, the radius shall be 19 miles.



18





information:


within the established radii outlined in subsection (c)(4) of the

project's site;





facilities located within the established radii outlined in subsection

(c)(4) of the project site that provides the categories of station

service that are proposed by the project.



area (within the planning area) has an excess supply of facilities, stations

and services characterized by such factors as, but not limited to:

A) A ratio of stations to population that exceeds one and one-half

times the State average;



that is below the utilization standard established pursuant to 77 Ill.

Adm. Code 1100; or



utilization standards.






18






4) The travel radius for purposes of subsection (c)(1) is:

A) For applicant facilities located in the counties of Cook and

DuPage, the radius shall be 5 miles.

B) For applicant facilities located in the counties of Lake, Kane and

Will, the radius shall be 10 miles.

C) For applicant facilities located in the counties of Kankakee,

Grundy, Kendall, DeKalb, McHenry, Winnebago, Champaign,

Sangamon, Peoria, Tazewell, Rock Island, Monroe, Madison and

St. Clair, the radius shall be 15 miles.

D) For applicant facilities located in any other area of the State, the

radius shall be 19 miles.


1) If the project involves modernization of an in-center hemodialysis service,

the applicant shall document that the areas to be modernized are






rooms); or




18










4) Projects involving the relocation or modernization of in-center

hemodialysis or a facility shall meet or exceed the utilization standards for

the categories of service, as specified in 77 Ill. Adm. Code 1100.

e) Staffing




document that necessary staffing is available by providing letters of interest from

prospective staff members, completed applications for employment, or a narrative

explanation of how the proposed staffing will be achieved.

1) Qualifications

A) Medical Director – Medical direction of the facility shall be vested

in a physician who has completed a board-approved training

program in nephrology and has at least 12-months experience

providing care to patients receiving dialysis.

B) Registered Nurse – The nurse responsible for nursing services in

the unit shall be a registered nurse (RN) who meets the practice

requirements of the State of Illinois and has at least 12-months

experience in providing nursing care to patients on maintenance

dialysis.


18



C) Dialysis Technician – This individual shall meet all applicable

State of Illinois requirements (see the End Stage Renal Disease

Facility Act). In addition, the applicant shall document its

requirements for training and continuing education.

D) Dietitian – This individual shall be a registered dietitian with the

Commission on Dietetic Registration, meet the practice

requirements of the State of Illinois (see the Dietitian Nutritionist

Practice Act) and have a minimum of one year of professional

work experience in clinical nutrition as a registered dietitian.

E) Social Worker – The individual responsible for social services

shall have a Master's of Social Work and meet the State of Illinois

requirements (see the Clinical Social Work and Social Work

Practice Act).

2) Documentation shall consist of:

A) Medical Director

Curriculum vitae of Medical Director, including a list of all in-

center hemodialysis facilities where the position of Medical

Director is held.

B) All Other Personnel

A narrative explanation of how positions will be filled.

3) Training

The applicant proposing to establish an in-center hemodialysis category of

service shall document that an ongoing program of training in dialysis

techniques for nurses and technicians will be provided at the facility.

4) Staffing Plan

The applicant proposing to establish an in-center hemodialysis category of

service shall document that at least one RN will be on duty when the unit

is in operation and will maintain a ratio of at least one direct patient care

provider to every 4 patients.

5) Medical Staff


18



The applicant shall provide a letter certifying whether the facility will or

will not maintain an open medical staff.

f) Support Services – Review Criterion

An applicant proposing to establish an in-center hemodialysis category of service

must submit a certification from an authorized representative that attests to each

of the following:

1) Participation in a dialysis data system;

2) Availability of support services consisting of clinical laboratory service,

blood bank, nutrition, rehabilitation, psychiatric and social services; and

3) Provision of training for self-care dialysis, self-care instruction, home and

home-assisted dialysis, and home training provided at the proposed

facility, or the existence of a signed, written agreement for provision of

these services with another facility.

g) Minimum Number of Stations

The minimum number of in-center hemodialysis stations for an End Stage Renal

Disease (ESRD) facility is:

1) Four dialysis stations for facilities outside an MSA;

2) Eight dialysis stations for a facility within an MSA.

h) Continuity of Care

An applicant proposing to establish an in-center hemodialysis category of service

shall document that a signed, written affiliation agreement or arrangement is in

effect for the provision of inpatient care and other hospital services.

Documentation shall consist of copies of all such agreements.

i) Relocation of Facilities – Review Criterion

This criterion may only be used to justify the relocation of a facility from one

location in the planning area to another in the same planning area and may not be

used to justify any additional stations. A request for relocation of a facility

requires the discontinuation of the current category of service at the existing site

and the establishment of a new category of service at the proposed location. The



18



1) That the existing facility has met the utilization targets detailed in 77 Ill.

Adm. Code 1100.630 for the latest 12-month period for which data is

available; and

2) That the proposed facility will improve access for care to the existing

patient population.

j) Assurances


and dated statement attesting to the applicant's understanding that:

1) By the second year of operation after the project completion, the applicant

will achieve and maintain the utilization standards specified in 77 Ill.

Adm. Code 1100 for each category of service involved in the proposal;

and

2) An applicant proposing to expand or relocate in-center hemodialysis

stations will achieve and maintain compliance with the following

adequacy of hemodialysis outcome measures for the latest 12-month

period for which data are available:

≥ 85% of hemodialysis patient population achieves urea reduction ratio

(URR) ≥ 65% and ≥ 85% of hemodialysis patient population achieves

Kt/V Daugirdas II 1.2.

Section 1110.235 Non-Hospital Based Ambulatory Surgical Treatment Center Services

a) Projects Not Subject to this Section

The specific criteria of this Subpart will not apply to hospital projects that will

provide ambulatory surgical service and that will be operated in accordance with

the provisions of the Hospital Licensing Act.

b) Recognition

1) Due to revisions in this Section, HFSRB shall recognize the existence of

the non-hospital based ASTC services for licensed facilities that are able

to verify the existence of these ASTC services prior to January 1, 2014.


18



The following documentation shall be submitted to HFSRB to substantiate

the claim that the ASTC services existed prior to that date:

A) verification that identified outpatient surgical procedures were

performed at the facility prior to January 1, 2014; and

B) verification that the facility obtained a license as an ASTC prior to

January 1, 2014;

2) Documentation shall be in the form of a letter from IDPH's licensure

program confirming that an ASTC license was obtained and a copy of the

most recent HFSRB Ambulatory Surgical Treatment Center Data Profile

for the subject facility. Documentation for an ASTC service that has not

been performed during the most recent year shall include:

A) a letter from IDPH's licensure program confirming that an ASTC

license was obtained prior to January 1, 2014; and

B) either:

i) a copy of the Annual Ambulatory Surgical Treatment

Center Data Profile showing when the procedure in

question was performed; or

ii) a copy of the CON permit letter that identifies the services

included in the permit approval.

3) Recognition by HFSRB of the non-hospital based ASTC services exempts

the facility from the requirement of obtaining a permit for establishment of

a health care facility and establishment of the identified and verified

ASTC services. The exemption shall be valid and remain in effect

provided that the following requirements are met:

A) the procedures and scope of services provided at the facility remain

restricted to the ASTC services (e.g., podiatry, ophthalmology,

plastic surgery) in operation on or before January 1, 2014;

B) the facility has obtained a license from IDPH on or before January

1, 2014; and


18



C) the facility has petitioned HFSRB for recognition of the service no

more than 90 days after April 15, 2014.

4) The ASTC shall be subject to the provisions of 77 Ill. Adm. Code

1100.640 and subsections (a) and (c) of this Section regarding subsequent

transactions that require a permit. Failure to comply with any of the

requirements of this Part or subsequent discontinuation of the facility

shall:

A) void the recognition of the verified ASTC services and their

subsequent exemption;

B) subject the facility to the sanctions and penalties provided by

Section 14.1 of the Act and 77 Ill. Adm. Code 1130.790; and

C) require a permit or exemption to:

i) establish an ASTC or ASTC service;

ii) change ownership;

iii) expand an existing ASTC;

iv) modernize an existing ASTC when the estimated total

project cost exceeds the capital expenditure minimum. The

current threshold is determined under 77 Ill. Adm. Code

1130.Appendix A and posted on HFSRB's website

(www.hfsrb.illinois.gov); or

v) discontinue an ASTC.

c) Review Criteria

1) Introduction

A) Ambulatory Surgical Treatment Centers required to be licensed

pursuant to the Ambulatory Surgical Treatment Center Act are

defined as health care facilities subject to the requirements of the


18



Illinois Health Facilities Planning Act and HFSRB rules (77 Ill.

Adm. Code 1100, 1110, 1120 and 1130). Facilities devoted to

abortion and related care, including those licensed as PSTCs under

the ASTC Act are not subject to HFSRB rules related to Non-

Hospital Based ASTCs. The addition of any other ASTC services

(other than abortion-related services) will require a CON permit.

B) A permit is required for:

i) the establishment of a new non-hospital based ambulatory

surgical treatment center (ASTC);

ii) the addition or establishment of a new ASTC service to an

existing non-hospital based ASTC;

iii) the increase or expansion of the number of

surgical/treatment rooms for an existing ASTC service in a

non-hospital based ASTC, if the total estimated project cost

exceeds the capital expenditures minimum. The current

threshold is posted on HFSRB's website

(www.hfsrb.illinois.gov); or

iv) any action with a total estimated project cost that exceeds

the capital expenditures minimum. The current threshold is

determined under 77 Ill. Adm. Code 1130.Appendix A and

posted on HFSRB's website (www.hfsrb.illinois.gov).

C) Applicants proposing to establish an ASTC or add or expand an

ASTC service in an existing ASTC facility shall describe how the

proposed project will address the following indicators of need, as

presented in the following table:

PROJECT

TYPE

REQUIRED REVIEW CRITERIA

Establishment of

ASTC Facility or

Additional ASTC

Service

(c)(2)(B)(i) & (ii) − Service to GSA

Residents

(c)(3)(A) & (B) or

(C)

− Service Demand −

Establishment


18



(c)(5)(A) & (B) − Treatment Room Need

Assessment

(c)(6) − Service Accessibility

(c)(7)(A) through

(C)

− Unnecessary

Duplication/

Maldistribution

(c)(8)(A) & (B) − Staffing

(c)(9) − Charge Commitment

(c)(10)(A) & (B) − Assurances

Expansion of

Existing ASTC

Service

(c)(2)(B)(i) & (ii) − Service to GSA

Residents

(c)(4)(A) through

(C)

− Service Demand –

Expansion

(c)(5)(A) & (B) − Treatment Room Need

Assessment

(c)(8)(A) & (B) − Staffing

(c)(9) − Charge Commitment

(c)(10)(A) & (B) − Assurances

D) In addition to addressing the applicable criteria listed in the chart

in subsection (c)(1)(C), the applicant shall indicate:

i) The existing and the proposed ASTC services as specified

in Appendix A;

ii) The existing and the proposed number of surgical/treatment

rooms for each ASTC service as specified in Appendix A;

iii) If an ASTC service is not specified in Appendix A, the

applicant shall indicate the existing and proposed ASTC

services, the existing and proposed number of

surgical/treatment rooms, and the professional standards

applicable to the proposed ASTC services.

E) Transition Period for Meeting this Section's Requirements

i) Multi-specialty ASTCs that provided at least 3 of the

ASTC services listed in Appendix A prior to April 15,

2014, except those ASTCs described in subsection


18



(c)(1)(E)(iii), shall be exempt from this Section's CON

application requirements for adding additional ASTC

services until January 1, 2018.

ii) Effective April 15, 2014, multi-specialty ASTCs adding

new services shall notify HFSRB of what services are

being added and the effective date of those services. The

notification of each new service added shall be submitted to

HFSRB within 30 days after the service addition.

Beginning January 1, 2018, multi-specialty ASTCs seeking

to add additional ASTC services shall apply for a CON

permit pursuant to the provisions of this Section.

iii) Multi-specialty ASTCs that, as a condition of CON permit

issuance, agreed to apply for CON permits when adding

services shall continue to apply for CON permits when

adding new services.

F) Sanctions and Penalties

Noncompliance with the requirements of subsection (b) and this

subsection (c) shall be considered a violation and shall be subject

to the sanctions and penalties in the Act (see 20 ILCS 3960/14.1)

and in 77 Ill. Adm. Code 1130.790.

2) Geographic Service Area Need

The applicant shall document that the ASTC services and the number of

surgical/treatment rooms to be established, added or expanded are

necessary to serve the planning area's population, based on the following:

A) 77 Ill. Adm. Code 1100 (Formula Calculation)

As stated in 77 Ill. Adm. Code 1100, no formula need

determination for the number of ASTCs and the number of

surgical/treatment rooms in a geographic service area has been

established. Need shall be established pursuant to the applicable

review criteria of this Part.

B) Service to Geographic Service Area Residents

The applicant shall document that the primary purpose of the

project will be to provide necessary health care to the residents of


18



the geographic service area (GSA) in which the proposed project

will be physically located.

i) The applicant shall provide a list of zip code areas (in total

or in part) that comprise the GSA. The GSA is the area

consisting of all zip code areas that are located within the

established radii outlined in 77 Ill. Adm. Code 1100.510(d)

of the project's site.

ii) The applicant shall provide patient origin information by

zip code for all admissions for the last 12-month period,

verifying that at least 50% of admissions were residents of

the GSA. Patient origin information shall be based upon

the patient's legal residence (other than a health care

facility) for the last 6 months immediately prior to

admission.

3) Service Demand – Establishment of an ASTC Facility or Additional

ASTC Service

The applicant shall document that the proposed project is necessary to

accommodate the service demand experienced annually by the applicant,

over the latest 2-year period, as evidenced by historical and projected

referrals. The applicant shall document the information required by

subsection (c)(3) and either subsection (c)(3)(B) or (C):


The applicant shall provide physician referral letters that attest to

the physician's total number of treatments for each ASTC service

that has been referred to existing IDPH-licensed ASTCs or

hospitals located in the GSA during the 12-month period prior to

submission of the application. The documentation of physician

referrals shall include the following information:

i) patient origin by zip code of residence;

ii) name and specialty of referring physician;

iii) name and location of the recipient hospital or ASTC; and


18



iv) number of referrals to other facilities for each proposed

ASTC service for each of the latest 2 years.

B) Projected Service Demand

The applicant shall provide the following documentation:



received care at existing IDPH-licensed ASTCs or hospitals

located in the GSA during the 12-month period prior to

submission of the application;

ii) Documentation demonstrating that the projected patient

volume, as evidenced by the physician referral letters, is

from within the GSA defined under subsection (c)(2)(B);

iii) An estimated number of treatments the physician will refer

annually to the applicant facility within a 24-month period



caseload. The percentage of projected referrals used to

justify the proposed establishment cannot exceed the

historical percentage of applicant market share within a 24-

month period after project completion;

iv) Referrals to health care providers other than IDPH-licensed

ASTCs or hospitals will not be included in determining

projected patient volume;

v) Each physician referral letter shall contain the notarized

signature, the typed or printed name, the office address, and

the specialty of the physician; and

vi) Verification by the physician that the patient referrals have



C) Projected Service Demand − Rapid Population Growth


18









tract;








number of years no less than the number of years

projected;




horizon;


groups or the applicant's market area, as defined by

HFSRB, for each specialty in the application;


assumptions and special adjustments shall be submitted;

and

viii) The applicant shall estimate the future demand for the

number of treatments or procedures based upon population

growth and no change in the facility's market share.

4) Service Demand − Expansion of Existing ASTC Service


18



The number of surgical/treatment rooms to be added at an existing facility

is necessary to reduce the facility's experienced high utilization and to

meet a projected demand for service. The applicant shall document the

information required by subsections (c)(4)(A)(i) and (ii) and either

subsections (c)(4)(B)(i) and (ii) or subsection (c)(4)(C):


i) The applicant shall document an average utilization rate

that has equaled or exceeded the standards specified in 77

Ill. Adm. Code 1100 for existing surgical/treatment rooms

for each of the latest 2 years.

ii) If patients have been referred to other IDPH-licensed

facilities in order to receive the subject services, the

applicant shall provide documentation of the referrals,

including: patient origin by zip code of residence; name

and specialty of referring physician; and the name and

location of the recipient hospital or ASTC, for each of the

latest 2 years.

B) Projected Service Demand − Projected Referrals

i) The applicant shall provide physician referral letters that

attest to the physician's total number of patients (by zip

code of residence) that have received treatments at existing

IDPH-licensed facilities located in the GSA during the 12-

month period prior to submission of the application, and an

estimate of the number of patients that will be referred by

the physician to the applicant's facility.

ii) Each physician referral letter shall contain the notarized

signature, the typed or printed name, the office address and

the specialty of the physician. The anticipated number of


caseload.

C) Projected Service Demand − Rapid Population Growth


18






projected service demand shall be determined as described in

subsection (c)(3)(C).

5) Treatment Room Need Assessment – Review Criterion

A) The applicant shall document that the proposed number of

surgical/treatment rooms for each ASTC service is necessary to

service the projected patient volume. The number of rooms shall

be justified based upon an annual minimum utilization of 1,500

hours of use per room, as established in 77 Ill. Adm. Code 1100.

B) For each ASTC service, the applicant shall provide the number of

patient treatments/sessions, the average time (including setup and

cleanup time) per patient treatment/session, and the methodology

used to establish the average time per patient treatment/session

(e.g., experienced historical caseload data, industry norms or

special studies).


The proposed ASTC services being established or added are necessary to

improve access for residents of the GSA. The applicant shall document

that at least one of the following conditions exists in the GSA:

A) There are no other IDPH-licensed ASTCs within the identified

GSA of the proposed project;

B) The other IDPH-licensed ASTC and hospital surgical/treatment

rooms used for those ASTC services proposed by the project

within the identified GSA are utilized at or above the utilization

level specified in 77 Ill. Adm. Code 1100;

C) The ASTC services or specific types of procedures or operations

that are components of an ASTC service are not currently available

in the GSA or that existing underutilized services in the GSA have

restrictive admission policies;


18



D) The proposed project is a cooperative venture sponsored by 2 or

more persons, at least one of which operates an existing hospital.

Documentation shall provide evidence that:

i) The existing hospital is currently providing outpatient

services to the population of the subject GSA;

ii) The existing hospital has sufficient historical workload to

justify the number of surgical/treatment rooms at the

existing hospital and at the proposed ASTC, based upon the

treatment room utilization standard specified in 77 Ill.

Adm. Code 1100;

iii) The existing hospital agrees not to increase its

surgical/treatment room capacity until the proposed

project's surgical/treatment rooms are operating at or above

the utilization rate specified in 77 Ill. Adm. Code 1100 for

a period of at least 12 consecutive months; and

iv) The proposed charges for comparable procedures at the

ASTC will be lower than those of the existing hospital.

7) Unnecessary Duplication/Maldistribution − Review Criterion

A) The applicant shall document that the project will not result in an


information for the proposed GSA zip code areas identified in

subsection (c)(2)(B)(i):

i) the total population of the GSA (based upon the most

recent population numbers available for the State of

Illinois); and

ii) the names and locations of all existing or approved health

care facilities located within the GSA that provide the

ASTC services that are proposed by the project.

B) The applicant shall document that the project will not result in

maldistribution of services. Maldistribution exists when the GSA


18



has an excess supply of facilities and ASTC services characterized

by such factors as, but not limited to:

i) a ratio of surgical/treatment rooms to population that

exceeds one and one-half times the State average;

ii) historical utilization (for the latest 12-month period prior to

submission of the application) for existing

surgical/treatment rooms for the ASTC services proposed

by the project that are below the utilization standard

specified in 77 Ill. Adm. Code 1100; or

iii) insufficient population to provide the volume or caseload

necessary to utilize the surgical/treatment rooms proposed

by the project at or above utilization standards specified in

77 Ill. Adm. Code 1100.

C) The applicant shall document that, within 24 months after project


i) will not lower the utilization of other area providers below

the utilization standards specified in 77 Ill. Adm. Code

1100; and

ii) will not lower, to a further extent, the utilization of other

GSA facilities that are currently (during the latest 12-month

period) operating below the utilization standards.

8) Staffing

A) Staffing Availability

The applicant shall document that relevant clinical and

professional staffing needs for the proposed project were

considered and that the staffing requirements of licensure and The

Joint Commission or other nationally recognized accrediting

bodies can be met. In addition, the applicant shall document that

necessary staffing is available by providing letters of interest from

prospective staff members, completed applications for


18



employment, or a narrative explanation of how the proposed

staffing will be achieved.

B) Medical Director

It is recommended that the procedures to be performed for each

ASTC service are under the direction of a physician who is board

certified or board eligible by the appropriate professional standards

organization or entity that credentials or certifies the health care

worker for competency in that category of service.

9) Charge Commitment

In order to meet the objectives of the Act, which are to improve the

financial ability of the public to obtain necessary health services; and to

establish an orderly and comprehensive health care delivery system that

will guarantee the availability of quality health care to the general public;

and cost containment and support for safety net services must continue to

be central tenets of the Certificate of Need process [20 ILCS 3960/2], the

applicant shall submit the following:

A) a statement of all charges, except for any professional fee

(physician charge); and

B) a commitment that these charges will not increase, at a minimum,

for the first 2 years of operation unless a permit is first obtained

pursuant to 77 Ill. Adm. Code 1130.310(a).

10) Assurances

A) The applicant shall attest that a peer review program exists or will

be implemented that evaluates whether patient outcomes are

consistent with quality standards established by professional

organizations for the ASTC services, and if outcomes do not meet

or exceed those standards, that a quality improvement plan will be

initiated.

B) The applicant shall document that, in the second year of operation

after the project completion date, the annual utilization of the

surgical/treatment rooms will meet or exceed the utilization

standard specified in 77 Ill. Adm. Code 1100. Documentation


18



shall include, but not be limited to, historical utilization trends,

population growth, expansion of professional staff or programs

(demonstrated by signed contracts with additional physicians) and

the provision of new procedures that would increase utilization.

Section 1110.240 Selected Organ Transplantation

a) Introduction

1) This subsection (a) applies to projects involving the following category of

service: Selected Organ Transplantation. Applicants proposing to

establish or modernize this category of service shall comply with the



Establishment of


(b)(1) − Planning Area Need – 77 Ill.

Adm. Code 1100 (formula

calculation)





Category of Service


Accessibility


Services



Providers


(f) − Surgical Staff

(g) − Collaborative Support

(h) − Support Services

(i) − Performance Requirements

(j) − Assurances

Category of Service

Modernization



18



(d)(2) & 3 − Documentation

(d)(4) − Utilization

(i) − Performance Requirements

(j) − Assurances

2) If the proposed project involves the replacement of a facility or service on

site, the applicant shall comply with the requirements listed in subsection

(a)(1) (Category of Service Modernization) plus subsection (j)

(Assurances).


service, the applicant shall comply with the requirements of subsection

(a)(1) (Establishment of Services or Facility), as well as requirements in

Section 1110.290 (Discontinuation) and Section 1110.230(i) (Relocation

of Facilities).


(onsite or new site), the number of key rooms being replaced shall not

exceed the number justified by historical occupancy rates for each of the

latest 2 years.

b) Planning Area Need − Review Criteria

The applicant shall document that the proposed category of service is necessary to

serve the planning area's population, based on the following:


No formula need for this category of service has been established.


Applicants proposing to establish this category of service shall document

that the primary purpose of the project will be to provide necessary health

care to the residents of the area in which the proposed project will be

physically located (i.e., the planning or geographical service area, as

applicable) for each category of service included in the project.

3) Service Demand – Establishment of Category of Service

The establishment of this category of service is necessary to accommodate

the service demand experienced annually by the existing applicant facility



18



referrals, or, if the applicant proposes to establish a new hospital, the

applicant shall submit projected referrals.



the number of referrals to other facilities, for this category of

service, for each of the latest 2 years. Documentation of the

referrals shall include: patient origin by zip code; name and


hospital.


An applicant proposing to establish this category of service shall

submit the following:









caseload;








The establishment of this category of service is necessary to improve

access for planning area residents. The applicant shall document the

following:


18







area;




charity care;










within the 3-hour normal travel time meet or exceed the

utilization standard specified in 77 Ill. Adm. Code 1100.



applicable to cited restrictions, concerning existing restrictions to

service access:


providers;





18




providers;







information:


within 3 hours normal travel time of the project's site;





facilities located within 3 hours normal travel time from the project

site that provide this category of service.





A) Historical utilization (for the latest 12-month period prior to



Adm. Code 1100; or

B) Insufficient population to provide the volume or caseload




18











1) If the project involves modernization of this category of service, the

applicant shall document that the inpatient areas to be modernized are






rooms); or










18





service or hospital shall meet or exceed the utilization standards for the

category of service, as specified in 77 Ill. Adm. Code 1100.








f) Surgical Staff – Review Criterion

The applicant shall document that the facility has at least one transplant surgeon

certified in the applicable specialty on staff and that each has had a minimum of

one year of training and experience in transplant surgery, post-operative care,

long term management of organ recipients and the immunosuppressive

management of transplant patients. Documentation shall consist of curricula vitae

of transplant surgeons on staff and certification by an authorized representative

that the personnel with the appropriate certification and experience are on the

hospital staff.

g) Collaborative Support – Review Criterion

The applicant shall document collaboration with experts in the fields of

hepatology, cardiology, pediatrics, infectious disease, nephrology with dialysis

capability, pulmonary medicine with respiratory therapy support, pathology,

immunology, anesthesiology, physical therapy and rehabilitation medicine.

Documentation of collaborate involvement shall include, but not be limited to, a

plan of operation detailing the interaction of the transplant program and the stated

specialty areas.

h) Support Services – Review Criterion

An applicant shall submit a certification from an authorized representative that

attests to each of the following:


18



1) Availability of on-site access to microbiology, clinical chemistry,

radiology, blood bank and resources required to monitor use of

immunosuppressive drugs;

2) Access to tissue typing services; and

3) Ability to provide psychiatric and social counseling for the transplant

recipients and for their families.

i) Performance Requirements

1) The applicant shall document that the proposed category of service will be

provided at a teaching institution.

2) The applicant shall document that the proposed category of service will be

performed in conjunction with graduate medical education.

3) The applicant shall provide proof of membership in the Organ

Procurement and Transplantation Network (OPTN) and a federally

designated organ procurement organization (OPO).

j) Assurances






Section 1110.245 Kidney Transplantation

a) Introduction

1) This Section applies to projects involving the following category of

service: Kidney Transplantation. Applicants proposing to establish or

modernize this category of service shall comply with the applicable




18



Establishment of




calculation )

(b)(2) − Planning Area Need –

Service to Planning Area

Residents

(b)(3) − Planning Area Need –

Service Demand −

Establishment of Category of

Service

(b)(4) − Planning Area Need −

Service Accessibility


Services


(c)(3) − Impact of Project on Other

Area Providers


(f) − Surgical Staff

(g) − Support Services

(h) − Performance Requirements

(i) − Assurances

Category of Service

Modernization


(d)(2) &

(3)

− Documentation


(h) − Performance Requirements



subsection (a)(1) (Category of Service Modernization) plus subsection (i)

(Assurances).


service, the applicant shall comply with the requirements of subsection

(a)(1) (Establishment of Services or Facility), as well as requirements in


18



Section 1110.30 (Discontinuation) and Section 1110.230(j) (Relocation of

Facilities).


(onsite or new site), the number of beds shall be replaced on a 1:1 basis. If

the applicant proposes to add beds to the replacement service or facility,

the applicant shall also comply with the requirements listed in subsection

(a)(1) for "Expansion of Existing Services".


The applicant shall document that the proposed category of service is necessary to

serve the planning area's population, based on the following:


No formula need for this category of service has been established.


Applicants proposing to establish this category of service shall document

that the primary purpose of the project will be to provide necessary health

care to the residents of the area in which the proposed project will be

physically located (i.e., the planning or geographical service area, as

applicable), for each category of service included in the project.

3) Service Demand – Establishment of Category of Service

The establishment of this category of service is necessary to accommodate

the service demand experienced annually by the existing applicant facility


referrals, or, if the applicant proposes to establish a new hospital, the

applicant shall submit projected referrals.



the number of referrals to other facilities, for this category of

service, for each of the latest 2 years. Documentation of the

referrals shall include: patient origin by zip code; name and


hospital.



18



An applicant proposing to establish this category of service shall

submit the following:

















The establishment of this category of service is necessary to improve

access for planning area residents. The applicant shall document

subsection (b)(4)(A) and either subsection (b)(4)(B) or (C):





area;




charity care;


18












within the 3-hour normal travel time meet or exceed the

utilization standard specified in 77 Ill. Adm. Code 1100.


The applicant shall provide the following documentation



providers;





providers;






18





information:


within 3 hours normal travel time of the project's site;



Illinois); and


facilities located within 3 hours normal travel time from the project

site that provide this category of service.








Adm. Code 1100; or












18




1) If the project involves modernization of this category of service, the

applicant shall document that the areas to be modernized are deteriorated

or functionally obsolete and need to be replaced or modernized, due to

such factors as, but not limited to:




rooms); or


















18






f) Surgical Staff – Review Criterion

The applicant shall document that the facility has at least one kidney transplant

surgeon certified in the applicable specialty on staff and that each has had a

minimum of one year of training and experience in transplant surgery, post-

operative care, long-term management of organ recipients and the

immunosuppressive management of transplant patients. Documentation shall

consist of curricula vitae of transplant surgeons on staff and certification by an

authorized representative that the personnel with the appropriate certification and

experience are on the hospital staff.

g) Support Services – Review Criterion

The applicant must document that the following are available on premises:

laboratory services, social services, dietetic services, self-care dialysis support

services, inpatient dialysis services, pharmacy and specialized blood facilities

(including tissue typing). The applicant must also document participation of the

center in a recipient registry. Documentation shall consist of a certification as to

the availability of such services and participation in a recipient registry.

h) Performance Requirements

The applicant shall document that:

1) The proposed category of service will be provided at a teaching

institution;

2) The proposed category of service will be performed in conjunction with

graduate medical education;

3) The applicant renal transplantation center has membership in the Organ

Procurement and Transplantation Network (OPTN) and a federally

designated organ procurement organization (OPO); and

4) The subject renal transplantation center is performing 25 or more

transplants per year.

i) Assurances


18








Section 1110.250 Subacute Care Hospital Model

a) Introduction

1) This Section contains review criteria that pertain to the subacute care

hospital model category of service. Definitions pertaining to this Subpart

are contained in the Act, in 77 Ill. Adm. Code 1100 and 1130, and in the

Alternative Health Care Delivery Act. The subacute care hospital model

category of service is a demonstration program that is authorized by the

Alternative Health Care Delivery Act. These subacute care hospital model

review criteria are utilized in addition to the applicable review criteria of

this Subpart C and 77 Ill. Adm. Code 1120. This Subpart also contains the

methodology the State Board will utilize in evaluating competing

applications, if any, for the establishment of any subacute care hospital

models.

2) A facility at any time may be caring for subacute patients. A permit must

be obtained to establish a subacute care hospital model. Existing hospitals

and long term care facilities providing subacute care are not required to

obtain a permit, provided, however, that the facilities shall not hold

themselves out to the public as subacute care hospitals (Section 15 of the

Alternative Health Care Delivery Act). Establishment of a subacute care

hospital model category of service occurs when a facility holds itself out

to the general public as a subacute care hospital. In these instances, failure

to obtain a permit will result in the application of sanctions as provided for

in the Illinois Health Facilities Planning Act.

3) As the purpose of the demonstration project is to evaluate the subacute

care hospital model for quality factors, access and the impact on health

care costs, each applicant approved for the category of service will be

required to periodically submit data necessary for evaluating the model's

effectiveness.


18



4) Applications received for the subacute care hospital model shall be

deemed complete upon receipt by HFSRB. Due to the comparative nature

of the subacute care hospital model review, applicants will not be allowed

to amend the application or provide additional supporting documentation

during the review process. The application as submitted to HFSRB shall

serve as the basis for all standard and prioritization evaluation.

b) Review Criteria

1) Distinct Unit

The applicant must document that the proposed unit or health care facility

will be primarily self-contained and physically distinct and will have

nursing staff dedicated to service within only that unit. Auxiliary

personnel and contracted professional personnel must be available for care

of unit patients but need not be dedicated to providing service to only the

subacute care hospital model. Documentation shall include a physical

layout of the unit detailing travel patterns to ancillary and support services

and to patient and visitor access and a detailed summary of all shared

services and how costs for those services will be allocated between the

model and the hospital or long term care facility. Also, the applicant must

provide a detailed staffing plan that includes staff qualifications, staffing

patterns for the proposed subacute care hospital and the manner in which

non-dedicated staff services will be provided.

2) Contractual Relationship

The applicant must document the capability to handle cases of

complications, emergencies or exigent circumstances.

A) An applicant must document, for a model to be located in a

currently licensed long term care facility, the capability through the

existence of a contractual relationship (which includes a transfer

agreement) with a general acute care hospital.

B) An applicant must document, for a model to be located on a

designated site previously licensed as a hospital (see 77 Ill. Adm.

Code 740(c)), capability through the existence of a contractual

arrangement (transfer agreement) with a general acute care

hospital.


18



C) An applicant must document, for a model to be located in a

licensed hospital, that the emergency capability continues to exist

in accordance with the requirements of hospital licensure.

3) Unit Size

The applicant must document that the number of subacute care beds

proposed will equal or exceed the minimum number established for the

planning area. The minimum subacute care hospital unit size is 10 beds in

rural planning areas (as defined in 77 Ill. Adm. Code 1100.720(a)) and 30

beds in all other planning areas.

c) HFSRB Evaluation. HFSRB shall evaluate each application for the subacute care

hospital model category of service based upon compliance with the conditions set

forth in subsections (c)(1), (2) and (3).

1) HFSRB Prioritization of Hospital Applications

A) All hospital applications for each planning area shall be rank

ordered based on points awarded as follows:

i) Compliance with all applicable review criteria of Subpart B

– 10 Points.

ii) Compliance with all review criteria of subsection (b) – 10

Points.

iii) Compliance with all applicable review criteria of 77 Ill.

Adm. Code 1120 – 10 Points.

iv) In rural areas an applicant shall be awarded 25 Points if

documentation is provided that the subacute care hospital

model will provide the necessary financial support for the

facility to provide continued acute care services. The

documentation shall consist of:

• Factors within the facility or area that will prevent

the facility from complying with the minimum

financial ratios established in 77 Ill. Adm. Code

1120 within the next 2 years;


18



• Historical documentation that the facility has failed

to comply with the minimum financial ratios in each

of the last 3 calendar years; and

• Projected revenue from the subacute hospital care

model and the positive impact of that revenue on

the financial position of the applicant facility. The

applicant must explain how the revenue will impact

the facility's financial position, causing the facility

to comply with the financial viability ratios of 77

Ill. Adm. Code 1120. Alternatively, documentation

can be provided showing that projected revenue

from the subacute hospital model will be sufficient

to operate the subacute care hospital care model in

compliance with the financial viability ratios of 77

Ill. Adm. Code 1120, or that the applicant facility

has entered into a binding agreement with another

institution that guarantees the financial viability of

the subacute hospital care model in accordance with

the ratios established in 77 Ill. Adm. Code 1120 for

a period of at least 5 years, regardless of the

financial ratios of the applicant facility.

v) Location in a medically underserved area (as defined by the

Department of Health and Human Services (section 332 of

the Public Health Service Act (42 USC 254E)) as a health

professional shortage area) – 3 Points.

vi) A multi-institutional system arrangement exists for the

referral of subacute patients under which the applicant

facility serves as the receiving facility for the system. A

multi-institutional system consists of a network of licensed

hospitals and long term care facilities located within the

planning area and within 60 minutes travel time of the

applicant that are interrelated by contractual agreement that

provides for an exclusive best effort arrangement

concerning the transfer of patients between facilities. Best

effort arrangement means that the referring facility will


18



encourage and recommend to its medical staff that patients

requiring subacute care will be transferred only to the

applicant facility – 1 Point per each additional facility in

the multi-institutional system, to a maximum of 10 Points.

vii) The existence of Medicare and Medicaid certification at the

applicant facility and historic volume at the applicant

facility. The following point allocation will be applied:

• In the last calendar or fiscal year, Medicare/

Medicaid patient days were between 10% and 25%

of total facility patient days – 2 Points.





Medicaid patient days exceeded 50% of total

facility patient days – 6 Points.

viii) For each of the last 5 calendar years, the applicant facility

documents a case mix consisting of ventilator cases, head

trauma cases, rehabilitation patients including spinal cord

injuries, amputees and patients with orthopaedic problems

requiring subacute care, or patients with multiple complex

diagnoses that included physiological monitoring on a

continual basis, of such magnitude that, if placed in the

proposed subacute facility, these patients would have

constituted an annual occupancy exceeding 75%. If a

multi-institutional system, as defined in subsection

(c)(1)(A)(vi), has an exclusive best efforts agreement, then

each of the cases listed in this subsection (c)(1)(A)(viii)

from such signatory facilities may be counted in computing

the 75% annual occupancy threshold – 5 Points.

ix) The applicant institution has documented that, during the

last calendar year, at least 25% of all patient days of the

applicant facility were reimbursed through contractual


18



relationships with PPOs or HMOs – 3 Points.

x) If the applicant institution, over the last 5 calendar year

period, has been issued a notice of revocation of license

from IDPH or has been decertified from the federal Title

XVIII or XIX programs – Loss of 25 Points.

xi) The applicant institution is accredited by The Joint

Commission – 3 Points and 1 additional Point if

accreditation is "with commendation".

xii) Staff support for the subacute care hospital model:

• Full time Medical Director exclusively for the

model – 1 Point.

• Physical therapist, 2 full-time equivalents (FTEs) or

more – 1 Point.

• Occupational therapist, 1 FTE or more – 1 Point.

• Speech therapist, 1 FTE or more – 1 Point.

xiii) In areas where competing applications have been filed, 3

Points will be allocated to the applicant with the lowest

positive mean net margin over the last 3 fiscal years. Each

applicant must submit copies of the audited financial

reports of the applicant facility for the latest 3 fiscal years.

B) Required Point Totals – Hospital Applications

A hospital application for the development of a subacute care

hospital model must obtain a minimum of 50 Points for approval.

The applicant within the planning area receiving the most points

shall be granted the permit for the category of service if the

minimum point total has been exceeded. In the case of tie scores,

HFSRB shall base its decision on considerations relating to

location, scope of service and access.

2) State Board Prioritization – Long Term Care Facilities


18



A) All long term care applications for each planning area shall be rank

ordered based on points awarded as follows:


– 10 Points.


Points.



iv) The applicant has had an Exceptional Care Contract with

the Illinois Department of Healthcare and Family Services

for at least 2 years in the past 4 years – 3 Points.

v) Location in a medically underserved area (as defined by the

federal Department of Health and Human Services (section

332 of the Public Health Service Act (42 USC 254E)) as a

health professional shortage area) – 3 Points.

vi) The existence of Medicare and Medicaid certification at the

applicant facility and historic volume at the facility. The

following point allocation will be applied:

• In the last calendar year or fiscal year, Medicare/







Medicaid patient days exceeded 50% of total

facility patient days – 9 Points.

vii) For each of the last 2 calendar years, the applicant


18



institution documents a casemix consisting of ventilator

cases, head trauma cases, rehabilitation patients including

stroke cases, spinal cord injury, amputees and patients with

orthopaedic problems requiring subacute care, or patients

with multiple complex diagnoses that included

physiological monitoring on a continual basis, of such

magnitude that, if placed in the proposed subacute facility,

these patients would have constituted an annual occupancy

exceeding 50%. If a multi-institutional system, as defined

in subsection (c)(2)(A)(xiii), has an exclusive best efforts

agreement, then each of the cases listed in this subsection

(c)(2)(A)(vii) from the signatory facilities may be counted

in computing the 50% annual occupancy threshold – 5

Points.

viii) The applicant has documented that, during the last calendar

year, at least 20% of all patient days of the applicant

facility were reimbursed through contractual relationships

with PPOs or HMOs – 3 Points.

ix) If the applicant, over the last 5 year period, has been issued

a notice of revocation of license from IDPH or decertified

from the federal Title XVIII or XIX programs – Loss of 25

Points.

x) Staff support for the subacute care hospital model:

• Full time Medical Director exclusively for the

model – 1 Point.

• Physical therapist, 2 FTEs or more – 1 Point.

• Occupational therapist, 1 FTE or more – 1 Point.

• Speech therapist, 1 FTE or more – 1 Point.

xi) In areas where competing applications have been filed, 3

Points will be allocated to the application with the lowest

positive mean net margin over the last 3 fiscal years. Each


18



applicant must submit copies of the audited financial

reports of the applicant facility for the latest 3 fiscal years.

xii) The applicant institution is accredited by the Joint

Commission – 3 Points and 1 additional Point if

accreditation is "with commendation".

xiii) A multi-institutional system arrangement exists for the

referral of subacute patients under which the applicant

facility serves as the receiving facility for the system. A

multi-institutional system consists of a network of licensed

hospitals and long term care facilities located within the

planning area and within 60 minutes travel time of the

applicant that are interrelated by contractual agreement that

provides for an exclusive best effort arrangement

concerning the transfer of patients between facilities. Best

effort arrangement means the referring facility will

encourage and recommend to its medical staff that patients

requiring subacute care will only be transferred to the

applicant facility – 1 Point per each additional facility in

the multi-institutional system to a maximum of 10 Points.

B) A long term care facility's application for the development of a

subacute care hospital model must obtain a minimum of 50 Points

for approval. The applicant within the planning area receiving the

most points shall be granted the permit for the category of service

if the minimum point total has been exceeded. In the case of tie

scores, HFSRB shall base its selection on considerations relating to

location, scope of service and access.

3) HFSRB Prioritization of Previously Licensed Hospital Applications in

Chicago

A) All applications for sites previously licensed as hospitals in

Chicago shall be rank ordered based upon points awarded as

follows:

i) Compliance with all applicable review criteria of Subpart C

– 10 Points.


18




Points.



iv) Documentation that the proposed number of beds will be

utilized at an occupancy rate of 75% or more within 2 years

after permit approval. Documentation shall consist of

historical subacute caseload from one or more referral

facilities whose subacute caseload, in the future, would be

transferred to the subacute model for care, anticipated

caseload from physician referrals to the unit, and

demographic studies projecting the need for subacute

service within the primary market of the proposed subacute

hospital care model – 10 Points.

B) Required Point Totals – Previously Licensed Hospitals

The applicant within the planning area receiving the most points

shall be granted the permit for the category of service. In the case

of tie scores, HFSRB shall base its selection on considerations

relating to location, scope of service and access.

d) Project Completion

1) Since the purpose for establishment of this category of service is to

evaluate the alternative delivery model for effectiveness, these projects are

not complete until the model is evaluated and the decision made to adopt

or not adopt the model as an ongoing licensed level of service separate

from an alternative delivery model. A discontinuation permit will not be

required of a facility holding a subacute care hospital model permit if the

facility elects to discontinue the model but retain licensed subacute care

beds. The subacute care hospital model project shall be considered

complete as of the date IDPH is notified of the discontinuation. If, during

the course of the model evaluation period, an approved provider of the

subacute hospital care model elects to discontinue the category of service,

a replacement provider of the same type may be approved by the State

Board. If a need for an additional subacute care hospital model exists,


18



applications shall be approved in accordance with subsection (c). Any

alteration to the subacute care hospital model during the life of the permit

is subject to State Board review.

2) All assurances and charges for service presented in the application shall be

in effect for the life of the permit unless altered with the approval of the

State Board.

3) A subacute care hospital model shall have 24 months from the date of

permit issuance to become operational. Failure to begin operation in this

time period shall result in the permit becoming null and void.

Section 1110.255 Postsurgical Recovery Care Center Alternative Health Care Model

a) Introduction

1) This Section contains review criteria that pertain to the postsurgical

recovery care center alternative health care model category of service.

Definitions pertaining to this Section are contained in the Act, 77 Ill. Adm.

Code 1100 and 1130, and the Alternative Health Care Delivery Act. The

postsurgical recovery care center alternative health care model category of

service is a demonstration program that is authorized by the Alternative

Health Care Delivery Act. These postsurgical recovery care center

alternative health care model review criteria are utilized in addition to the

applicable review criteria of Subpart B and 77 Ill. Adm. Code 1120. This

Section also contains the methodology HFSRB will utilize in evaluating

competing applications, if any, for the establishment of any postsurgical

recovery care center alternative health care models.

2) A postsurgical recovery care center alternative health care model must

obtain a CON permit to establish the category of service prior to receiving

a license for the service. Failure to obtain a permit will result in the

application of sanctions as provided for in the Illinois Health Facilities

Planning Act.

3) As the purpose of the demonstration project is to evaluate the model for

quality factors, access and the impact on health care cost, each applicant

approved for the category of service will be required to periodically

submit data necessary for evaluating the model's effectiveness. All data


18



requests of this type shall be a component of the semiannual progress

reports required of all permit holders. Data collected shall be provided to

IDPH and the Illinois State Board of Health for use in their evaluation of

the model.

4) Applications received for the postsurgical recovery care center alternative

health care model shall be deemed complete upon receipt by HFSRB. All

postsurgical recovery care center alternative health care models, for the

purposes of review, shall be considered the establishment of a category of

service rather than an addition of beds. Due to the comparative nature of

the postsurgical recovery care center alternative health care model review,

applicants will not be allowed to amend the application or provide

additional supporting documentation during the review process prior to the

initial HFSRB decision. The application, as submitted to HFSRB, shall

serve as the basis for all standard and prioritization evaluations.

b) Review Criteria

1) Needs/Unit Size

The applicant must specify the number of beds to be in the proposed

postsurgical recovery care center. The applicant must also document that

the proposed number of beds is justified (utilizing the 80% occupancy

target) based upon the anticipated number of patients who will utilize the

service. Documentation shall consist of: patient identification numbers,

ICD 10 Code or procedure type, patient length of stay and surgical referral

site for each inpatient surgical case that occurred in surgical referral sites

over the last 12 month period that could have received surgical recovery

services within the model if it had been available.

2) Staffing

The applicant must document that the postsurgical recovery care center

will be a separate and distinct (physically separate and identifiable) facility

and have a dedicated nursing staff (i.e., that staff members working a shift

are assigned only to cover the model), a medical director and 24

hours/day, 7 days/week on call physician coverage by a physician licensed

to practice medicine in all of it branches. The on-call physician must be

able to be physically present at the model within 15 minutes upon request.

Documentation shall consist of: physical layout of the center (i.e., design

drawings); identification of the number and type of staff positions


18



dedicated to the model; identification of the facility medical director,

including a signed commitment to the facility by that person stating a

willingness to hold that position; and evidence that the required physician

coverage will be accomplished.

3) Patient Mix

The applicant must document that the postsurgical recovery care center is

capable of providing recovery care to patients receiving a wide variety of

surgical procedures. For the purposes of this subsection (b)(3), the

following specialties (listing not inclusive of all surgical procedures that

can recover in the model) shall be recognized: general surgery; eyes-ears-

nose-throat; orthopaedic; plastic surgery; ophthalmology; urology;

obstetrics-gynecology; and gastroenterology. The applicant must

document that anticipated referrals would result in admissions coming

from at least 3 of these surgical specialties and that each of the 3 specialty

groups represents a minimum of 10% of facility admissions totaling at

least 30%. Documentation shall consist of a detailed listing of the types of

surgical procedures that will be performed for which recovery care will be

provided and the protocols as to how recovery care will be given to each

type of surgical patient, with details concerning how patient safety will be

assured.

4) Travel Time/Patient Transfer

The applicant must document that the model will be located no farther

than 30 minutes travel time by medical transport from all surgical referral

sites. Documentation shall consist of identification of all surgical referral

sites and the travel time/travel distance to the recovery care center. The

applicant must also document who will have the responsibility for the

transfer of patients from the surgical site to the postsurgical recovery care

center and provide all transfer protocols, which must demonstrate the safe

transfer of the surgical patients to the postsurgical recovery care center

from each surgical referral site.

5) On Site Emergency Care

The applicant must document that the postsurgical recovery care center

will have the capability to provide on-site emergency services sufficient to

stabilize a patient for transfer to an acute care facility. Documentation

shall consist of all protocols established for the treatment of emergency

patients and the requirements established by the model for the education


18



of staff in emergency procedures. Each postsurgical recovery care center

must document that a crash cart is available on site and that staff trained in

cardiac defibrillation are available at all times.

c) HFSRB Evaluation

1) HFSRB shall evaluate each application for the postsurgical recovery care

center alternative health care model category of service (refer to 77 Ill.

Adm. Code 1100.750(c) for development restrictions) based upon

compliance with the conditions set forth in subsection (c)(2).

2) HFSRB Prioritization

A) An application for the category of service must meet the

development restrictions specified in 77 Ill. Adm. Code

1100.750(c).

B) All applications for each planning area shall be rank ordered based

on points awarded as follows:


– 10 Points.


Points.



iv) Location in a medically underserved area (as defined by the

federal Department of Health and Human Services (section

332 of the Public Health Service Act) as a health

professional shortage area) – 3 Points.

v) To ensure that the model evaluates a wide range of surgical

cases, an applicant shall be awarded an additional point for

each designated surgical specialty area beyond the required

3 areas from which patients are referred to the postsurgical

recovery care center.


18



vi) Historical Medicare and Medicaid surgical revenue at the

surgical referral sites: 10% to 25% – 3 Points, 26% to 50%

– 6 Points and over 50% – 9 Points.

vii) Accreditation of the applicant facility or facilities by The

Joint Commission or the Accreditation Association for

Ambulatory Healthcare (AAAHC) – 3 Points.

C) A postsurgical recovery care center alternative health care model

must obtain a minimum of 30 Points to be considered for approval.

Competing applications within a planning area that have obtained

the points necessary for permit consideration shall be evaluated by

the HFSRB to determine which application best implements the

goals of the Health Facilities Planning Act and the Alternative

Health Care Delivery Act.


1) Since the purpose of establishment of this category of service is to

evaluate the alternative delivery model for effectiveness, these projects are

not complete until the model is evaluated and the decision made to adopt

or not adopt the model as an ongoing licensed level of service separate

from an alternative delivery model. A discontinuation permit will not be

required of a facility holding a postsurgical recovery care center

alternative health care model permit if the facility elects to discontinue the

model. The postsurgical recovery care center alternative health care

model project shall be considered complete as of the date the Agency

receives notice of the discontinuation. If a need for an additional model

exists, applications shall be approved in accordance with this Section.

Any alteration, discontinuation or abandonment of the approved category

of service during the life of the permit is subject to State Board review.

2) All assurances and charges for service presented in the application shall be

in effect for the life of the permit unless altered with approval of the State

Board. Charges may be annually adjusted for inflation, not to exceed the

growth in the health care component of the Consumer Price Index.

3) A postsurgical recovery care center alternative health care model shall


18



have a period of 18 months from the date of permit issuance to become

operational. Failure to begin operation in this time period shall result in

the permit becoming null and void.

Section 1110.260 Community-Based Residential Rehabilitation Center Alternative Health

Care Model

a) Introduction

1) This Section contains review criteria that pertain to the community-based

residential rehabilitation center category of service. Definitions pertaining

to this Section are contained in the Act, 77 Ill. Adm. Code 1100 and 1130,

and the Alternative Health Care Delivery Act. The community-based

residential rehabilitation category of service is a demonstration program

authorized by the Alternative Health Care Delivery Act.

2) As the purpose of the demonstration project is to evaluate the community-

based residential rehabilitation model for quality factors, access, and the

impact on health care costs, the model approved for the category of

service will be required to periodically submit data necessary for

evaluating the model's effectiveness. Data collected shall be provided to

IDPH and the Illinois State Board of Health for use in their evaluation of

the model.

b) Review Criteria

1) Staffing

The applicant shall furnish a detailed staffing plan that provides: staff

qualifications; identification of the number and type of staff positions

dedicated to the model; how special staffing circumstances will be

handled; staffing patterns for the proposed community-based residential

rehabilitation center; and the manner in which non-dedicated staff services

will be provided.

2) Mandated Services

The applicant shall document that the community-based residential

rehabilitation center has the capability of providing the minimum range of

services required under Section 35 of the Alternative Health Care Delivery

Act. Documentation shall consist of a narrative of how services will be


18



provided.

3) Unit Size

The applicant shall document the number and location of all beds in the

model. The applicant shall also document that the number of community-

based residential rehabilitation beds shall not exceed 12 beds in any one

residence, as defined in Section 35 of the Alternative Health Care Delivery

Act. No community-based residential rehabilitation center alternative

health care delivery model shall exceed 100 beds.

4) Utilization

The applicant shall document that the target utilization for this model (as

defined at 77 Ill. Adm. Code 1100.770(c)) will be achieved by the second

year of the model's operation. Documentation shall include, but not be

limited to, historical utilization trends, population growth, expansion of

professional staff or programs, and new procedures that increase

utilization.

5) Background of Applicant

The applicant shall demonstrate experience in providing the services

required by the model. Additionally, the applicant shall document that the

programs provided in the model have been accredited by the Commission

on Accreditation of Rehabilitation Facilities as a Brain Injury Community-

Integrative Program for at least 3 of the last 5 years.

c) In order for an application for the community-based residential rehabilitation

center alternative health care model to be approved, the applicant must comply

with all criteria established in subsection (b). Competing applications within a

planning area that comply with all criteria shall be evaluated by the State Board to

determine which application best implements the goals of the Health Facilities

Planning Act and the Alternative Health Care Delivery Act.


1) Since the purpose for the establishment of this category of service is to

evaluate the alternative model for effectiveness, these projects are not

complete until such time as the model is evaluated and the decision made

to adopt or not adopt the model as an ongoing licensed level of service

separate from an alternative delivery model. A permit will not be required


18



of a community-based residential rehabilitation alternative health care

model that proposes to cease participation in the demonstration program.

If the facility proposes to discontinue the model, written notice containing

the reasons for the discontinuation must be received by the State Board at

least 90 days prior to the anticipated discontinuation. The project shall be

considered abandoned as of the date IDPH receives notice of the actual

discontinuation or the date the last client is discharged, whichever is later,

and the facility should be removed from the inventory.

2) After obtaining its initial certificate of need, a community-based

residential rehabilitation center alternative health care delivery model must

obtain an additional certificate of need from the State Board before

increasing the bed capacity of the center, as mandated by Section 35(b) of

the Alternative Health Care Delivery Act.

3) All assurances for service presented in the application shall be in effect

until the demonstration program has been completed, unless altered with

approval of the State Board.

4) A community-based residential rehabilitation center alternative health care

model shall have a period of 12 months from the date of permit issuance to

become operational. Failure to begin operation in this time period shall

result in the permit becoming null and void.

Section 1110.265 Long Term Acute Care Hospital Bed Projects

a) Introduction

1) This Section applies to projects involving Long Term Acute Care Hospital

(LTACH) services. Applicants proposing to establish, expand or

modernize an LTACH category of service shall comply with the



Establishment of




calculation )


18




to Planning Area Residents



Category of Service


Accessibility


Services


(c)(3) − Impact of Project on Other

Area Providers



(g) − Assurances


Services


to Planning Area Residents


Demand – Expansion of

Category of Service



(g) − Assurances

Category of Service

Modernization






on-site, the applicant shall comply with the requirements listed in

subsection (a)(1) (Category of Service Modernization) plus subsection (g)

(Assurances).



(a)(1) (Establishment of ASTC Facility or Additional ASTC Service).


18








5) If the proposed project involves the conversion of existing acute care beds

to LTACH services, the applicant shall comply with the requirements of

subsection (a)(1) (Establishment of ASTC Facility or Additional ASTC

Service), as well as requirements in subsection (b)(6) (Conversion of

Existing General Acute Care Beds).

b) Planning Area Need − Review Criteria

The applicant shall document that the number of LTACH beds to be established

or added is necessary to serve the planning area's population, based on the

following:


A) The number of LTACH beds to be established is in conformance

with the projected bed deficit specified in 77 Ill. Adm. Code 1100,

as reflected in the latest updates to the Inventory.

B) The number of LTACH beds proposed shall not exceed the number

of the projected deficit, to meet the health care needs of the

population served, in compliance with the occupancy standard









B) Applicants proposing to add beds to an existing LTACH service

shall provide patient origin information for all admissions for the


18



last 12-month period, verifying that at least 75% of admissions

were residents of the area. For all other projects,

applicants shall document that at least 75% of the projected patient

volume will be from residents of the area.

C) Applicants proposing to expand an existing LTACH service shall

submit patient origin information by zip code, based upon the


3) Service Demand – Establishment of LTACH Service

The number of beds proposed to establish a new category of hospital bed


annually by the existing applicant facility over the latest 2-year period, as

evidenced by historical and projected referrals, or, if the applicant

proposes to establish a new hospital, the applicant shall submit projected

referrals. The applicant shall document subsection (b)(3)(A) and either

subsection (b)(3)(B) or (C).




category of hospital service, for each of the latest 2 years.

Documentation of the referrals shall include patient origin by zip

code, name and specialty of referring physician, and name and

location of the recipient hospital.


An applicant proposing to establish a category of service or

establish a new hospital shall submit the following:



received care at existing LTACH facilities located in the

area or had a length of stay of over 25 days in a general

acute care hospital and were considered to be LTACH

candidates, annually over the latest 2-year period prior to

submission of the application; and an estimate as to the

number of patients that will be referred to the applicant's

facility;


18





















tract;












18




horizon;






HFSRB.

D) Type of Patients

The applicant shall identify the type of patients that will be served

by the project by providing the anticipated diagnosis (by DRG

classification) for anticipated admissions to the facility. The

applicant shall also indicate the types of service (e.g., ventilator

care, etc.) to be provided by the project.

4) Service Demand – Expansion of Bed Category of Service









latest 2 years.






latest 2 years.



18




i) Physician referral letters that attest to the number of

patients (by zip code of residence) that have received care

at existing LTACH facilities located in the area or had a

length of stay of over 25 days in a general acute care

hospital and were considered to be LTACH candidates,

during the 12-month period prior to submission of the

application;





historical caseload. The percentage of project referrals

used to justify the proposed expansion cannot exceed the

historical percentage of applicant market share, within a

24-month period after project completion;














tract;




18












horizon;






HFSRB.









area;




charity care;


18



















providers;





providers;




6) Conversion of Existing General Acute Care Beds – Review Criterion


18



An applicant proposing to establish a Long Term Acute Care Hospital

category of service through the conversion of existing general acute care

beds shall:

A) Address Section 1110.30 for discontinuation of categories of

service;

B) Identify modifications in scope of services or elimination of

clinical service areas, not covered in Section 1110.290 (e.g.,

Emergency Department Classification, Surgical Services,

Outpatient Services, etc.);

C) Submit a statement as to whether the following clinical service

areas are to be available to the general population (non-LTACH):

operating rooms, surgical procedure rooms, diagnostic services,

therapy services (physical, occupational, speech, respiratory) and

other outpatient services; and

D) Document that changes in clinical service areas will not have an

adverse impact upon the health care delivery system. An applicant

shall document that a written request for information on any

adverse impact was received by all hospitals within the established

radii outlined in 77 Ill. Adm. Code 1100.510(d), and that the

request included a statement that a written response be provided to

the applicant no later than 15 days after receipt. Failure by an

existing facility to respond to the applicant's request for

information within the prescribed 15-day response period shall

constitute a nonrebuttable assumption that the existing facility will

not be adversely impacted.

c) Unnecessary Duplication/Maldistribution − Review Criteria



information:





18








Adm. Code 1100.510(d) of the project site that provide the







the State average;




Adm. Code 1100; or











d) LTACH Modernization


18



1) If the project involves modernization of an LTACH category of service,

the applicant shall document that the inpatient bed areas to be modernized

are deteriorated or functionally obsolete and need to be replaced or

modernized due to such factors as, but not limited to:


B) Noncompliance with licensing or life safety codes;

C) Changes in standards of care (e.g., private versus multiple

bed rooms); or





3) Other documentation shall include the following, as applicable

to the factors cited in the application:













18





f) Performance Requirements

1) Bed Capacity Minimum

An applicant shall document that the project will result in a facility

capacity of at least 50 LTACH beds located in an MSA and 25 LTACH

beds in a non-MSA.

2) Length of Stay

A) An applicant proposing to add beds to an existing service shall

document that the average length of stay (ALOS) for the subject

service is consistent with the planning area's 3-year ALOS.

B) Documentation shall consist of the 3-year ALOS for all hospitals

within the planning area (as reported in the Annual Hospital

Questionnaire).

C) An applicant whose existing services have an ALOS exceeding

125% of the ALOS for area providers shall document that the

severity or type of illness treated at the applicant facility is

significantly higher than the planning area average.

Documentation shall be provided from CMMS or other objective

records.

D) An applicant whose existing services have an ALOS lower than the

planning area ALOS shall submit an explanation as to the reasons

for the divergence.

3) Be certified by Medicare as a Long Term Acute Care Hospital within 12

months after the date of project completion.

g) Assurances


and dated statement attesting to the applicant's understanding that, within 30

months of operation after the project completion, the applicant will achieve and


18





Section 1110.270 Clinical Service Areas Other Than Categories of Service

a) Introduction

1) These criteria are applicable only to those projects or components of

projects (including major medical equipment), concerning Clinical Service

Areas (CSAs) that are not Categories of Service, but for which utilization

standards are listed in Appendix B, including:

A) Surgery

B) Emergency Services and/or Trauma

C) Ambulatory Care Services (organized as a service)

D) Diagnostic and Interventional Radiology/Imaging (by modality)

E) Therapeutic Radiology

F) Laboratory

G) Pharmacy

H) Occupational Therapy/Physical Therapy

I) Major Medical Equipment

2) The applicant shall also comply with requirements of the review criterion

in Section 1110.120(a) (Size of Project – Review Criteria), as well as all

other applicable requirements in this Part and 77 Ill. Adm. Code 1100 and

1130. Applicants proposing to establish, expand or modernize CSAs shall

comply with the applicable subsections of this Section, as follows:


New Services or Facility

or Equipment

(b) − Need Determination −

Establishment


18



Service Modernization (c)(1) − Deteriorated Facilities

and/or

(c)(2) − Necessary Expansion

PLUS

(c)(3)(A) − Utilization − Major

Medical Equipment

or

(c)(3)(B) − Utilization − Service or

Facility



subsection (a)(2) (Service Modernization).

4) If the proposed project involves the replacement of a facility or service on


(a)(2) (New Services or Facility or Equipment).

5) Projects involving the replacement of a service or facility shall meet or

exceed the utilization standards for the service, as specified in Appendix

B.

6) The number of key rooms proposed in a replacement or modernization

project shall be justified by the historical utilization for each of the latest

2 years, per utilization standards cited in Appendix B.

b) Need Determination − Establishment

The applicant shall describe how the need for the proposed establishment was

determined by documenting the following:

1) Service to the Planning Area Residents

A) Either:

i) The primary purpose of the proposed project is to provide

care to the residents of the planning area in which the

proposed service will be physically located; or


18



ii) If the applicant service area includes a primary and

secondary service area that expands beyond the planning

area boundaries, the applicant shall document that the

primary purpose of the project is to provide care to

residents of the service area; and

B) Documentation shall consist of strategic plans or market studies

conducted, indicating the historical and projected incidence of

disease or health conditions, or use rates of the population. The

number of years projected shall not exceed the number of historical

years documented. Any projections and/or trend analyses shall not

exceed 10 years.

2) Service Demand

To demonstrate need for the proposed CSA services, the applicant shall

document one or more of the indicators presented in subsections (b)(2)(A)

through (D). For any projections, the number of years projected shall not

exceed the number of historical years documented. Any projections

and/or trend analyses shall not exceed 10 years.

A) Referrals from Inpatient Base

For CSAs that will serve as a support or adjunct service to existing

inpatient services, the applicant shall document a minimum 2-year

historical and 2-year projected number of inpatients requiring the

subject CSA.

B) Physician Referrals

For CSAs that require physician referrals to create and maintain a

patient base volume, the applicant shall document patient origin

information for the referrals. The applicant shall submit original

signed and notarized referral letters, containing certification by the

physicians that the representations contained in the letters are true

and correct.

C) Historical Referrals to Other Providers

If, during the latest 12-month period, patients have been sent to

other area providers for the proposed CSA services, due to the

absence of those services at the applicant facility, the applicant

shall submit verification of those referrals, specifying: the service


18



needed; patient origin by zip code; recipient facility; date of

referral; and physician certification that the representations

contained in the verifications are true and correct.

D) Population Incidence

The applicant shall submit documentation of incidence of service

based upon IDPH statistics or category of service statistics.

3) Impact of the Proposed Project on Other Area Providers

The applicant shall document that, within 24 months after project

completion, the proposed project will not:

A) Lower the utilization of other area providers below the utilization

standards specified in Appendix B.

B) Lower, to a further extent, the utilization of other area providers

that are currently (during the latest 12-month period) operating

below the utilization standards.

4) Utilization

Projects involving the establishment of CSAs shall meet or exceed the

utilization standards for the services, as specified in Appendix B. If no

utilization standards exist in Appendix B, the applicant shall document its

anticipated utilization in terms of incidence of disease or conditions, or

historical population use rates.

c) Service Modernization

The applicant shall document that the proposed project meets one of the

following:

1) Deteriorated Equipment or Facilities

The proposed project will result in the replacement of equipment or

facilities that have deteriorated and need replacement. Documentation

shall consist of, but is not limited to: historical utilization data, downtime

or time spent out of service due to operational failures, upkeep and annual

maintenance costs, and licensure or fire code deficiency citations

involving the proposed project.

2) Necessary Expansion


18



The proposed project is necessary to provide expansion for diagnostic

treatment, ancillary training or other support services to meet the

requirements of patient service demand. Documentation shall consist of,

but is not limited to: historical utilization data, evidence of changes in

industry standards, changes in the scope of services offered, and licensure

or fire code deficiency citations involving the proposed project.

3) Utilization

A) Major Medical Equipment

Proposed projects for the acquisition of major medical equipment

shall document that the equipment will achieve or exceed any

applicable target utilization levels specified in Appendix B within

12 months after acquisition.

B) Service or Facility

Projects involving the modernization of a service or facility shall

meet or exceed the utilization standards for the service, as

specified in Appendix B. The number of key rooms being

modernized shall not exceed the number justified by historical

utilization rates for each of the latest 2 years, unless additional key

rooms can be justified per subsection (c)(2) (Necessary

Expansion).

C) If no utilization standards exist, the applicant shall document in

detail its anticipated utilization in terms of incidence of disease or

conditions, or population use rates.

Section 1110.275 Birth Center – Alternative Health Care Model

a) Introduction

1) This Section contains review criteria that pertain to the birth center model

category of service. The birth center model category of service is a

demonstration program that is authorized by the Alternative Health Care

Delivery Act. Definitions pertaining to this category of service are

contained in 77 Ill. Adm. Code 1100 and 1130 and in the Alternative

Health Care Delivery Act. These birth center model review criteria are


18



utilized in addition to the applicable review criteria of Subpart B and 77


2) A Certificate of Need (CON) permit shall be obtained to establish a birth

center model. CON application forms are available from HFSRB's

website (www.hfsrb.illinois.gov).

3) Failure to obtain a permit will result in the application of sanctions as

provided for in the Illinois Health Facilities Planning Act.

4) CON applications for permits received for the birth center model shall be

deemed complete upon receipt by HFSRB.

5) As the purpose of the demonstration project is to evaluate the birth center

model for quality factors, access and the impact on health care costs, each

applicant approved for the category of service will be required to

periodically submit data necessary for evaluating the model's

effectiveness.

b) Review Criteria

1) Location Requirements

A) There shall be no more than 10 birth center alternative health care

models in the demonstration program including:

i) A total of 4 located in the combined Cook, DuPage, Kane,

Lake, McHenry and Will counties;

ii) A total of 3 located in municipalities with a population of

50,000 or more not located in an area described in

subsection (b)(1)(A)(i); and

iii) A total of 3 located in rural areas.

B) In each of the geographic groups identified in subsection (b)(1)(A),

one birth center shall be owned or operated by a hospital and one

birth center shall be owned and operated by a federally qualified

health center.


18



C) Documentation

i) The applicant shall document that the proposed birth center

will be located in one of the geographic areas stated in the

Alternative Health Care Delivery Act and described in

subsection (b)(1)(A); and

ii) The applicant shall document that the proposed birth center

is owned or operated by a hospital or owned or operated by

a federally qualified health center or owned and operated

by a private person or entity.

D) As stated in Section 30 of the Alternative Health Care Delivery

Act, there shall be no more than 2 birth centers authorized to

operate in any single health planning area for obstetric services as

determined under the Illinois Health Facilities Planning Act [20

ILCS 3960].

2) Service Provision to a Health Professional Shortage Area

A) The first 3 birth centers authorized to be operated by IDPH shall

be located in or predominantly serve the residents of a health

professional shortage area, as determined by the U.S. Department

of Health and Human Services. [210 ILCS 3/30] The applicant

shall document whether the proposed site is located in or will

predominantly serve the residents of a health professional shortage

area.

B) If a birth center is located outside of a health professional

shortage area:

i) the birth center shall be located in a health planning area

with a demonstrated need for obstetrical service beds, as

determined by the Health Facilities and Services Review

Board; or

ii) there shall be a reduction in the existing number of

obstetrical service beds in the planning area so that the


18



establishment of the birth center does not result in an

increase in the total number of obstetrical service beds in

the health planning area. [210 ILCS 3/30]

3) Admission Policies

A birth center may not discriminate against any patient requiring

treatment because of the source of payment for services, including

Medicare and Medicaid recipients. [210 ILCS 3/35] Documentation shall

consist of copies of all admission policies to be in effect at the facility and

a signed statement that no restrictions on admissions due to these factors

will occur.

4) Bed Capacity

The applicant shall document that the proposed birth center will have no

more than 10 beds.

5) Staffing Availability

The applicant shall document that relevant clinical and professional

staffing needs for the proposed project were considered and that licensure

staffing requirements can be met. In addition, the applicant shall

document that necessary staffing is available by providing a narrative


6) Emergency Surgical Backup

The applicant shall document that either:

A) The birth center will operate under a hospital license and will be

located within 30 minutes ground travel time from the hospital to

allow for an emergency caesarian delivery to be started within 30

minutes after the decision that a caesarian delivery is necessary; or

B) A contractual agreement has been signed with a licensed hospital

for the referral and transfer of patients in need of an emergency

caesarian delivery. Birth centers shall be located within 30

minutes ground travel time from the licensed hospital to allow for

an emergency caesarian delivery to be started within 30 minutes

after the decision that a caesarian delivery is necessary. [210 ILCS

3/35]


18



7) Education

A birth center shall offer prenatal care and community education services

and shall coordinate these services with other health care services

available in the community. [210 ILCS 3/35] Documentation shall consist

of a written narrative on the prenatal care and community education

services offered by the birth center and how these services are being

coordinated with other health services in the community.

8) Inclusion in Perinatal System

A) Requirements

i) At a minimum, the birth center's participation shall require

a birth center to establish a letter of agreement with a

hospital designated under the Perinatal System.

ii) A hospital that operated or has a letter of agreement with a

birth center shall include the birth center under its

maternity service plan under the Hospital Licensing Act

and shall include the birth center in the hospital's letter of

agreement with its perinatal center. [210 ILCS 3/30]

B) Documentation

i) A hospital that operated or has a letter of agreement with a

birth center shall provide a copy of the hospital's letter of

agreement with its perinatal center and of copy of the

hospital's maternity service plan.

ii) An applicant that is not a hospital shall identify the regional

perinatal center that will provide neonatal intensive care

services, as needed, to the applicant birth center patients. A

letter of intent, signed by both the administrator of the

proposed birth center and the administrator of the regional

perinatal center, shall be provided.

9) Medicare/Medicaid Certification

The applicant shall document that the proposed birth center will be

certified to participate in the Medicare and Medicaid programs under titles


18



XVIII and XIX, respectively, of the federal Social Security Act (42 USC

1395 and 1396).

10) Charity Care

All birth centers shall provide charitable care consistent with that

provided by comparable health care providers in the geographic area.

[210 ILCS 3/30] The applicant shall provide to HFSRB a copy of the

charity care policy that will be adopted by the proposed birth center.

11) Quality Assurance

Each birth center shall implement a quality assurance program with

measurable benefits. [210 ILCS 3/30] The applicant shall provide to

HFSRB a copy of the quality assurance program to be adopted by the birth

center.

Section 1110.280 Introduction Freestanding Emergency Center Medical Services

a) Introduction

No person shall construct, modify or establish a freestanding emergency center in

Illinois, or acquire major medical equipment or make capital expenditures in

relation to such a facility in excess of the capital expenditure minimum, as defined

by the Act, without first obtaining a permit from the State Board in accordance

with this Section. [20 ILCS 3960/5.1a]

b) Review Criteria

1) These criteria are applicable only to those projects or components of

projects involving the freestanding emergency center (FEC) medical

services (FECMS) category of service. In addition, the applicant shall

address other applicable requirements in this Part, as well as those in 77

Ill. Adm. Code 1100 and 1130. Applicants proposing to establish, expand

or modernize an FECMS category of service shall comply with the



Establishment of Service (c)(1) − Planning Area Need – 77 Ill. Adm.

Code 1100 Formula Calculation

(c)(2) − Service to Area Residents


18



(c)(3) − Service Demand for Establishment

(c)(4) − Service Accessibility

(d)(1) − Unnecessary Duplication of Services

(d)(2) − Maldistribution

(d)(3) − Impact on Other Providers

(d)(4) − Request for Data from Other

Providers

(f) − Staffing Availability


Service

(c)(2) − Service to Area Residents

(f) − Staffing Availability

Category of Service

Modernization

(e)(1) − Deteriorated Facilities

(e)(2) − Documentation

(e)(3) − Additional Documentation

2) If the proposed project involves the replacement of an FEC facility on site,

the applicant shall comply with the requirements listed in subsection (b)(1)

for Category of Service Modernization.

3) If the proposed project involves the replacement of the FEC facility on a

new site, the applicant shall comply with the requirements listed in

subsection (b)(1) for Establishment of Service.

4) All projects shall meet or exceed the utilization standards for the service,

as specified in 77 Ill. Adm. Code 1100.

5) All projects for an FEC must comply with the licensing requirements

established in Section 32.5 of the Emergency Medical Services (EMS)

Systems Act, including the requirements that the proposed FEC is located:

A) in a municipality with a population of 75,000 or fewer inhabitants;

B) within 20 miles of the hospital that owns or controls the FEC; and

C) within 20 miles of the Resource Hospital affiliated with the FEC as

part of the EMS system (Section 32.5(a) of the Emergency Medical

Services (EMS) Systems Act).


18



6) The applicant shall certify that it has reviewed, understands and plans to

comply with all of the following requirements:

A) The requirements of becoming a Medicare provider of freestanding

emergency services; and

B) The requirements of becoming licensed under the Emergency

Medical Services (EMS) Systems Act.

c) Area Need – Establishment or Expansion of Service

1) 77 Ill. Adm. Code 1100 Formula Calculation

No formula need calculation has been established for the FECMS category

of service.

2) Service to Area Residents

Applicants proposing to establish or expand an FECMS category of

service shall document that the primary purpose of the project will be to

provide necessary health care to the residents of the geographic service

area (GSA), which is defined as 30 minutes travel time from the proposed

FEC site.

A) For projects to establish an FECMS category of service, the

applicant shall document that at least 50% of the projected patient

volume will be residents of the GSA. Documentation shall consist

of patient origin data, as follows:

i) Letters from authorized representatives of hospitals or other

FEC facilities that are part of the Emergency Medical

Services (EMS) System for the defined GSA, including

patient origin data by zip code. If letters are submitted as

documentation, a certification in each letter, by the

authorized representative, that the representations contained

in the letter are true and correct. A complete set of the

letters with original notarized signatures shall accompany

the application for permit; or

ii) Patient origin data by zip code from independent data

sources (e.g., Illinois Hospital Association CompData or


18



IDPH hospital discharge data), based upon the patient's

legal residence, for patients receiving services at the

existing GSA facilities' emergency departments (ED),

verifying that at least 50% of the ED patients served during

the last 12-month period were residents of the GSA.

B) An applicant proposing to expand an FECMS category of service

shall provide patient origin information for all patients served at

the existing FEC facility for the last 12-month period, verifying

that at least 50% of patients served were residents of the GSA.

The applicant shall submit patient origin information by zip code,

based upon the patient's legal residence.

3) Service Demand − Establishment of FECMS Category of Service

The applicant shall document that establishment of an FECMS category of


annually by the existing GSA hospitals over the latest 2-year period.

A) Historical Utilization

The applicant shall document the annual number of ED patients

that have received care at facilities that are located in the

applicant's defined GSA for the latest 2-year period prior to

submission of the application;

B) Projected Utilization

The applicant shall document:

i) the estimated number of patients anticipated to receive

services at the proposed FEC. The anticipated number

cannot exceed the documented historical caseload of all

hospitals that are located in the applicant's defined GSA.

ii) if applicable, the estimated number of patients anticipated

to receive services at the proposed FEC, based upon rapid

population growth in the applicant facility's existing market

area.

C) Projected Service Demand – Documentation Parameters


18



i) Population projections shall be produced, using, as a base,

the population census or estimate for the most recent year

for zip code, county, incorporated place, township, or

community area by the U.S. Census Bureau or IDPH;

ii) Projections shall be for a maximum period of 10 years from


iii) The number of years projected shall not exceed the number

of historical years documented;

iv) Projections shall contain documentation of population

changes in terms of births, deaths, and net migration for a


horizon;

v) Projections shall be for total population and specified age

groups for the applicant's market area, as defined by HFPB

for each category of service in the application; and

vi) Documentation on projections methodology, data sources,


HFPB.


The proposed project to establish or expand an FECMS category of

service is necessary to improve access for GSA residents. The applicant

shall document the following:



factors exists in the GSA:

i) The absence of ED services within the GSA;

ii) The area population and existing care system exhibit

indicators of medical care problems, such as high infant

mortality, or designation by the Secretary of Health and

Human Services as a Health Professional Shortage Area, a


18



Medically Underserved Area, or a Medically Underserved

Population;

iii) All existing emergency services within the established radii

outlined in 77 Ill. Adm. Code 1100.510(d) meet or exceed

the utilization standard specified in 77 Ill. Adm. Code

1100.




i) The location and utilization of other GSA service

providers;


iii) Travel-time studies;


v) Scheduling or admission restrictions that exist in GSA

providers;

vi) An assessment of GSA population characteristics that

documents that access problems exist;


d) Unnecessary Duplication/Maldistribution − Review Criterion



information:

A) A list of all zip code areas (in total or in part) that are located




18








Adm. Code 1100.510(d) from the project site that provide

emergency medical services.



facilities within the Normal Travel Time have an excess supply of ED

treatment stations characterized by such factors as, but not limited to:


submission of the application) for existing ED within the

established radii outlined in 77 Ill. Adm. Code 1100.510(d) of the

applicant's site that is below the utilization standard established

pursuant to 77 Ill. Adm. Code 1100; or


necessary to utilize the ED services proposed by the project at or

above utilization standards.



A) Will not lower the utilization of other GSA providers below the

utilization standards specified in 77 Ill. Adm. Code 1100; and

B) Will not lower, to a further extent, the utilization of other GSA

hospitals or FECs that are currently (during the latest 12-month

period) operating below the utilization standards.

4) The applicant shall document that a written request was received by all

existing facilities that provide ED service located within the established

radii outlined in 77 Ill. Adm. Code 1100.510(d) of the project site asking

the number of treatment stations at each facility, historical ED utilization,

and the anticipated impact of the proposed project upon the facility's ED


18



utilization. The request shall include a statement that a written response

be provided to the applicant no later than 15 days after receipt. Failure by

an existing facility to respond to the applicant's request for information

within the prescribed 15-day response period shall constitute an

assumption that the existing facility will not experience an adverse impact

in utilization from the project. Copies of any correspondence received

from the facilities shall be included in the application.

e) Category of Service Modernization

1) If the project involves modernization of an existing FECMS category of

service, the applicant shall document that the existing treatment areas to be

modernized are deteriorated or functionally obsolete and need to be

replaced or modernized, due to such factors as, but not limited to:



C) Changes in standards of care; or



A) IDPH Inspection reports; and


3) Other documentation shall include the following, as applicable

to the factors cited in the application:




f) Staffing Availability − Review Criterion


18



1) An applicant proposing to establish an FECMS category of service shall

document that a sufficient supply of personnel will be available to staff the

service. Sufficient staff availability shall be based upon evidence that for

the latest 12-month period prior to submission of the application, those

hospitals or FECs located in zip code areas that are (in total or in part)

within one hour normal travel time of the applicant facility's site have not

experienced a staffing shortage with respect to the categories of services

proposed by the project.

2) A staffing shortage is indicated by an average annual vacancy rate of more

than 10% for budgeted full-time equivalent staff positions for health care

workers who are subject to licensing by the Department of Financial and

Professional Regulation.

3) An applicant shall document that a written request for such information

was received by all existing facilities within the zip code areas, and that

the request included a statement that a written response be provided to the

applicant no later than 15 days after receipt. Failure by an existing facility

to respond to the applicant's request for information within the prescribed

15-day response period shall constitute an assumption that the existing

facility has not experienced staffing vacancy rates in excess of 10%.

Copies of any correspondence received from the facilities shall be

included in the application.

4) If more than 25% of the facilities contacted indicated an experienced

staffing vacancy rate of more than 10% percent, the applicant shall

provide documentation as to how sufficient staff shall be obtained to

operate the proposed project, in accordance with licensing requirements.

Section 1110.290 Discontinuation – Review Criteria

These criteria pertain to the discontinuation of categories of service and health care facilities.

a) Information Requirements − Review Criterion

The applicant shall provide at least the following information:

1) Identification of the categories of service and the number of beds, if any,

that are to be discontinued;


18



2) Identification of all other clinical services that are to be discontinued;

3) The anticipated date of discontinuation for each identified service or for

the entire facility;

4) The anticipated use of the physical plant and equipment after

discontinuation occurs;

5) The anticipated disposition and location of all medical records pertaining

to the services being discontinued and the length of time the records will

be retained;

6) For applications involving discontinuation of an entire facility,

certification by an authorized representative that all questionnaires and

data required by HFSRB or the Illinois Department of Public Health

(IDPH) (e.g., annual questionnaires, capital expenditures surveys, etc.)

will be provided through the date of discontinuation and that the required

information will be submitted no later than 60 days following the date of

discontinuation.

b) Reasons for Discontinuation − Review Criterion

The applicant shall document that the discontinuation is justified by providing

data that verifies that one or more of the following factors (and other factors, as

applicable) exist with respect to each service being discontinued:

1) Insufficient volume or demand for the service;

2) Lack of sufficient staff to adequately provide the service;

3) The facility or the service is not economically feasible, and continuation

impairs the facility's financial viability;

4) The facility or the service is not in compliance with licensing or

certification standards.

c) Impact on Access − Review Criterion

The applicant shall document whether the discontinuation of each service or of

the entire facility will have an adverse impact upon access to care for residents of


18



the facility's market area. The facility's market area, for purposes of this Section,

is the established radii outlined in 77 Ill. Adm. Code 1100.510(d). Factors that

indicate an adverse impact upon access to service for the population of the

facility's market area include, but are not limited to, the following:

1) The service will no longer exist within the established radii outlined in 77

Ill. Adm. Code 1100.510(d) of the applicant facility;

2) Discontinuation of the service will result in creating or increasing a

shortage of beds or services, as calculated in the Inventory of Health Care

Facilities, which is described in 77 Ill. Adm. Code 1100.70 and found on

HFSRB's website;

3) Facilities or a shortage of other categories of service at determined by the

provisions of 77 Ill. Adm. Code 1100 or other Sections of this Part.

d) The applicant shall provide copies of notification letters sent to other resources or

health care facilities that provide the same services as those proposed for

discontinuation and that are located within the established radii outlined in 77 Ill.

Adm. Code 1100.510(d). The notification letter must include at least the

anticipated date of discontinuation of the service and the total number of patients

that received care or the number of treatments provided (as applicable) during the

latest 24 month period.


18



Section 1110.APPENDIX A ASTC Services

The following is a list of ASTC services for Non-Hospital Based Ambulatory Surgical Treatment

Centers (ASTC):

1. Cardiovascular

2. Colon and Rectal Surgery

3. Dermatology

4. General Dentistry

5. General Surgery

6. Gastroenterology

7. Neurological Surgery

8. Nuclear Medicine

9. Obstetrics/Gynecology

10. Ophthalmology

11. Oral/Maxillofacial Surgery

12. Orthopaedic Surgery

13. Otolaryngology

14. Pain Management

15. Physical Medicine and Rehabilitation

16. Plastic Surgery

17. Podiatric Surgery


18



18. Radiology

19. Thoracic Surgery

20. Urology

Other ASTC services will be considered on a case-by-case basis.


18



Section 1110.APPENDIX B State Guidelines − Square Footage and Utilization

The following area standards are established for departments, clinical service areas and facilities.

All Diagnostic and Treatment utilization numbers are the minimums per unit for establishing

more than one unit, except where noted in 77 Ill. Adm. Code 1100. HFSRB shall periodically

evaluate the guidelines to determine if revisions should be made. Any revisions will be

promulgated in accordance with the provisions of the Illinois Administrative Procedure Act.

Definitions pertaining to this Appendix are contained in 77 Ill. Adm. Code 1100.220.

HOSPITAL-BASED SERVICES

For hospitals, area determinations for departments and clinical service areas are to be made in

departmental gross square feet (dgsf). Spaces to be included in the applicant's determination of

square footage shall include all functional areas minimally required by the Hospital Licensing

Act, applicable federal certification, and any additional spaces required by the applicant's

operational program.

Service Areas

Square Feet/Unit

or Key Room Annual Utilization/Unit

ACUTE CARE

Medical-Surgical, Pediatric, Obstetric &

Long Term Acute Care Service 500-660 dgsf/Bed See 77 Ill. Adm. Code 1100

Newborn Nursery (includes Level I,

Level II, and Level II+ with extended

neonatal capabilities)

160 dgsf/Obstetrics

Bed & LDRP

Labor Delivery Recovery (LDR) 1120-1600

dgsf/Room 400 Births/LDR Room

Labor Delivery Recovery Post-partum

(LDRP)

1120-1600

dgsf/Bed See 77 Ill. Adm. Code 1100

C-Section Suite 2075 dgsf/OR 800 Procedures/Room

Acute Mental Illness Service 440-560 dgsf/Bed See 77 Ill. Adm. Code 1100

Comprehensive Physical Rehabilitation

Service 525-660 dgsf/Bed See 77 Ill. Adm. Code 1100


18



Hospital Based Long-Term Care 440-560 dgsf/Bed See 77 Ill. Adm. Code 1100

CRITICAL CARE

Intensive Care Service 600-685 dgsf/Bed See 77 Ill. Adm. Code 1100

Neonatal Intensive Care (NICU) or

Level III Nursery

434-568 dgsf/Bed

or Bassinet See 77 Ill. Adm. Code 1100

DIAGNOSTIC AND TREATMENT

Diagnostic/Interventional Radiology

(Excludes portables & mobile

equipment/Utilization)

• General Radiology 1300 dgsf/Unit 8000 procedures

• Fluoroscopy/Tomography/Other

X-ray procedures 1300 dgsf/Unit 6500 procedures

• Dedicated Chest 900 dgsf/Unit 9000 procedures

• Mammography 900 dgsf/Unit 5000 visits

• Ultra-Sound 900 dgsf/Unit 3100 visits

• Angiography (Special Procedures) 1800 dgsf/Unit 1800 visits

• CT Scan 1800 dgsf/Unit 7000 visits

• PET 1800 dgsf/Unit 3600 visits

• MRI 1800 dgsf/Unit 2500 procedures

• Nuclear Medicine 1600 dgsf/Unit 2000 visits

Radiation Therapy

• Accelerator 2400 dgsf/

Accelerator 7500 treatments

• Simulator 1800 dgsf/

Simulator


18



Emergency Department 900 dgsf/

Treatment Station 2000 visits/station/year

Cardiac Catheterization 1800 dgsf

See 77 Ill. Adm. Code 1100

for establishment of service

1500 visits/year for additional

units

Ambulatory Care 800 dgsf 2000 visits/year

Surgical Operating Suite (Class C) 2750 dgsf/

Operating Room 1500 hrs/Operating Room

Surgical Procedure Suite (Class B) 1100 dgsf/

Procedure Room 1500 hrs/Procedure Room

Post-Anesthesia Recovery Phase I 180 dgsf/Recovery

Station

Post-Anesthesia Recovery Phase II 400 dgsf/Recovery

Station

In-Center Hemodialysis 470 dgsf/Station See 77 Ill. Adm. Code 1100

HFSRB NOTE: The standards for Post-Anesthesia Recovery Phase I and Post-Anesthesia

Recovery Phase II shall be used as the standards for recovery stations associated with Surgical

Operating Suite (Class C) and Surgical Procedure Suite (Class B).

OTHER FACILITIES

The following standards apply to new construction, the development of freestanding facilities,

modernization, and the development of facilities in existing structures, including the use of

leased space. For new construction, the standards are based upon the inclusion of all building

components and are expressed in building gross square feet (bgsf). For modernization projects,

the standards are based upon interior build-out only and are expressed in departmental gross

square feet (dgsf). Spaces to be included in the applicant's determination of square footage shall

include all functional areas minimally required for the applicable service areas by the appropriate

rules required for IDPH licensure and/or federal certification and any additional spaces required

by the applicant's operational program.


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Service Areas Square Feet/Unit Annual Utilization/Unit

General Long Term Care 435-713 bgsf/Bed

350-570 dgsf/Bed See 77 Ill. Adm. Code 1100

ICF/DD Facilities 505-580 bgsf/Bed

404-464 dgsf/Bed See 77 Ill. Adm. Code 1100

Ambulatory Surgical Treatment

Center (ASTC) 2075-2750 bgsf/Treatment

Room

1660-2200 dgsf/Treatment

Room

Maximum of 4 recovery

stations per operating room

1500 hrs of Surgery/OR or

Procedure Room

• Operating Room

• Procedure Room

• Recovery

In-Center Hemodialysis

450-650

bgsf/Room

360-520 dgsf/Room

See 77 Ill. Adm. Code 1100

Freestanding Emergency Center

840-1170 bgsf/Treatment

Station

672-936 dgsf/Treatment

Station

2000 visits/Treatment

Room/year


18



1) Heading of the Part: Long-Term Care



1125.110 Amendment

1125.210 Amendment

1125.520 Amendment

1125.570 Amendment

1125.580 Amendment








10) Has JCAR issued a Statement of Objection to these rules? No

11) Differences between Proposal and Final Version: None


agreements issued by JCAR? No changes were made.



15) Summary and Purpose of Rulemaking: Adds language from PA 99-277, which requires

the Long-Term Care Advisory Subcommittee to evaluate, and make recommendations to

the State Board, regarding the buying, selling, and exchange of beds.


18



To be consistent with the Illinois Health Facilities Planning Act, update the planning

area's population projection for long-term care facilities to be five years from the base

year, instead of 10 years.

The service accessibility and unnecessary duplication/maldistribution review criteria

requires applicants to submit information about existing and approved health care

facilities within a 30- or 45-minute drive time. To be consistent with the move from

"normal drive time" to "distance" in other Parts of this title, the Board will use the drive

time specified in 77 Ill. Adm. Code 1100 for these review criteria (10 miles for Chicago,

17 miles for metro areas, and 21 miles for rural areas) instead of normal travel time.

Other technical changes.


Jeannie Mitchell

General Counsel



Chicago IL 60602

312/814-2678

[email protected]



18





SUBCHAPTER b: OTHER BOARD RULES

PART 1125

LONG-TERM CARE

SUBPART A: AUTHORITY

Section

1125.110 Statutory Authority


1125.130 Purpose

1125.140 Definitions

1125.150 HFSRB Procedural Rules

SUBPART B: PLANNING POLICIES

Section

1125.210 General Long-Term Nursing Care Category of Service

1125.220 Specialized Long-Term Care Categories of Service

SUBPART C: GENERAL INFORMATION REQUIREMENTS

Section


1125.320 Purpose of the Project − Information Requirements

1125.330 Alternatives to the Proposed Project − Information Requirements

SUBPART D: GENERAL LONG-TERM CARE – REVIEW CRITERIA

Section


1125.520 Background of the Applicant − Review Criterion

1125.530 Planning Area Need − Review Criterion

1125.540 Service Demand – Establishment of General Long-Term Care

1125.550 Service Demand – Expansion of General Long-Term Care

1125.560 Variances to Computed Bed Need

1125.570 Service Accessibility


18



1125.580 Unnecessary Duplication/Maldistribution

1125.590 Staffing Availability

1125.600 Bed Capacity

1125.610 Community Related Functions

1125.620 Project Size − Review Criterion

1125.630 Zoning

1125.640 Assurances

1125.650 Modernization

SUBPART E: SPECIALIZED LONG-TERM CARE – REVIEW CRITERIA

Section


1125.720 Specialized Long-Term Care − Review Criteria

SUBPART F: FINANCIAL AND ECONOMIC FEASIBILITY – REVIEW CRITERIA

Section

1125.800 Estimated Total Project Cost

1125.APPENDIX A Project Size Standards – Square Footage and Utilization

1125.APPENDIX B Financial and Economic Review Standards

AUTHORITY: Authorized by Section 12 of and implementing the Illinois Health Facilities

Planning Act [20 ILCS 3960].

SOURCE: Adopted at 35 Ill. Reg. 17019, effective, October 7, 2011; amended at 42 Ill. Reg.

5610, effective March 7, 2018.

SUBPART A: AUTHORITY

Section 1125.110 Statutory Authority

a) This Part is promulgated by authority granted to the Illinois Health Facilities and

Services Review Board under the Illinois Health Facilities Planning Act [20

ILCS 3960].


18



b) After the effective date of this Part, all applications in the review process and all

projects for which permits or exemptions have been issued, but have not yet been

completed, shall be subject to this Part.

c) The HFSRB rules in effect on the date of alleged violation of the Act or rules

shall be applicable concerning all considerations and issues of compliance with

HFSRB requirements.

d) Advisory Subcommittee

1) The Long-term Care Facility Advisory Subcommittee is created by the

Act to:

A) Develop and recommend to the Board a separate set of rules and

guidelines for long-term care that recognizes that nursing homes

are a different business line and service model from other

regulated facilities; and

B) Provide continuous review and commentary on policies and

procedures relative to long-term care and the review of related

projects.

2) The Subcommittee shall be provided a reasonable and timely opportunity

to review and comment on any review, revision, or updating of the

criteria, standards, procedures, and rules used to evaluate project

applications as provided under Section 12.3 of the Act prior to approval

by the Board and promulgation of related rules.

3) The Subcommittee shall evaluate, and make recommendations to the State

Board regarding, the buying, selling, and exchange of beds between long-

term care facilities within a specified geographic area or drive time. [20

ILCS 3960/12(15)]


SUBPART B: PLANNING POLICIES

Section 1125.210 General Long-Term Nursing Care Category of Service


18



a) Planning Areas

The 95 general long-term nursing care planning areas are located within the 11

Health Services Areas (HSAs).

1) HSA 1: Planning areas are Boone, Carroll, DeKalb, Jo Daviess, Lee,

Ogle, Stephenson, Whiteside and Winnebago Counties.

2) HSA 2: Planning areas are Bureau/Putnam, Henderson/Warren,

Marshall/Stark, Fulton, Knox, LaSalle, McDonough, Peoria, Tazewell and

Woodford Counties.

3) HSA 3: Planning areas are Brown/Schuyler, Calhoun/Pike, Morgan/Scott,

Adams, Cass, Christian, Greene, Hancock, Jersey, Logan, Macoupin,

Mason, Menard, Montgomery and Sangamon Counties.

4) HSA 4: Planning areas are Coles/Cumberland, Champaign, Clark,

DeWitt, Douglas, Edgar, Ford, Iroquois, Livingston, McLean, Macon,

Moultrie, Piatt, Shelby and Vermilion Counties.

5) HSA 5: Planning areas are Alexander/Pulaski, Edwards/Wabash,

Gallatin/Hamilton/Saline, Johnson/Massac, Hardin/Pope, Bond, Clay,

Crawford, Effingham, Fayette, Franklin, Jackson, Jasper, Jefferson,

Lawrence, Marion, Perry, Randolph, Richland, Union, Washington,

Wayne, White and Williamson Counties.

6) HSA 6: Planning Areas

A) 6A: City of Chicago Community Areas Rogers Park, West Ridge,

Uptown, Lincoln Square, Edgewater, Edison Park, Norwood Park,

Jefferson Park, Forest Glen, North Park, Albany Park, Portage

Park, Irving Park and Avondale.

B) 6B: City of Chicago Community Areas North Center, Lakeview,

Lincoln Park, Near North Side, Loop, Logan Square, West Town,

Near West Side, Lower West Side, West Garfield Park, East

Garfield Park, North Lawndale, South Lawndale, O'Hare,

Dunning, Montclare, Belmont Cragin, Hermosa, Humboldt Park

and Austin.


18



C) 6C: City of Chicago Community Areas Near North Side, Armour

Square, Douglas, Oakland, Fuller Park, Grand Boulevard,

Kenwood, Washington Park, Hyde Park, Woodlawn, South Shore,

Chatham, Avalon Park, South Chicago, Burnside, Calumet

Heights, Roseland, Pullman, South Deering, East Side, West

Pullman, Riverdale, Hegewisch, Garfield Ridge, Archer Heights,

Brighton Park, McKinley Park, Bridgeport, New City, West Elson,

Gage Park, Clearing, West Lawn, Chicago Lawn, West

Englewood, Englewood, Greater Grand Crossing, Ashburn,

Auburn Gresham, Beverly, Washington Heights, Mount

Greenwood and Morgan Park.

7) HSA 7: Planning Areas

A) 7A: Cook County Townships of Barrington, Palatine, Wheeling,

Hanover, Schaumburg and Elk Grove.

B) 7B: Cook County Townships of Northfield, New Trier, Evanston,

Niles and Maine.

C) 7C: DuPage County.

D) 7D: Cook County Townships of Norwood Park, Leyden, Proviso,

River Forest, Oak Park, Riverside, Berwyn and Cicero.

E) 7E: Cook County Townships of Lyons, Lemont, Palos, Orland,

Stickney, Worth, Calumet, Bremen, Thornton, Rich and Bloom.

8) HSA 8: Planning areas are Kane, Lake and McHenry Counties.

9) HSA 9: Planning areas are Grundy, Kankakee, Kendall and Will

Counties.

10) HSA 10: Planning areas are Henry, Mercer and Rock Island Counties.

11) HSA 11: Planning areas are Clinton, Madison, Monroe and St. Clair

Counties.

b) Age Groups


18



For general long-term nursing care, age groups of 0-64, 65-74, and 75 and over.

c) Utilization Target

Facilities providing a general long-term nursing care service should operate those

beds at a minimum annual average occupancy of 90% or higher.

d) Bed Capacity

General long-term nursing care bed capacity is the licensed capacity for facilities

subject to the Nursing Home Care Act and the total number of LTC beds for a

facility as determined in the HFSRB Inventory for facilities not subject to the

Nursing Home Care Act.

e) Need Determination

The following methodology is utilized to determine the projected number of

nursing care beds needed in a planning area:

1) Establish minimum and maximum planning area use rates for the 0-64, the

65-74, and the 75 and over age groups as follows:

A) Divide the HSA's base year experienced nursing care patient days

for each age group by the base year population estimate for each

age group to determine the HSA experienced use rate for each age

group;

B) the minimum planning area use rate for each age group is 60% of

the HSA experienced use rate for each age group, and the

maximum planning area use rate for each age group is 160% of the

HSA experienced use rate for each age group;

2) Divide the planning area's base year experienced nursing care patient days

for each age group by the base year population estimate for each group to

determine the planning area experienced use rate for each age group;

3) Determine the planning area's population projection, which is 510 years

from the base year; the use rate for each age group is as follows:

A) If the experienced use rate for an age group is below the minimum

use rate, the minimum use rate is the projected use rate for that age

group;


18



B) If the experienced use rate for an age group is above the maximum

use rate, the maximum use rate is the projected use rate for that age

group;

C) If the experienced use rate for an age group is above the minimum

use rate and below the maximum use rate, the experienced use rate

for the age group is the projected use rate for that age group;

4) Multiply each age group's projected use rate times the projected

population for the age group to determine the projected patient days for

each age group;

5) Total the projected patient days for the age groups to determine the

planning area's total projected patient days;

6) Divide the planning area's total projected patient days by the number of

days in the projected year to obtain the projected average daily census;

7) Divide the projected average daily census by .90 (90% occupancy factor)

to obtain the projected planning area bed need;

8) Subtract the number of existing beds in the planning area from the

projected planning area bed need to determine the projected number of

excess (surplus) beds or the projected need for additional (deficit) beds in

an area.


SUBPART D: GENERAL LONG-TERM CARE – REVIEW CRITERIA

Section 1125.520 Background of the Applicant – Review Criterion

All applicants shall comply with the requirements of this Section, as follows:

a) An applicant must demonstrate that it is fit, willing and able, and has the

qualifications, background and character, to adequately provide a proper

standard of LTC service for the community. [20 ILCS 3960/6] In evaluating the

qualifications, background and character of the applicant, HFSRB shall consider


18



whether adverse actions haveaction has been taken against the applicant, or

against any LTC facility owned or operated by the applicant, directly or

indirectly, within three years preceding the filing of the application. An LTC

facility is considered "owned or operated" by every person or entity that owns,

directly or indirectly, an ownership interest. If any person or entity owns any

option to acquire stock, the stock shall be considered to be owned by that person

or entity. (See Section 1125.140 for the definition of "adverse action".)

b) Examples of Facilities Owned or Operated by an Applicant

1) The applicant, Partnership ABC, owns 60% of the shares of Corporation

XYZ that manages the Good Care Nursing Home under a management

agreement. The applicant, Partnership ABC, owns or operates Good Care

Nursing Home.

2) The applicant, Healthy LTC, a corporation, is a subsidiary of Universal

Health, the parent corporation of Healthcenter Services, its wholly-owned

subsidiary. The applicant, Healthy LTC, owns and operates Healthcenter

Services.

3) Dr. Wellcare is the applicant. His wife is the director of a corporation that

owns an LTC. The applicant, Dr. Wellcare, owns or operates the LTC.

4) Drs. Faith, Hope and Charity own 40%, 35% and 10%, respectively, of the

shares of Healthfair, Inc., a corporation, which is the applicant. Dr.

Charity owns 45% and Drs. Well and Care each own 25% of the shares of

XYZ Nursing Home, Inc. The applicant, Healthfair, Inc., owns and

operates XYZ Nursing Home, Inc.

c) The applicant shall submit the following information:

1) A listing of all LTC facilities currently owned and/or operated by the

applicant, including licensing, certification and accreditation identification

numbers, as applicable;

2) A certified listing from the applicant of any adverse action taken against

any facility owned and/or operated by the applicant during the three years

prior to the filing of the application; and


18



3) Authorization permitting HFSRB and IDPH access to any documents

necessary to verify the information submitted, including, but not limited

to: official records of IDPH or other State agencies; the licensing or

certification records of other states, when applicable; and the records of

nationally recognized accreditation organizations. Failure to provide the

authorization shall constitute an abandonment or withdrawal of the

application without any further action by HFSRB.

d) If, during a given calendar year, an applicant submits more than one application

for permit, the documentation provided with the prior applications may be utilized

to fulfill the information requirements of this Section. In these instances, the

applicant shall attest that the information has been previously provided, cite the

project number of the prior application, and certify that no changes have occurred

regarding the information that has been previously provided. The applicant is

able to submit amendments to previously submitted information, as needed to

update and/or clarify data.


Section 1125.570 Service Accessibility

The number of beds being established or added for each category of service is necessary to

improve access for planning area residents.

a) Service Restrictions

The applicant shall document that at least one of the following factors exists in the

planning area, as applicable:

1) The absence of the proposed service within the planning area;

2) Access limitations due to payor status of patients/residents, including, but

not limited to, individuals with LTC coverage through Medicare,

Medicaid, managed care or charity care;

3) Restrictive admission policies of existing providers;

4) The area population and existing care system exhibit indicators of medical

care problems, such as an average family income level below the State

average poverty level, or designation by the Secretary of Health and


18



Human Services as a Health Professional Shortage Area, a Medically

Underserved Area, or a Medically Underserved Population;

5) For purposes of this Section 1125.570 only, all services within the

established radii outlined in 77 Ill. Adm. Code 1100.510(d)the 45-minute

normal travel time meet or exceed the occupancy standard specified in

Section 1125.210(c).

b) Supporting Documentation

The applicant shall provide the following documentation, as applicable,


1) The location and utilization of other planning area service providers;

2) Patient/resident location information by zip code;

3) Independent time-travel studies;

4) Certification of a waiting list;

5) Admission restrictions that exist in area providers;

6) An assessment of area population characteristics that document that access

problems exist;

7) Most recently published IDPH Long Term Care Facilities Inventory and

Data (see www.hfsrb.illinois.gov).


Section 1125.580 Unnecessary Duplication/Maldistribution

a) The applicant shall document that the project will not result in an unnecessary

duplication. The applicant shall provide the following information:

1) A list of all zip code areas that are located, in total or in part, within the

established radii outlined in 77 Ill. Adm. Code 1100.510(d)30 minutes

normal travel time of the project's site;


18



2) The total population of the identified zip code areas (based upon the most

recent population numbers available for the State of Illinois); and

3) The names and locations of all existing or approved LTC facilities located

within the established radii outlined in 77 Ill. Adm. Code 1100.510(d) of

30 minutes normal travel time from the project site that provide the


b) The applicant shall document that the project will not result in maldistribution of

services. Maldistribution exists when the identified area (within the planning

area) has an excess supply of facilities, beds and services characterized by such

factors as, but not limited to:

1) A ratio of beds to population that exceeds one and one-half times the State

average;

2) Historical utilization (for the latest 12-month period prior to submission of

the application) for existing facilities and services that is below the

occupancy standard established pursuant to Section 1125.210(c); or

3) Insufficient population to provide the volume or caseload necessary to

utilize the services proposed by the project at or above occupancy

standards.

c) The applicant shall document that, within 24 months after project completion, the

proposed project:

1) Will not lower the utilization of other area providers below the occupancy

standards specified in Section 1125.210(c); and

2) Will not lower, to a further extent, the utilization of other area facilities

that are currently (during the latest 12-month period) operating below the




18

JOINT COMMITTEE ON ADMINISTRATIVE RULES

ILLINOIS GENERAL ASSEMBLY

SECOND NOTICES RECEIVED

The following second notices were received during the period of March 6, 2018 through March

12, 2018. The rulemakings are scheduled for the April 17, 2018 meeting. Other items not contained

in this published list may also be considered. Members of the public wishing to express their views

with respect to a rulemaking should submit written comments to the Committee at the following

address: Joint Committee on Administrative Rules, 700 Stratton Bldg., Springfield IL 62706.

Second

Notice

Expires

Agency and Rule

Start

of First

Notice

JCAR

Meeting

4/20/18 Department of Natural Resources, Sport Fishing

Regulations for the Waters of Illinois (17 Ill.

Adm. Code 810)

1/12/18

42 Ill. Reg.

577

4/17/18

4/21/18 Housing Development Authority, State Housing

Appeals Board (47 Ill. Adm. Code 395)

11/13/17

41 Ill. Reg.

13556

4/17/18

4/22/18 Department of Central Management Services,

Merit and Fitness (80 Ill. Adm. Code 302)

12/29/17

41 Ill. Reg.

15434

4/17/18

4/22/18 Department of Central Management Services,

Extensions of Jurisdiction (80 Ill. Adm. Code

305)

12/29/17

41 Ill. Reg.

15444

4/17/18

ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates

Rules acted upon in Volume 42, Issue 12 are listed in the Issues Index by Title number, Part number, Volume and Issue. Inquiries about the Issue Index may be directed to the Administrative Code Division at (217) 782-7017/18.

PROPOSED RULES 80 - 310 ....................... 5056 83 - 757 ....................... 5141 77 - 692 ....................... 5167 86 - 130 ....................... 5172 ADOPTED RULES 80 - 310 3/9/2018 ....................... 5357 77 - 1100 3/7/2018 ....................... 5410 77 - 1110 3/7/2018 ....................... 5444 77 - 1110 3/7/2018 ....................... 5447 77 - 1125 3/7/2018 ....................... 5610

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