Section 951.10  Summary and Purpose

 

a)         This Part is being adopted to implement the provisions of the Freedom of Information Act (FOIA) [5 ILCS 140]).  The purpose of this Part is to support the policy of providing public access to the public records of the Department of Insurance while protecting legitimate privacy interests and administrative efficiency.

 

b)         This Part establishes the procedure by which the public may request access to public records maintained by the Department of Insurance pursuant to the Freedom of Information Act.  This Part also sets forth the procedures to be followed by the Department of Insurance when responding to these requests.

 

(Source:  Amended at 21 Ill. Reg. 5154, effective April 15, 1997)

 

Section 951.15  Definitions

 

Code means the Illinois Insurance Code [215 ILCS 5].

 

            Department means the Illinois Department of Insurance.

 

            Director means the Director of the Illinois Department of Insurance.

 

            FOIA means the Illinois Freedom of Information Act [5 ILCS 140].

 

            FOIA Officer means an individual responsible for receiving and responding to requests for public records.

 

            IAPA means the Illinois Administrative Procedure Act [5 ILCS 100].

 

            Public records includes all documents, records, books, papers and other information filed with or maintained by the Department which are not otherwise exempt from public disclosure pursuant to Section 7 of the FOIA.

 

            Requester means an individual, organization or other entity who requests to inspect or receive copies of public records.

 

(Source:  Amended at 26 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.20  Availability of Public Records

 

Public records maintained by the Department may be made available to the public upon submission of a written request in accordance with Section 951.30 of this Part.  Upon the Department's determination to comply with the request in whole or in part, the requested records may either be made available for inspection pursuant to Section 951.70 of this Part, or copies of the requested records may be furnished for a fee as set forth in Section 951.60 of this Part.  The records will not be transmitted by electronic means such as fax or e-mail.  A categorical index of the public records maintained by the Department is available for inspection and copying in the Department's Springfield and Chicago Offices, or may be viewed on the Department's website at www.ins.state.il.us. The Department's Springfield Office is located at 320 West Washington Street, 4^th Floor, Springfield, Illinois 62767-0001.  The Department's Chicago Office is located at James R. Thompson Center, 100 West Randolph Street, Suite 15-100, Chicago, Illinois 60601-3251.

 

(Source:  Amended at 26 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.30  Requests for Access to Public Records

 

a)         Standard Department computer reports and prices are listed on the Computer Data Request Form, which is available in print and on the Department's website.  Completed request forms must be accompanied by payment and addressed to the Public Sale Coordinator, Information Systems Section, Illinois Department of Insurance, 320 West Washington Street, 4^th Floor, Springfield, Illinois 62767-0001.

 

b)         A request for access to any public record maintained by the Department other than the computer reports described in subsection (a) of this Section must be submitted in writing and addressed to the FOIA Officer, Department of Insurance, 320 West Washington Street, 4^th Floor, Springfield, Illinois 62767-0001.  Requests may also be submitted on FOIA request forms made available by the Department in print and on the Department's website.  Every request must contain the following information:

 

1)         The full name and address of the requesting party;

 

2)         A description, including dates if applicable, that is reasonably sufficient to permit identification of the requested records by Department personnel without undue difficulty;

 

3)         An indication of the requester's agreement to pay copying fees and certification fees if applicable, as set forth in Section 951.60 of this Part, for the requested copies or certifications; and

 

4)         The request letter and envelope should be clearly marked "FREEDOM OF INFORMATION REQUEST" or "INFORMATION REQUEST".

 

c)         The Department may require additional information from the requester when the initial description of the records requested is insufficient to enable the Department to locate the records within a reasonable period of time.  When a request calls for access to all records falling within a category of records and compliance with the request is determined to be unduly burdensome to the Department, the requester shall be given an opportunity within 7 working days after the request was received to confer with the Department in order to narrow the request to manageable proportions prior to a denial of the request.

 

d)         Requests for copies of the Department's rules shall not be deemed Freedom of Information Act requests unless so labeled by the requester, pursuant to Section 5-15(a)(2) of the IAPA.  Additionally, requests for copies of rules, regulations, standards or guidelines incorporated by reference into the Department's rules shall not be deemed Freedom of Information Act requests unless so labeled by the requester, pursuant to Section 5-75(c) of the IAPA.

 

(Source:  Amended at 26 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.40  Response to Requests

 

a)         The Department shall make a determination of whether, or the extent to which, the Department will comply with the request within 7 working days after receipt of the request by the FOIA Officer.   Under exceptional circumstances, as set forth in Section 3(d) of the FOIA, the Department may extend the time limit to comply with or deny the request for up to 7additional working days.  If the time limit is extended, the requester will be notified in writing of the reason for the extension and the date by which the Department will comply with or deny the request.

 

b)         Upon determination to comply with the request, the Department will notify the requester in writing, and will either make the requested records available for inspection or provide copies.  The Department will also notify the requester of the applicable copying fees to be charged.  An invoice for any copies provided will be mailed separately.  When a requester chooses to inspect public records, rather than have the Department provide copies, the records will be available to the requester for inspection at the Department's offices for 30 days following the Department's written response.  After that time, the Department will return all records to their point of origin within the Department.

 

c)         If the Department makes a determination to deny the request, in whole or in part, the requester shall be informed in writing of the specific reasons for denying access, the extent of the denial, the name and title of the Department employee responsible for the decision to deny access, and the right to appeal this decision to the Director.

 

d)         If the records requested cannot be located after a reasonable search or they are no longer in existence, the requester will be notified in writing.  e)          If the records requested are not maintained by the Department, but they are known to be maintained by another public body, the Department will inform the requester that they may be requested from the other public body.

 

f)         If the Department fails to respond to a written FOIA request within 7 working days after its receipt or within an extension of 7 additional working days, the requester may deem the request denied, and may request a review of the denial by the Director of Insurance.

 

(Source:  Amended at 26 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.45  Restrictions on Availability of Public Records

 

a)         FOIA requests submitted to the Department are themselves public records and may be disclosed to the public upon request.  However, any portion of the documents which are determined to be exempt pursuant to provisions of FOIA or other statutes or regulations will be withheld from public disclosure.  Part or all of a FOIA request will be withheld from public disclosure if a requester submits, in writing, a specific, valid judicial or statutory basis for claiming confidentiality.  The Department will not determine a faxed request to be exempt from disclosure solely on the basis of accompaniment by a standardized claim of confidentiality.

 

b)         Social Security numbers, tax identification numbers, other personally identifying information, residence, employment history and personal financial information contained in Department records are considered confidential and will be withheld from public disclosure.

 

c)         The Department may make a determination that certain documents or information are confidential, proprietary or privileged pursuant to Section 404 of the Code.  When such a determination has been made, the documents or information will be withheld from public disclosure.

 

d)         Information that bears on the public duties of public employees may be disclosed pursuant to FOIA.  Employee information which may not be disclosed pursuant to FOIA includes, but is not limited to, those items identified in subsection (b) of this Section, and confidential documents and information contained in the employee’s personnel file.

 

(Source:  Added at 26 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.50  Appeal of Denial of Access

 

a)         Any person who is denied access to the records of the Department (either in whole, or in part) may appeal the denial to the Director.  The appeal must be made in writing within 30 days after notification of the denial and must be addressed to the Director of Insurance, 320 West Washington Street, 4th Floor, Springfield, Illinois 62767-0001. The letter and envelope should be clearly marked "FREEDOM OF INFORMATION APPEAL."

 

b)         The Director shall make a written determination with respect to any such appeal and shall provide a written response within 7 working days after its receipt.  .  The person filing the appeal will also be informed of the right to seek judicial review of any final determination made by the Director to uphold, in whole or in part, the Department's denial of access tothe requested records.  If the Director determines that all or part of the records may be disclosed to the public, the Director shall notify the person filing the appeal as to the extent the records will be available for inspection and copying, and any copying fees to be charged.

 

c)         Failure of the Director to make a written determination on an appeal within 7 working days after its receipt shall be considered a denial of the appeal.

 

d)         If the appeal is denied, in whole or in part, the person filing the appealmay seek judicial review by filing suit for injunctive or declaratory relief in a court with proper jurisdiction.

 

(Source:  Amended at 27 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.60  Fee Schedule, Fee Waivers, and Payment of Fees for Copies and Certifications

 

a)         The Department shall charge a fee of $1.00 per page for copies of papers or records and $10.00 for each certification to copies of papers or records maintained by the Department, pursuant to Section 408 and 408.2 of the Code.  Prices the Department shall charge for standard computer reports are as listed on the Computer Data Request Form described in Section 951.30(a) of this Part.

 

b)         Copies will be furnished without charge, or at a reduced charge, if the Department determines that a fee waiver or reduction of the fee is in the public interest. A determination to grant a fee waiver or reduction of the fee will not be made unless the records furnished will be primarily used to benefit the general public, as opposed to the personal or commercial benefit of the requester of the information.  Requests made by news media for the primary purpose of accessing and disseminating information for the benefit of the general public are not considered to be for commercial benefit, pursuant to Section 6 of the FOIA.  The Department may make such determination upon receipt of a written request which explains the intended use of the requested records and indicates that the requested fee waiver or reduction of the fee is in the public interest.  Charges may be waived if:

 

1)         The requester is a State agency;

 

2)         The requester is an agency of the Federal, county, township, city, or other governmental body, including school districts;

 

3)         The requester is a constitutional officer, or a member of the General Assembly, or United States Congress, or staff of a constitutional officer or member of the General Assembly or United States Congress;

 

4)         The requester is a not-for-profit organization;

 

5)         The requester is indigent;

 

6)         The requester is the news media; or

 

7)         When the FOIA officer determines that a fee waiver serves the public interest.

 

c)         Payment – Payment for copies of computer data must be made as specified on the Computer Data Request Form pursuant to subsection 951.70(a) of this Part.  For other copies, and certifications, the FOIA Officer will notify the requester of the copying fees.  Once the requester has agreed to pay the fees, the Department will in most instances provide the requested copies and the requester will then be billed by invoice for the copying fees.  If a large number of copies have been requested, however, payment may be required before copies can be provided.  In some instances, the Department may choose to forward the requested records to a local printing company for copying; the printing company will send the required copies and the bill directly to the requester, and the requester will be responsible for payment to the printing company.  Questions concerning copying or certification fees should be directed to the FOIA Officer, Department of Insurance, 320 West Washington Street, 4th Floor, Springfield, Illinois 62767-0001.

 

(Source:  Amended at 26 Ill. Reg. 18276, effective December 16, 2002)

 

Section 951.70  Inspection of Public Records

 

a)         Generally, public records may be made available for inspection at the Department's Springfield Office between the hours of 10:00 a.m. and 3:00 p.m.

 

b)         Requesters must contact the FOIA Officer to schedule an appointment to inspect the requested records.

 

c)         An employee of the Department may be present throughout the inspection.  A requestor may be prohibited from bringing bags, briefcases or other containers into the inspection rooms.

 

d)         Documents which the requester wishes to have copied shall be segregated during the course of the inspection.  Generally, all copying shall be done by Department employees.

 

(Source:  Amended at 26 Ill. Reg. 18276, effective December 16, 2002)