AUTHORITY: Implementing the Capital Development Board Act [20 ILCS 3105] and authorized by Section 16 of that Act, Sections 5-25 and 30-20 of the Illinois Procurement Code [30 ILCS 500], and Section 20 of the Architectural, Engineering, and Land Surveying Qualification Based Selection Act [30 ILCS 535].

SOURCE: Adopted at 2 Ill. Reg. 30, p. 140, effective July 27, 1978; amended at 4 Ill. Reg. 9, p. 233, effective February 14, 1980; amended at 5 Ill. Reg. 1890, effective February 17, 1981; amended and codified at 8 Ill. Reg. 20317, effective October 1, 1984; amended at 9 Ill. Reg. 17329, effective October 29, 1985; amended at 12 Ill. Reg. 20446, effective November 29, 1988; Part repealed, new Part adopted at 22 Ill. Reg. 1154, effective January 1, 1998; amended at 22 Ill. Reg. 20026, effective November 9, 1998; amended at 24 Ill. Reg. 6663, effective April 17, 2000; amended at 25 Ill. Reg. 10759, effective August 10, 2001; amended at 28 Ill. Reg. 4862, effective March 4, 2004; recodified Title of the Part at 39 Ill. Reg. 5903.

SUBPART A: RESPONSIBILITY

 

Section 980.110  Purpose

 

The Capital Development Board professional services agreements shall be awarded only to prequalified architects or engineers.  An applicant for prequalification must affirmatively demonstrate its responsibility.  In the absence of information clearly indicating that the applicant is responsible, CDB shall make a determination of non-responsibility.  Only responsible architects or engineers shall be prequalified and permitted to make submittals on CDB projects.

 

Section 980.120  Definitions

 

The following definitions shall apply to this Part:

 

            "A/E" means an individual or firm in the business of providing architectural, engineering or land surveying services as authorized by the State of Illinois Department of Professional Regulation (DPR).  Licensed individuals shall be registered with DPR as sole proprietorships.  Firms and corporations shall be registered with DPR.

 

            "CDB" means the Capital Development Board, the agency.

 

            "Consultant" means a firm or individual who will perform a portion of the contract or assist the A/E in its performance of the contract under a contract with the A/E.

 

            "Contract or Contract Requirements" consist of any and all provisions of the CDB Professional Services Agreement (PSA).

 

            "Office Location" means all locations at which the A/E provides professional services under the license granted by the Department of Professional Regulation and that are under the responsibility of the managing agent for that license.

 

            "Parent Office" means the primary location of the A/E's place of business.

 

            "Key Person" means any individual who holds 5% or more ownership interest in the firm.  In the event the firm is owned by another corporation, partnership, trust or business association, any individual within that organization or who is a trust beneficiary who holds a 5% or more ownership or beneficial interest is considered a "key person".  Regardless of ownership interest, any officer, partner, managing agent or director is considered a "key person".  This definition also includes any individual who assumes the responsibility of an officer, owner, partner, director, etc.,  regardless of ownership interest.

 

            "Performance Record" consists of, but is not limited to, the following:

 

            Evidence of material compliance with all CDB contract requirements.

 

            Data indicating the A/E has met all contract requirements on previous contracts, private and public.

 

            "Prequalification" is the status granted by CDB to responsible A/Es that permits them to make submittals on CDB projects or be awarded a CDB contract.

 

            "Profile Codes" means branches of knowledge or expertise of architectural or engineering practice that may be provided by firms and that are listed on CDB's A/E prequalification application.

 

            "Responsibility" is a determination made by CDB that the A/E is a responsible A/E.  The determination may be made at any time.  Because responsibility is affected by such things as financial resources, performance records, and organizational and operational factors, all of which are subject to change, the initial determination of responsibility, made through evaluation of an application to CDB, may be changed upon receipt of additional or different information.  The A/E is required to inform CDB of any significant change to the information submitted in its application.  Each A/E must provide CDB with adequate documentation of responsibility.  CDB will ordinarily provide forms for this information.  CDB may supplement this information from other sources and may require additional documentation at any time. A responsibility determination may also be verified on an ongoing basis through other information, including but not limited to performance evaluations and reference contacts.

 

            "Responsible A/E" is a firm that:

 

            Has adequate financial resources to perform the contract, or the ability to obtain them.  This includes, but is not limited to, the ability to obtain required insurance from insurance companies acceptable to CDB.

 

            Is able to comply with the contract requirements, considering the firm's other business obligations.

 

            Has a satisfactory performance record.

 

            Has a satisfactory record of integrity and business ethics.

 

            Has the necessary organization, experience, accounting and operational controls, and technical skills.

 

            Has provided all information required by the Financial Interest and Potential Conflicts of Interest Disclosure forms required under Section 50-35 of the Illinois Procurement Code [30 ILCS 500/50-35].

 

            Is otherwise qualified and eligible to receive a contract award under applicable laws and regulations.

 

            "Trade Codes" means the professional practice in which the individual is licensed, or the firm is registered, by DPR to practice and, for general engineering licenses, any area of specialty within that practice.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.130  Prequalification Required

 

CDB shall prequalify A/Es as required by the Architectural Engineering and Land Surveying Qualifications Based Selection (QBS) Act [30 ILCS 535]. Firms must be prequalified prior to any submittal of qualifications or interest for a specific project and prior to entering a contractual relationship with CDB. All individuals and firms seeking to provide any services regulated by the Department of Professional Regulation on a CDB project shall be prequalified.  Prequalification shall be based upon a determination of responsibility from, but not limited to, the information supplied on a properly completed CDB prequalification application.

 

(Source:  Amended at 24 Ill. Reg. 6663, effective April 17, 2000)

 

Section 980.140  Special Projects

 

When CDB determines a construction project is so large or unique that a special A/E responsibility determination is warranted, CDB may set appropriate standards of acceptability different from those set out herein.  Other provisions of this Part shall remain applicable.

 

Section 980.150  Confidentiality

 

Documents relating to responsibility determinations of an A/E shall be maintained by CDB in a separate file and shall remain confidential as records pertaining to occupational registration, except that they shall be subject to complete disclosure to the A/E to which they relate and to units of Federal, State, or local government, including but not limited to, law enforcement agencies.  Nothing herein shall be construed to mean that CDB is required to disclose to the A/E the name of any person or organization filing a complaint or providing information to CDB when the complaint or information is used by CDB as the basis for further inquiry into the facts alleged.  CDB may release to anyone the A/E prequalification status with CDB.  Notwithstanding the foregoing, neither the A/E Performance Evaluations (A/E PE) nor the A/E's written responses to them shall be made available to any other person or firm.

 

(Source:  Amended at 28 Ill. Reg. 4862, effective March 4, 2004)

 

Section 980.160  Sources for Determining Responsibility

 

To determine an A/E's responsibility, CDB may utilize information obtained from one or more of the following sources.  In evaluating the information, greater consideration shall be given to the A/E's most recent projects and projects with CDB.

 

a)         A/E prequalification application form.

 

1)         A/E applications shall require at a minimum:

 

A)        Completed application form;

 

B)        The disclosure of the name of each key person associated with the firm, and their respective percentage of ownership;

 

C)        Work experience relevant to the type of practice and profile codes requested;

 

D)        Copies of the individual licenses for sole ownership firms transacting business under the individual's real name and applicable professional design firm registration with the Department of Professional Regulation for all firms;

 

E)        Certification of compliance with statutory requirements;

 

F)         Work history reference checks.  References obtained may be verified and documented by the following methods:

 

i)          Telephone reference checks; or

 

ii)         Reference questionnaire; and

 

G)        CDB work history, if CDB projects have been awarded.

 

2)         Application updates

The A/E shall have an affirmative duty to update significant information within 10 days after occurrence.  Failure to disclose as required may lead to action on prequalification.  (See Section 980.310(c).)  Significant changes, of which CDB shall be notified, include, but are not limited to:

 

A)        Change of entity corporate structure, including sole owners, partnerships, and federal employee identification number;

 

B)        Change of name;

 

C)        Change of address;

 

D)        Change or loss of personnel in areas that may affect the types of professional practice or profile codes that may have been granted;

 

E)        Minority/Female owned firm status;

 

F)         Change or initiation of hearing in licensure or registration status with the Department of Professional Regulation;

 

G)        Loss of Secretary of State "good standing" status;

 

H)        Filing of bankruptcy;

 

I)         Filing of formal criminal charges against the firm or its officers, owners or employees;

 

J)         Suspension or debarment by another governmental agency; and

 

K)        Contract terminations.

 

b)         Satisfactory CDB work history

CDB may review documentation of the A/E's current and past work and performance history, including adherence to CDB's rules, resolutions, and procedures.  Such documentation includes, but is not limited to, performance evaluations prepared by CDB, user agencies, or contractors.

 

c)         Other governmental entities

CDB may conduct history reference checks by contacting Federal, State or local governmental entities.

 

d)         Other sources

In order to determine responsibility, CDB may conduct reference checks or gather relevant information from any other source, which may include, but is not limited to:

 

1)         Financial institutions;

 

2)         Periodicals;

 

3)         Newspapers;

 

4)         Court records;

 

5)         Dun and Bradstreet reports;

 

6)         Audited financial statements;

 

7)         Any type of public record.

 

e)         Previous employment history

For any newly organized firm or a firm with a limited work history, CDB may conduct individual performance reference checks on any or all personnel.

 

f)         Additional information

CDB may request additional information from the A/E at any time.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.170  Department of Professional Regulation Action

 

a)         Firms prequalified with CDB shall notify CDB in writing within 10 working days when the Department of Professional Regulation initiates proceedings to refuse to renew, suspend or revoke the registration or license of any individual or firm, or to impose any other disciplinary sanction.

 

b)         Upon notification, prequalification will be reviewed and appropriate action taken under Subpart B.  In addition, if it is found that notice was not provided as required, CDB may take action under Subpart B.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.180  Prequalification of Firms and Office Locations  

 

a)         Only legal entities permitted by law to practice architecture, engineering, or land surveying shall be prequalified, including any office location at which the firm provides architectural or engineering services.

 

b)         The A/E shall list all office locations that the prequalification shall include and indicate any assumed name for each office location if different from the parent office.  These office locations may be business subsidiaries, divisions, branches, etc. that provide professional services under the responsibility of the managing agent for the A/E.

 

c)         Prequalification shall not be extended to another business location or entity of the A/E solely because of an ownership relationship.

 

(Source:  Amended at 24 Ill. Reg. 6663, effective April 17, 2000)

 

Section 980.190  Trade Codes and Profile Codes

 

a)         The A/E shall indicate on the application form specific trade codes and profile codes within the A/E's type of practice(s) in which the A/E has specific areas of knowledge, expertise, or experience.  The applicant may indicate only those trade codes consistent with the applicant's licensed areas of practice.

 

b)         This information may  be used by CDB in the selection of firms for projects.  It does not relieve the firm from providing the same or additional information in the statement of qualifications submitted for a specific project.  CDB may request additional information during the prequalification process to verify that the firm possesses the required knowledge, expertise or experience to be considered for work in any profile code.  CDB may deny prequalification in a particular profile code during the prequalification process if the firm fails to demonstrate its knowledge, expertise or experience to CDB's satisfaction.

 

c)         Demonstration of knowledge, expertise, or experience in a profile code may be required to be supported by licenses or certification issued by governmental agencies such as the Department of Public Health, Illinois Historic Preservation Agency, etc.

 

d)         CDB's decisions regarding the types of profile codes granted to an A/E shall not be subject to hearing procedures (Section 980.530).  However, upon request of a firm, a conference to discuss the issue shall be held.

 

(Source:  Amended at 24 Ill. Reg. 6663, effective April 17, 2000)

 

Section 980.200  Processing of Architect-Engineer Prequalification Application

 

a)         A/Es must complete a prequalification application, including the Financial Interest and Potential Conflicts of Interest forms required under Section 50-35 of the Illinois Procurement Code [30 ILCS 500/50-35].

 

b)         Processing of applications by CDB may require up to 45 days after receipt of all requested information and a completed application.

 

c)         Applications for renewal will ordinarily be sent to the A/Es approximately 60 days before the expiration of current prequalification and are available electronically on CDB's Internet site at www.cdb.state.il.us.  A/Es who do not receive an application are responsible for obtaining one at least 45 days  prior to expiration.  When all information received is complete and satisfactory, processing may take up to 45 days.  When any information is incomplete or unsatisfactory, a longer processing time will be required.  A/Es will be notified when information is incomplete or unsatisfactory.  Unless otherwise specified in writing by CDB, the term of prequalification shall be two years from the end of the month the prequalification begins.  When prequalification is granted, the A/E will be notified in writing of the expiration date, which will also be entered on CDB's electronic program.  CDB may grant a shorter term of prequalification by agreement with the A/E, when a determination is made that a shorter period is justified, or when a special prequalification is developed specifically for a certain project.   Updated or new A/E information including the term of prequalification will be entered on CDB's electronic program weekly.  The electronic program will be capable of, among other things, sorting A/Es by profile code to produce lists of A/Es in various profile codes.  At the beginning of each month, a list of A/Es whose prequalification expires in approximately 60 days will be generated.

 

d)         Applications may be sent to CDB by facsimile.

 

e)         CDB shall review and evaluate each application received, which may include one or more of the following actions:

 

1)         Reviewing to determine whether the application is filled out in accordance with the instructions provided;

 

2)         Contacting work references or any other possible sources of pertinent information;

 

3)         Requesting additional information from the applicant;

 

4)         Reviewing CDB A/E performance evaluations; and

 

5)         Meeting with the applicant at the request of CDB or the applicant.

 

f)         CDB shall deny prequalification to any firm that has not affirmatively demonstrated its responsibility.  CDB's determination of responsibility shall be final.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.210  Ineligibility (Repealed)

 

(Source:  Repealed at 24 Ill. Reg. 6663, effective April 17, 2000)

SUBPART B: SUSPENSION, DEBARMENT, MODIFICATION OF PREQUALIFICATION, AND CONDITIONAL PREQUALIFICATION

 

Section 980.300  Actions Affecting Responsibility and Prequalification

 

At any time, CDB may consider whether an action is warranted concerning an A/E's prequalification.  Actions that may be taken include one or more of the following:

 

a)         Interim or Emergency Suspension or Modification

CDB may summarily suspend or modify an A/E's prequalification in accordance with Section 16 of the Capital Development Board Act [20 ILCS 3105/16].

 

b)         Debarment

CDB may debar an A/E to exclude it from making submittals for CDB contracts as authorized by statute.  The period of debarment shall be not less than five years and may be permanent when warranted or as authorized by law [20 ILCS 3105/16].

 

c)         Modification of Prequalification

CDB may modify or restrict an A/E's prequalification as appropriate, including, but not limited to, one or more of the following:

 

1)         Limiting the size or type of contracts for which an A/E may submit proposals for a specified period of time, or until a current contract is substantially or fully complete.

 

2)         Limiting the number of CDB contracts an A/E may enter into for a specified period of time, or until a current contract is substantially or fully complete.

 

3)         Limiting the aggregate dollar amount of contracts the A/E may enter into with CDB.

 

4)         Imposing limits as set forth above pending performance on the A/E's next CDB contract(s) in instances where the A/E has no current CDB contracts.

 

d)         Conditional Prequalification

CDB may condition prequalification (which may be otherwise limited) on the A/E's successful utilization of a management plan, evaluations, conferences, or other methods designed to achieve satisfactory performance or compliance with contract requirements.

 

e)         Suspension

CDB may suspend an A/E firm or disqualify an A/E firm temporarily from submitting with CDB, for a period of time up to five years.  The A/E's failure to timely pursue administrative action as provided by Subpart D of this Part shall constitute consent of the A/E to CDB's action.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.310  Causes for Suspension, Debarment, Modification of Prequalification, and Conditional Prequalification

 

CDB may determine an A/E is not responsible and suspend, debar or otherwise modify a prequalification or issue a conditional prequalification based upon one or more of the following:

 

a)         Failure to satisfactorily perform work on CDB contract(s), private contract(s), or other governmental contract(s). (See also Section 980.330.)

 

b)         Breach of the terms of a CDB contract(s), private contract(s), or other governmental contract(s).  (See also Section 980.330.)

 

c)         Making false or misleading statements or failing to disclose or update significant information in connection with CDB procedures or documents, including but not limited to the prequalification application.

 

d)         Violation of civil or criminal Federal or State statutes or administrative rules and regulations.  In the case of criminal violations, indictment or filing of formal charges by information (complaint) shall constitute adequate evidence for a  determination of non-responsibility.

 

e)         Financial instability which may be evidenced by bankruptcy, failure to timely pay consultants, difficulty in obtaining acceptable insurance, attempts to assign contract proceeds, or other indications of serious business management deficiencies.

 

f)         Failure to understand, accept or utilize CDB procedures and standards, or abuse of CDB procedures and standards, which results in the extraordinary expenditure of CDB resources.

 

g)         Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, receiving stolen property, or conduct indicating a lack of business integrity or business honesty that seriously and directly affects the present responsibility of an A/E.

 

h)         Suspension, debarment, or limits on contracts by any other governmental body.

 

i)          Failure to be properly licensed or registered with the Department of Professional Regulation (DPR), being the subject of disciplinary sanctions by DPR, or the subject of initiation of proceedings by DPR to refuse to renew, suspend or revoke the registration or license of the A/E, or to impose any other disciplinary sanction.

 

j)          Any other cause of so serious or compelling a nature that it affects the responsibility of an A/E.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.320  Nullification of Prequalification

 

When CDB determines that an A/E has knowingly made a material misrepresentation in its application for prequalification, the A/E may not reapply to CDB for a period of three years from the date of the determination of material misrepresentation.

 

a)         CDB will notify the A/E of the nullification. The A/E may, within 30 days after notification, submit a written explanation with supporting documentation for CDB's review.

 

b)         CDB may cancel awards or terminate any contracts awarded that were based upon the application with misrepresentations.

 

c)         A material misrepresentation is made by knowingly submitting any untrue, misleading or deceptive information or document containing such information, or by the concealment, suppression or omission of any information, in or from an application, which causes CDB to act differently than it would have if it had known the undisclosed or true information.

 

(Source:  Amended at 24 Ill. Reg. 6663, effective April 17, 2000)

 

Section 980.330  Failure to Satisfactorily Perform Work on or Breach of the Terms of CDB Contracts, Private Contracts, or Other Governmental Contracts

 

CDB may take action upon prequalification for the A/E's failure to satisfactorily perform work on or breach of the terms of CDB contracts, private contracts, or other governmental contracts, such as, but not limited to, one or more of the following:

 

a)         Failure to timely submit required documents and drawings, including record drawings, according to the project schedule, causing a delay in the commencement, completion or close out of a project.

 

b)         Failure to adequately or timely respond to technical review comments and directions.

 

c)         Failure to adhere to contractual document requirements.

 

d)         Failure to adequately or timely notify CDB of project problems or failure to cooperate with other parties to the project to timely resolve problems.

 

e)         Failure to timely or adequately resolve design issues.

 

f)         Failure to timely or adequately submit budget and estimating documents.

 

g)         Failure to meet quality standards of the applicable profession or required codes and standards for a particular type of construction.

 

h)         Failure to provide proper field administration and observer services.

 

i)          Failure to provide proper personnel or proper and timely responses to requests for information in the field.

 

j)          Failure to provide timely and adequate record drawings.

 

k)         Failure to meet contractual design schedule dates.

 

l)          Failure to timely process change orders and contractor pay requests.

 

m)        Failure to follow directives from CDB within the scope of the contract documents.

 

n)         Failure to attend or to be properly prepared for project meetings.

 

o)         Failure to understand, accept or utilize CDB procedures and standards, or abuse of CDB procedures and standards that results in paper delays, project delays, or the extraordinary expenditure of CDB resources.

 

p)         Failure to submit proper pay or modification requests, in accordance with the contractual provisions, with adequate documentation of costs and pricing within conventional industry parameters for public contracts.

 

(Source:  Added at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.340  Interim or Emergency Suspension or Modification Pursuant to Section 16 of the Capital Development Board Act

 

a)         CDB may suspend or modify an A/E's prequalification without a prior hearing or administrative procedure provided in Subpart D, for one or more of the following causes:

 

1)         The public interest, safety or welfare requires such suspension or modification.

 

2)         An event or series of events including, but not limited to:

 

A)        The filing of an indictment or of formal charges by information (complaint) charging the firm or a key person with the firm with a crime.

 

B)        Suspension or modification of a license or prequalification by another State agency, federal agency or other branch of government after hearing or by agreement.

 

C)        Failure to comply with applicable laws.

 

D)        Material breach of a contract, including, but not limited to, one or more of the causes set forth in Section 980.330.

 

E)        Failure to satisfactorily perform work on or breach of a CDB contract, including, but not limited to, one or more of the causes set forth in Section 980.330 when:

 

i)          The issue has been brought to the attention of firm management in writing;

 

ii)         All levels of CDB construction administration  have met with firm representatives and discussed the issue;

 

iii)        CDB conveys to the A/E what action or nonaction is necessary and in accordance with the contract documents;

 

iv)        The A/E willfully and unreasonably refuses to comply or to obtain consultants, personnel, or other resources that would enable it to comply.

 

b)         When prequalification is suspended or modified pursuant to this Section, the A/E will be notified in writing and, within 30 days after the notice, CDB will commence administrative procedures under Subpart D.

 

c)         When prequalification is suspended or modified pursuant to subsection (a)(2)(E), if the A/E cures the situation within 30 days after the notice, the suspension or modification will be rescinded by written notice to the A/E.  If CDB determines the A/E is making substantial progress toward a cure within 30 days after the notice, CDB may extend in writing the 30-day period by an amount up to an additional 60 days.  If the A/E cures the situation within the extended time period, the suspension or modification will be rescinded by written notice.  In any case, when suspension or modification is rescinded, it will be removed from the A/E's prequalification record.  If the A/E fails to cure the situation within 30 days or within the time extension, whichever is applicable, CDB will immediately commence administrative procedures under Subpart D.

 

(Source:  Added at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.350  Denial of Prequalification

 

a)         This Section is applicable to A/Es who are one of the following:

 

1)         First-time applicants for CDB prequalification.

 

2)         Firms who sent a renewal application that arrived at CDB after the prequalification expiration date or could not reasonably be processed before the expiration date.

 

3)         Firms who sent a renewal application that was incomplete or insufficient, so that CDB could not reasonably process the application before the expiration date.

 

b)         A/Es categorized above will be considered to be new applicants to CDB. In the event that CDB denies prequalification or grants a conditional or modified prequalification, the A/E may request administrative procedures under Subpart D, but shall not be entitled to an administrative hearing.

 

(Source:  Added at 25 Ill. Reg. 10759, effective August 10, 2001)

SUBPART C: APPLICATION OF CDB ACTION

 

Section 980.400  General

 

Suspension, debarment, nullification of prequalification, modification of prequalification, issuance of conditional prequalification, or denial of prequalification by CDB is applicable to an A/E's direct contracts with CDB and any consultant subcontracts on other contracts on CDB projects, unless CDB determines otherwise in writing.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.410  Violation of CDB Order

 

If an A/E is subject to a CDB order suspending or debarring the A/E, or nullifying or modifying prequalification, or making prequalification conditional, or denying prequalification, and the A/E violates the order in any manner, including but not limited to continuing to make submittals on CDB projects, or working as a subcontracted consultant on a CDB project, CDB may extend the term of suspension, debarment, nullification, modification or conditional prequalification, or otherwise limit or condition the ability to make submittals on contracts with CDB.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.420  Denial of Award of Contract

 

Notwithstanding any other provisions in this Part, if CDB finds an A/E non-responsible, CDB may deny the A/E the award of a contract.

 

Section 980.430  Debarment

 

CDB may debar an A/E to exclude it from submitting on CDB projects.  CDB will consider debarment in cases so serious and egregious in nature that a permanent loss of submittal privileges may be warranted.  In addition to the causes listed in Section 980.310, causes for debarment may include but not be limited to multiple or repetitive criminal convictions or multiple non-responsibility determinations.  Following a period of debarment, when an A/E submits a prequalification application to CDB, the application shall be deemed to be a first-time application rather than one for renewal.

 

(Source:  Amended at 22 Ill. Reg. 20026, effective November 9, 1998)

 

Section 980.440  Reapplication for Prequalification

 

When an A/E submits a prequalification application to CDB following a denial, or during or following a period of debarment, suspension, nullification, modification of prequalification,  or conditional prequalification, the A/E must affirmatively demonstrate its responsibility, including demonstrating that the reason for the denial, or imposition of suspension, debarment, nullification, modification, or condition, has been remedied.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.450  Extension of CDB Action

 

The effect of an action imposed under this Subpart by CDB will extend to all office locations of the A/E and to any firm in which the A/E or its key persons have a legal or beneficial interest, unless CDB determines otherwise in writing.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.460  Effect on Current Contracts

 

Current CDB contracts may be terminated when an A/E is determined to be non-responsible and it is in the public interest to do so, whether or not the non-responsibility has a direct connection with the current contract.  Contracts may be terminated with or without further action on the A/E's prequalification.

 

(Source:  Old Section repealed at 24 Ill. Reg. 6663, effective April 17, 2000; new Section added at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.470  Basis of Decisions

 

a)         CDB shall make determinations as appropriate concerning the substance of an A/E's  business as opposed to its form and base its decisions on the substance.  When an A/E attempts to evade the effects of a possible or actual finding of non-responsibility by changes of address, multiple addresses, changes in personnel or their titles, formation of new companies, or by other devices, CDB may take action pursuant to Section 980.300 and Subparts B and C of this Part.

 

b)         A/Es who are newly formed business concerns having substantially the same owners, officers, directors, or beneficiaries as a previously existing non-responsible firm will be declared non-responsible unless the new organization can demonstrate it was not set up for the purpose of avoiding an earlier declaration of non-responsibility.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.480  Settlement

 

Notwithstanding any provision of this Part, the parties to any contested matter concerning an A/E's prequalification may at any time enter into an agreement to resolve responsibility issues by settlement.

SUBPART D: PROCEDURES

 

Section 980.500  Review

 

When information that places an A/E's responsibility in question comes to CDB's attention, CDB shall review the facts and documentation.  If further inquiry is desirable, it may do such further inquiry, which may result in an informal conference with the A/E and its appropriate staff members with CDB.

 

Section 980.510  Notice of CDB Action

 

Unless proceedings under Section 16 of the CDB Act [20 ILCS 3105/16] are justified, prior to suspending, conditioning, modifying or nullifying an A/E's prequalification or debarring an A/E, CDB will notify the A/E in writing of its intention to take such action and the basis of the action, and will request that the A/E attend an informal conference with CDB personnel.  The A/E may bring to the conference any documents, personnel, or other pertinent information that it wishes for CDB to consider.  The A/E may bring its attorney to the conference, if desired.  Within a reasonable time in advance of the conference, CDB shall furnish the A/E with all information in its possession that it deems pertinent and shall advise the A/E in writing that it has the right to inspect its prequalification file.  Further conferences may be scheduled by agreement of CDB and the A/E. The  A/E's failure to appear at the conference shall be construed to indicate the A/E does not wish to contest the matter and rights to further administrative proceedings shall be forfeited.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.520  Executive Director Decision and Request for Reconsideration

 

Following CDB's conference with the A/E, the conference committee shall forward a recommendation to the Executive Director.  The A/E will be notified in writing of the Executive Director's decision.  Within 15 days after receipt of the Executive Director's decision, the A/E may request the Executive Director's reconsideration in writing, including as attachments any and all supporting evidence not previously submitted.  CDB shall respond to the request for reconsideration within 15 days after CDB's receipt.

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.530  Hearings

 

Within 30 days after the A/E's receipt of the Executive Director's decision on reconsideration, the A/E may request a hearing in writing.  All administrative procedures in this Subpart D must be exhausted before CDB will consider the request for a hearing.  Hearings shall be conducted in accordance with Hearing Procedures (71 Ill. Adm. Code 100).

 

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)

 

Section 980.540  Burden of Proof

 

a)         Any determination pursuant to this Part may be made when CDB possesses documentation of one or more of the factors described in Section 980.310, 980.320, or 980.410.

 

b)         Such documentation constitutes a presumptive determination of non-responsibility.  The A/E is entitled to rebut the presumption, through procedures described in this Subpart, but the presumption will not be overturned unless the A/E shows, by a preponderance of evidence, that each factor cited by CDB in support of its determination of non-responsibility is not present.  CDB's determinations are final and conclusive unless they are clearly erroneous, arbitrary, capricious, or contrary to law.

 

(Source:  Amended at 22 Ill. Reg. 20026, effective November 9, 1998)