Section 260.100  Authority and Purpose

 

a)         The Joint Committee on Administrative Rules (Joint Committee) will review policies and rules of State agencies when it receives a written complaint concerning such policies or rules as provided in this Part.  This review is authorized by Sections 5-100 and 5-120 of the Illinois Administrative Procedure Act (Act) (Ill. Rev. Stat. 1991, ch. 127, pars. 1005-100 and 1005-120) [5 ILCS 100/5-100 and 5-120] and is intended to facilitate the promotion of adequate and proper rules by agencies and understanding on the part of the public respecting such rules.

 

b)           The review conducted pursuant to this Part shall be considered a legislative investigation and is not intended as a prerequisite to judicial relief.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.200  Definitions

 

a)         The terms and definitions found in 1 Ill. Adm. Code 210.100 are incorporated into this Part.

 

b)         For the purposes of this Part, a complaint consists of any written communication received by the Joint Committee that raises questions related to the criteria in Section 260.700 of this Part.  Complaints may address one or more of the following:

 

1)         An existing rule of an agency.

 

2)         The failure of an agency to fully or properly enforce its rules.

 

3)         The absence of rules required by statute or necessary for the proper conduct of an agency program or function.

 

4)         An agency rule that is applied generally, but is not embodied in the rules of the agency promulgated pursuant to the Act.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.300  Items to be Included in Complaints

 

a)         Complaints should be sent to the Executive Director at the following address:

 

Joint Committee on Administrative Rules

700 Stratton Building

Springfield, Illinois 62706

 

b)         Each complaint must include, at a minimum, the following items, if applicable to the particular complaint:

 

1)         The issues involved.

 

2)         Names and addresses of the persons or groups making the complaint.

 

3)         The agency whose rules, policies, or practices are being questioned.

 

4)         The specific rule or set of rules involved.

 

5)         The effect of the rules, policies or practices on the persons or groups making the complaint.

 

6)         Any additional facts necessary to understand the issues.

 

7)         The relationship between the issues and the criteria in Section 260.700 of this Part.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.350  Complaints Concerning Agency Rules Not Adopted Pursuant to the Illinois Administrative Procedure Act

 

a)         Agency rules that are not adopted in accordance with the procedures set forth in the Act are invalid and unenforceable. When the Joint Committee receives a complaint that alleges the enforcement of a rule that is not embodied in a properly promulgated rule, the Joint Committee will undertake an investigation pursuant to this Part.

 

b)           When a complaint is received alleging that an agency has a rule that is not embodied in properly promulgated rules, the Joint Committee will encourage the persons making the complaint to petition the agency as provided in Section 5-145 of the Act.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.400  Staff Review

 

The staff of the Joint Committee will review each complaint.  The staff may raise questions or problems as a result of its review and will discuss these questions or problems with the agency.  The staff review will be based on the criteria in Section 260.700 of this Part.  The staff will attempt to inform the agency of the substance of the complaint and any proposals for Joint Committee action prior to the Joint Committee hearing.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.500  Complaints About Policies Not in Rules (Repealed)

 

(Source:  Repealed at 10 Ill. Reg. 21687, effective May 1, 1987)

 

Section 260.600  Staff Report

 

The staff shall report the results of its review to the Joint Committee at the next monthly meeting, provided there are at least 60 days between receipt of the complaint and the meeting.  If there are fewer than 60 days, the rulemaking may be scheduled for the following meeting.  The staff report will present evidence of possible problems with the rules in relation to the criteria in Section 260.700 of this Part.  The report may include proposals for action by the Joint Committee.  Such proposals shall be advisory only and do not limit the Joint Committee's power to take some other action.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.650  Joint Committee Hearing

 

A complaint may be placed on the agenda of the Joint Committee for consideration by any member of the Committee or by the Executive Director. Such action will be based upon evidence of possible problems with the rules in relation to the criteria in Section 260.700 of this Part.  A complaint will not be placed on the agenda if the same issues have been previously considered by the Joint Committee, unless the complaint reveals information not available to the Joint Committee at the time the issue was considered and which, if available at that time, would have altered the outcome.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.700  Criteria for Review

 

a)         The Joint Committee will consider the following criteria in its review of a complaint based upon existing rules:

 

1)         Substantive

 

A)        Does the agency have legal authority for the rules?

 

B)        Does the agency have rulemaking authority?

 

C)        Do the rules comply with the statutory authority and legislative intent on which they are based, or that they are implementing or interpreting?

 

D)        Do the rules comply with State and federal constitutions, State and federal law, federal rules and regulations, and case law?

 

E)        Do the rules include standards for the exercise of discretionary authority?  Are the standards defined as clearly as practicable under the conditions?

 

2)         Propriety

 

A)        Is there an adequate justification and rationale for the rules and for any regulation of the public embodied in the rules?

 

B)        Has the agency considered the economic effects of the rules upon those regulated, including small businesses, not for profit corporations, units of local government, school districts, and community college districts?

 

C)        Has the agency considered less costly alternatives to the rules?

 

D)        Has the agency considered the budgetary effects of the rules upon itself, other State agencies, and State revenue in general?

 

E)        Is the language of the rules simple and clear, so that the rules can be understood by the persons and groups they will affect?

 

F)         Are the rules free of serious technical errors, redundancies and grammatical or typographical errors that could affect the meaning of the rules?

 

3)         Procedural

 

A)        Were the rules adopted in compliance with the Act?

 

B)        Were the rules adopted in compliance with the requirements of the Administrative Code Division (1 Ill. Adm. Code 100)?

 

C)        Were the rules adopted in compliance with any additional requirements imposed on the agency by State or federal law?

 

D)        Were the rules adopted in compliance with the agency's own rules for the promulgation of rules?

 

E)        Was the agency responsive to public comments made to the rules and to related requests for rulemaking?

 

4)         Additional

 

A)        Has the agency shown that the rules are necessary?  Has the agency shown that there is a public need for the regulation embodied in the rules?

 

B)        Are the rules accurate and current in relation to agency operations and programs?

 

C)        Are the rules free of overlaps and conflicts among requirements and among regulatory jurisdictions?

 

b)         The Joint Committee will use the following criteria for its review of agency rules or policy not promulgated pursuant to the Illinois Administrative Procedure Act:

 

1)         Is the entity enforcing the policy in question an agency as defined in the Act?

 

2)         Does the agency have statutory authority for the policy?

 

3)         Does the agency have rulemaking authority?

 

4)         Does the policy comply with the statutory authority and legislative intent upon which it is based?

 

5)         Does the policy comply with State and federal constitutions, State and federal law, federal rules and regulations, and case law?

 

6)         Is the policy included in any agency rule?  Is the policy included in an internal agency document?

 

7)         Does the policy meet the definition of a rule found in the Act?

 

c)           If the Joint Committee determines that one or more of the criteria enumerated in subsection (a) or (b) of this Section are not met, the Committee shall issue an objection or recommendation pursuant to Section 260.900 of this Part.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.800  Hearing by the Committee (Repealed)

 

(Source:  Repealed at 10 Ill. Reg. 21687, effective May 1, 1987)

 

Section 260.900  Objection; Recommendation

 

a)         Objection or Recommendation to Existing Rule

 

1)         Objection

 

A)        If the Joint Committee finds that the rule does not meet one or more of the criteria in Section 260.700(a) of this Part, the Joint Committee may object to the rule pursuant to Section 5-120 of the Act.

 

B)        If the Joint Committee objects to the rule, it shall certify that fact to the agency.  Such certification will be sent to the agency in the form shown in Exhibit A of this Part within 5 working days after the objection is issued.  The certification shall include a statement of the specific objection of the Joint Committee to the rules.

 

C)        Each statement of specific objections shall also be submitted to the Administrative Code Division for publication in the next available issue of the Illinois Register.

 

2)         Recommendation

 

A)        If the Joint Committee determines that the rule is incomplete or inconsistent or does not meet one or more of the criteria in Section 260.700(a) of this Part, the Joint Committee shall recommend further action.  Recommended actions include the promulgation of additional rules, the clarification of statutory authority through legislation to be introduced by the agency or the Joint Committee, and a recommendation to curtail an unauthorized practice.

 

B)        If the Joint Committee issues a recommendation concerning the rule, it shall so notify the agency within 5 working days after the recommendation is issued.  The notification shall include a statement of the specific recommendation of the Joint Committee to the rule.

 

C)        Each statement of specific recommendation shall also be submitted to the Administrative Code Division for publication in the next available issue of the Illinois Register.

 

b)         Objection or Recommendation to Agency Rule or Policy Not Promulgated Pursuant to the Illinois Administrative Procedure Act

The Joint Committee shall issue an objection or recommendation to an agency rule or policy not promulgated pursuant to the Illinois Administrative Procedure Act if the rule or policy does not meet one or more of the criteria in Section 260.700(b) of this Part. Such objections or recommendations will be issued on the same bases as objections or recommendations issued to rules pursuant to subsection (a) of this Section.  The same procedures will be applied to such actions.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.950  Failure to Object or Issue Recommendation

 

The failure of the Joint Committee to issue an objection or recommendation to an existing rule or agency rule not promulgated pursuant to the Act shall not be construed to imply approval of the rule or policy by the Joint Committee or the General Assembly.  (Ill. Rev. Stat. 1991, ch. 127, par. 1005-100) [5 ILCS 100/5-100]

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.1000  Agency Response to Objection

 

a)         The agency shall respond to an objection issued by the Joint Committee within 90 days after receipt of the statement of specific objections. (Section 5-120 of the Act)  The agency response shall address each of the specific objections stated by the Joint Committee.  The agency response shall clearly state the nature of the response (agreement to amend, agreement to repeal, refusal to amend or repeal) and the rationale for the response.  The response should be made in the manner shown in Exhibit C of this Part.

 

b)         The agency must respond to each objection  of the Joint Committee in one of the following ways.

 

1)         Propose a rulemaking to meet the Joint Committee's objection.

 

2)         Discontinue the policy not in rules.

 

3)         Refuse to amend or repeal the rule or policy or to propose a new rule. A notice of refusal must also be submitted to the Administrative Code Division for publication in the Illinois Register if the agency responds in this manner.

 

c)         Responses shall be submitted to the Joint Committee, in writing, and shall be signed by the agency head.

 

d)         If the agency elects rulemaking in response to an objection, it shall initiate the rulemaking pursuant to Section 5-40, 5-45 or 5-50 of the Act.  The agency shall complete the rulemaking process within 180 days after the rulemaking is proposed in the Illinois Register.

 

e)         An amendment to meet the Joint Committee's objection must be limited to the issues raised in the Certification and Statement of Objection.  A suggestion or comment made by a member of the Joint Committee does not authorize a substantive change unless the suggestion or comment is ratified by the Joint Committee through the issuance of a Certification and Statement of Objection to the rule.

 

f)         The failure of an agency to respond to an objection of the Joint Committee within 90 days after receipt of the objection shall be deemed a refusal to initiate rulemaking.

 

g)         The failure of an agency to complete rulemaking proposed in response to an objection within 180 days after the publication of the notice of the rulemaking shall be deemed a refusal to initiate rulemaking.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.1100  Agency Response to Recommendation

 

a)         The agency should respond to a recommendation issued by the Joint Committee within 90 days after receipt of the statement of specific recommendations.  The agency response should address each of the specific recommendations stated by the Joint Committee and should clearly state the nature of (agreement or refusal) and rationale for the response.  The response should be made in the manner shown in Exhibit D of this Part.

 

b)         Responses should be submitted to the Joint Committee, in writing, and shall be signed by the agency head.

 

c)         The failure of an agency to respond to a recommendation of the Joint Committee within 90 days after receipt of the recommendation shall be deemed to be a refusal.

 

d)         The failure of an agency to complete rulemaking proposed in response to a recommendation within 180 days after the publication of the rulemaking shall be deemed a refusal to initiate rulemaking.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.1200  Analysis of Agency Response

 

a)         If the Joint Committee finds that the agency's actions do not adequately respond to an objection or recommendation, the Committee will notify the agency and submit a copy of such notification to the Administrative Code Division for publication in the next available issue of the Illinois Register.  The notice will include a specific statement of the reasons the Joint Committee has determined that the response to the objection or recommendation is not adequate.

 

b)         If the agency fails to adequately respond to an objection or recommendation, the Joint Committee may draft legislation to address the problems. A proposal for legislation must be approved by a majority vote and may be introduced in either house of the General Assembly.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

 

Section 260.1300  Notice to Persons Making Complaint

 

The Executive Director will notify the complainants, in writing, of the results of the Joint Committee review and the agency response.

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

Section 260.ILLUSTRATION H   Certification of Objection to Existing Rules (Repealed)

 

(Source:  Repealed at 10 Ill. Reg. 21687, effective May 1, 1987)

Section 260.ILLUSTRATION I   Agency Response to Joint Committee Objection to Existing Rules (Repealed)

 

(Source:  Repealed at 10 Ill. Reg. 21687, effective May 1, 1987)

Section 260.ILLUSTRATION J   Certification of Recommendation (Repealed)

 

(Source:  Repealed at 10 Ill. Reg. 21687, effective May 1, 1987)

Section 260.EXHIBIT A   Certification of Objection to Existing Rules or Policies

 

JOINT COMMITTEE ON ADMINISTRATIVE RULES

 

CERTIFICATION OF OBJECTION

TO EXISTING RULES OR POLICIES

 

I, (Director's name), Executive Director of the Joint Committee on Administrative Rules, being first duly sworn on oath, depose and state that, pursuant to Sections 5-100 and 5-120 of the Illinois Administrative Procedure Act (Act), the Joint Committee on Administrative Rules, at its meeting on (meeting date), voted an Objection to the (agency name) [rules entitled (Heading of the Part, Code Citation) or policy administered in the absence of rules adopted in accordance with the Act].

 

A statement of the Joint Committee's specific Objections accompanies this certification.

 

Section 5-120 of the Act requires the agency to respond to the Joint Committee's Objections within 90 days after receipt of this Certification of Objection.  The agency's response will be placed on the Committee's agenda for further consideration.  Failure to respond shall constitute a refusal to [amend or repeal the rule; adopt appropriate rules; or refrain from inappropriate activities].

 

 

 

(Typewritten name)

Executive Director

 

 

 

Subscribed and sworn to before me this (date) day of (month), (year).

 

 

 

Notary Public

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)

Section 260.EXHIBIT B   Certification of Recommendation to Existing Rules or Policies (Repealed)

 

(Source:  Repealed at 18 Ill. Reg. 4705, effective March 14, 1994)

Section 260.EXHIBIT C   Agency Response to Joint Committee Objection to Existing Rules or Policies

 

 

 

			Date:
Agency:
[Heading of the Part] [Description of the Policy]:
Code Citation:
If rulemaking will be initiated, date notice of proposed rulemaking was, or is expected to be, published in the Illinois Register ____________.
Agency Response to Specific Joint Committee Objections:
(Respond to each specific Objection raised by the Joint Committee, indicating clearly the intended action of the agency in response to each Objection and the rationale for such response.  Use additional pages as necessary.)
			Signature of Agency Head

 

 

(Source:  Amended at 26 Ill. Reg. 4705, effective March 14, 1994)

Section 260.EXHIBIT D   Agency Response to Joint Committee Recommendation to Existing Rules or Policies

 

 

 

			Date:
Agency:
[Heading of the Part] [Description of the Policy]:
Code Citation:
If rulemaking will be initiated, date notice of proposed rulemaking was, or is expected to be, published in the Illinois Register:  ___________________
Agency Response to Specific Joint Committee Objections:
(Respond to each specific Objection raised by the Joint Committee, indicating clearly the intended action of the agency in response to each Objection and the rationale for such response.  Use additional pages as necessary.)
			Signature of Agency Head

 

(Source:  Amended at 18 Ill. Reg. 4705, effective March 14, 1994)