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Regulatory Alert


If any of the following proposed regulations impact your business, let us know!   Click here to submit comments on how the proposed rulemakings will impact your business or industry.   

Following are  proposed rules of possible interest to small businesses published in the Illinois Register.  During the comment period, individuals have an opportunity to express their support or opposition to the rule.  To submit comments or to learn more about the proposed rules, contact Katy Khayyat at the Department of Commerce and Economic Opportunity Business Information Center via e-mail at  or call (800) 252-2923 or (217) 785-8020. 

To get more information on Illinois Rules and Regulations, how to file a complaint about a burdensome or excessive state rule, go to



The following proposed amendments will impact small businesses providing in-home care to elderly or disabled adults:        




The Department on Aging proposed amendments to Elder Rights (89 Ill. IAC 270; 39 Ill. Reg. 889) implementing Public Acts 98-49 and 98-1039.  The rulemaking establishes an Adult Protective Services Registry listing in-home and community-based caregivers (of disabled adults aged 18-59) or anyone age 60 or older) against whom a verified and substantiated finding of abuse, neglect or financial exploitation has been made under the Adult Protective Services Act.  Access to the online registry is limited to direct care provider agencies DonA, and the Departments of Public Health, Healthcare and Family Services and Human Services.  Any agency that provides direct care and is paid with public funds or is licensed, certified, or regulated by a state agency with access to the registry, must conduct an online check of the registry before hiring a caregiver.  The rulemaking requires agencies to notify DonA’s Office of Adult Protective Services (OAPS) and forward all case records within 5 business days after an allegation against a caregiver has been verified and substantiated.  If OAPS concurs with the provider agency’s findings, OAPS must notify the caregiver; the caregiver’s employer; the victim of the abuse, neglect or exploitation; and the victim’s guardian or agent that the caregiver will be placed on the registry.  The rulemaking provides an appeal process for caregivers contesting placement on the registry, with rules for conducting hearings and obtaining evidence.  A caregiver who has been cited for only one incident of abuse, neglect or financial exploitation may request removal from the registry after one year.  If DonA determines that a preponderance of the evidence (including any remedial actions taken by the caregiver) shows that removal would be in the public interest, it must remove the caregiver’s name from the registry.  Caregivers cited for more than one incident cannot be removed from the registry.




Bottom Line:

These amendments are being filed to establish a new Subpart relating to the Adult Protective Service Registry which was initially enacted by PA 98-49 and subsequently amendment by PA 98-1039 to resolve barriers to its successful implementation by the Department on Aging.  The Registry identifies caregivers against whom a verified and substantiated finding was made of abuse, neglect, or financial exploitation of an adult with disabilities aged 18 through 59 or a person aged 60 years of age or older who resides in a domestic living situation. It is hosted by the Department of Public Health on its website for the purpose of protecting individuals receiving in-home and community-based services. The information in the Registry is confidential.  The amendments include definitions, explain the case file review process of verified and substantiated findings by the Department, set forth notification responsibilities, and address the associated administrative procedures (e.g., computation of time, representation, filings on appeal, motion practice, and discovery) for the placement or removal of a caregiver's identity on the Registry. A caregiver has a limited right to challenge placement based on an informal review by the Department and a hearing before an administrative law judge. A timely request for appeal will be stayed if the caregiver provides notice of the filing of a collateral action challenging an adverse employment action resulting from the verified and substantiated finding of abuse, neglect, or financial exploitation. The Department will place a caregiver's identity on the Registry in accordance with the final administrative decision as soon as is practicable. A caregiver may thereafter request removal by the Department one time per year for three consecutive years if there is only a single report of a finding of abuse, neglect or financial exploitation. Neither the placement nor the removal decision is subject to the Administrative Review Law [735 ILCS 5/Art. III].  A copy of the notice to the caregiver, the statement of allegations in the abuse report and the substantiation decision in the final investigative report constitute prima facie evidence of abuse, neglect, or financial exploitation, which will be admitted into evidence without further proof. The issue on appeal is whether placement of the caregiver's identity on the Registry is warranted. The following factors may be considered: (1) the length of time the caregiver has been providing care to the victim; (2) the relationship between the caregiver and the victim; (3) whether placement of the caregiver's identity on the Registry is in the victim's best interest or that of other participants; (4) whether additional training for the caregiver could remediate the abuse, neglect, or financial exploitation; (5) in the case of financial exploitation, the value of the assets at issue and whether restitution was made; (6) any mitigating or aggravating circumstances; and (7) other relevant information. A lack of criminal charges filed against a caregiver or a lack of a criminal conviction is not a valid reason to remove a caregiver's identity from the Registry.  Placement of a caregiver's identity on the Registry serves as a bar to hiring, retention, compensation, or utilization of that individual to provide direct care in a position with, or that is regulated by, or paid with public funds from the Department on Aging, the Department of Healthcare and Family Services, the Department of Human Services, the Department of Public Health or with an entity or provider licensed, certified, or regulated by or paid with public funds from any of these State agencies. These State agencies, entities and providers must obtain credentials to access and use the Registry to conduct an online check on an annual basis for purposes of retention and prior to hiring, compensating, or utilizing a caregiver. A copy of the result of the online check will be maintained to demonstrate compliance.  For questions or to submit comments, contact Karen Alice Kloppe, Deputy General Counsel at (217) 785-3346 or email

Click here to submit comments.







The following proposed regulation will impact real estate appraisers and course providers: 




The Department of Financial and Professional Regulation proposed amendments to Real Estate Appraisers Licensing (68 IAC 1445; 39 Ill Reg 1392) updating the Part to the current Uniform Standards of Professional Appraisal Practice (USPAP) and Appraisal Qualifications Board (AQB) standards and implementing a Public Act that requires a fingerprint-based criminal background check and review of the criminal record, if one exists, for appraisal license applicants.  The rulemaking establishes a conditional education course to be completed before an initial associate real estate trainee appraiser license will be issued on or after 1/1/15.  Applicants must complete the 3 hour ILST-15 AQB Supervisor-Trainee Course or the 6 hour ILST-15 Supervisor-Trainee Course.  If the applicant completes the 3 hour course, he/she has one year to complete either the 3 hour Illinois-specific course or the 6 hour course.  The renewal fee for education providers is being lowered from $500 to $250.  DFPR will require all applicants for licensure to submit fingerprints to the Department of State Police.  DFPR will determine whether an applicant with a criminal record is fit to be licensed, based on factors such as whether the crime is one of armed violence or moral turpitude, related to the real estate professions, or if more than 10 years have elapsed since the completion of the sentence.  DFPR will also consider whether the applicant has been sufficiently rehabilitated based on factors such as the completion of probation or parole and, if the applicant did not receive parole, whether 10 years have elapsed since the final discharge and there have not been any additional convictions.  Any of the following listed factors outweigh a presumption of rehabilitation:  lack of compliance with terms of punishment, unwillingness to undergo any medical treatment/counseling, falsifying the application, or failing to furnish additional information or appearing for a meeting with the Department.  DFPR will not consider juvenile adjudications, arrests that did not lead to a conviction, convictions overturned by a higher court or convictions that have been pardoned or expunged.  If the applicant is found unfit for licensure, DFPR wills end a notice to the applicant with a statement of why it made the decision.  The applicant may request a hearing within 20 days after the date the notice was mailed or personally served.  DFPR will schedule an informal conference at least 20 days before the hearing.



Bottom Line:  Real estate appraisal schools and businesses that use real estate appraisers will be affected, but appraisers are required by federal law to operate under the most current version of USPAP.  Various sections will be amended to address changes pursuant to Public Act 98-1109.  Most notably will be the addition of new Section 1455.335 concerning background checks for criminal history.  Updates to the USPAP and AQB standards are included, as are numerous business practice refinements and other education provider and course provisions.  For questions or to submit comments, contact Craig Cellini at, or call (217) 785-0813. Click here to submit comments.










For more information on anything in this issue of Regulatory and Information Alert, contact Katy Khayyat at or call (217) 785-8020 or (800) 252-2923.  To be removed from this mailing list, please contact Katy Khayyat at or by calling (217) 785-8020 or (800) 252-2923.