Section 1326.110  Summary and Purpose

 

a)         This Part states the policy of the Department of Financial and Professional Regulation (Department) for making its records available for reasonable public inspection while, at the same time, protecting legitimate interests in confidentiality and not causing disruption to the operations of the Department.

 

b)         This Part:

 

1)         Establishes the following classifications for records in the Department's possession:

 

A)        Records that shall be disclosed; and

 

B)        Records that shall be withheld from disclosure;

 

2)         Contains the procedures by which requesters may obtain records in the Department's possession;

 

3)         Contains the procedures for Department responses to requests for records; and

 

4)         Contains the procedures for providing public records to requesters.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.120  Definitions

 

Terms not defined in this Section shall have the same meaning as in the Freedom of Information Act [5 ILCS 140]. The following definitions are applicable for purposes of this Part:

 

"Department" means the Department of Financial and Professional Regulation.

 

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

 

"Freedom of Information Officer" or "FOI Officer" means an individual or individuals responsible for receiving and responding to requests for public records.

 

"Requester" is any person who has submitted to the Division a written request for public records.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.210  Records that Will Be Disclosed

 

Upon a request meeting the requirements of this Part, the Department will disclose to the requester all nonexempt records requested, except for any portion that may be subject to redaction or nondisclosure. Records covered under this Section shall include, but are not limited to:

 

a)         Disciplinary Orders.

 

b)         Administrative Law Judge's Report and Recommendation and Board Findings of Fact, Conclusions of Law, and Recommendation to the Director at the conclusion of a formal administrative hearing, provided that a final disciplinary order has been entered. (See Section 7(1)(f) of FOIA.)

 

c)         License and registration applications and renewals, except for applications and renewals submitted under the Compassionate Use of Medical Cannabis Pilot Program Act [410 ILCS 130/145], the Cannabis Regulation and Tax Act [410 ILCS 705/55-30] or as otherwise excluded by law. The following information contained in the application or renewal, or in attachments to the application or renewal, will be redacted and/or withheld: home address; home telephone number; cell phone number; personal email address; Social Security number or other tax identification number; date of birth; fingerprints; signature; and educational transcripts, diplomas, degrees and examination scores. (This is not intended to be an exhaustive list of information the Department may redact). (See Section 7(1)(b) and (c) of FOIA.)

 

d)         Formal administrative hearing complaints filed by the Department against a licensee or registrant, or unlicensed person or entity.

 

e)         Petitions, answers, motions and responses filed by a petitioner or respondent in an administrative proceeding before the Department and any responses or related motions filed by the Department.

 

f)         Status or continuance orders entered in an administrative proceeding before the Department.

 

g)         Minutes and agendas of board meetings.

 

h)         Orders of Fines and Notices of Hearing within the Division of Financial Institutions.

 

i)          Cease and Desist letters

 

j)          Public Orders issued by the Director of the Division of Banking.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.220  Records that Will Be Withheld from Disclosure

 

In response to a request submitted pursuant to FOIA, the Department will not disclose certain records as provided in this Section. Records covered under this Section include, but are not limited to:

 

a)         All Divisions:

 

1)         Medical or health related records that may be used as evidence in an administrative proceeding. (See Section 7(1)(b) and (c) of FOIA).

 

2)         Physical or mental examinations ordered by the Department. (See Section 7(1)(b) and (c) of FOIA.)

 

3)         Materials created or received by the Division related to settlement conferences or negotiations. (See Section 7(1)(f) of FOIA.)

 

b)         Division of Professional Regulation and Division of Real Estate:

 

1)         Complaints received by the Department against licensees or unlicensed persons or entities, except as provided by statute. (See Section 7(1)(a) of FOIA, 20 ILCS 2105/2105-117.)

 

2)         Mandatory reports received by the Division concerning a licensee. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

3)         Investigative files maintained by the Division. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

4)         Probation files and reports. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

5)         Care, Counseling, and Treatment Agreements. (See Section 7(1)(b) and (c) of FOIA.)

 

6)         Nondisciplinary Orders and associated fees. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105‑117.)

 

7)         Supervision Orders. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

8)         Internal case management documents.  (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

9)         Case closure memoranda. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105‑117.)

 

10)        Vacated orders. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

11)        Sealed discipline and orders. (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105/207.)

 

12)        Withdrawn Formal Complaints (See Section 7(1)(a) of FOIA and 20 ILCS 2105/2105-117.)

 

c)         Division of Financial Institutions:

 

1)         Information or documents obtained by employees of the Department in the course of any examination, audit, visit, registration, certification, review, licensing, or investigation. (See Section 7(1)(a) of OFIA and 38 Ill. Adm. Code 200.280.)

 

2)         Information contained in or related to examination, operating or condition reports prepared by, on behalf of, or for the use of the Division for the regulation of financial institutions. (See Section 7(1)(t) of FOIA).

 

d)         Division of Banking:

 

1)         Confidential supervisory information. (See Section 7(1)(a) of FOIA and 205 ILS 635/1-4(ii))

 

2)         Information contained in or related to examination, operating or condition reports prepared by, on behalf of, or for the use of the Department for the regulation or supervision of financial institutions. (See Section 7(1)(t) of FOIA).

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.310  Submittal of FOIA Requests for Records

 

a)         Any request for public records should be submitted or addressed in writing to the FOI Officer for the Department.

 

b)         Contact information for the Department FOI Officer can be found online at www. Illinois.gov/Pages/FOIAContacts.aspx. 

 

c)         FOIA requests may be submitted by mail (U.S. or other postal carriers), e-mail or hand delivery. Requests should be mailed, emailed or hand delivered to:

 

Mail or Hand Delivery:	Illinois Dept. of Financial and Professional Regulation Attn: FOI Officer 100 West Randolph Street, 9th Floor Chicago, Illinois 60601
	Or
	Illinois Dept. of Financial and Professional Regulation Attn: FOI Officer 320 West Washington Street, 3rd Floor Springfield, Illinois 62786
Email:	FPR.FOIA@Illinois.gov

 

d)         E-mailed requests should be sent to FPR.FOIA@Illinois.gov and contain the request in the body of the e-mail, or the request may be attached separately to the email as a PDF.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.320  Information To Be Provided in Requests for Records

 

A request for public records should include:

 

a)         The requester's full name, mailing address and telephone number. An email address should also be included, if the request was made via email.

 

b)         As specific a description as possible of the records sought.

 

c)         If applicable, a statement as to the requested manner for the production of records sought; for example, inspection at Department headquarters or providing paper or electronic copies.

 

d)         A statement as to whether the request is for a commercial purpose.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.410  Department Response

 

The Department shall respond in writing to all FOIA requests received, either by granting the request in whole or in part or by denying the request.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.420  Requests for Records that Require Electronic Retrieval

 

a)         A FOIA request for records that require electronic retrieval will be treated the same as any other FOIA request for records, with the same timeline and extensions as allowed for other records.

 

b)         Electronic records can only be retrieved and provided in the format and medium in which they are maintained by the Department.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.430  Denials of Requests for Records

 

a)         The Department will deny FOIA requests for records when:

 

1)         Compliance with the request would unduly burden the Department and the requester is unable or unwilling to reduce the scope of the request to manageable proportions;

 

2)         The records are exempt from disclosure pursuant to Section 7 or 7.5 of FOIA or any other applicable law or regulation;

 

3)         Compliance with the request would require the Department to create or prepare a record that it does not maintain;

 

4)         The request fails to reasonably identify a public record;

 

5)         The request seeks answers to questions posed by the requester; or

 

6)         Compliance with the request would require the Department to compile data the Department does not ordinarily keep.

 

b)         The denial of a request for records will be in writing.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.510  Inspection of Records

 

a)         The Department may make available public records for personal inspection at either of the Department's offices, as noted in Section 1326.310(c). A requester may inspect public records by appointment only. The Department will schedule inspection appointments between 9:00 a.m. and 4:00 p.m. Monday through Friday, exclusive of State holidays. No original record shall be removed from State-controlled premises. The Department may provide records in duplicate forms, including, but not limited to, paper copies, data processing printouts and any type of recording medium used by the Department.

 

b)         When a person requests a copy of a record maintained in an electronic format, the Department shall furnish it in the electronic format specified by the requester, if feasible.  If it is not feasible to furnish the records in the specified electronic format, then the Department shall furnish it in the format in which it is maintained by the Department, or in paper format at the option of the requester. (See Section 6(a) of FOIA)

 

c)         In order to maintain routine Department operations, the requester may be asked to leave the inspection area for a specified period of time.

 

d)         The requester will have access only to the designated inspection area.

 

e)         Requesters shall not be permitted to take briefcases, folders or similar materials into the room where the inspection takes place. A Department employee may be present during the inspection.

 

f)         The requester shall segregate and identify the documents to be copied during the course of the inspection. Inspections will be subject to all Section 7 and 7.5 FOIA exemptions prior to inspection.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.520  Copying of Records and Fees

 

a)         The Department will charge fees in accordance with Section 6 of FOIA.

 

b)         The fees for delivery of responsive records other than by First Class U.S. Mail must be borne by the requester.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)

 

Section 1326.530  Waiver of Fees

 

The Department will provide copies of public records without charge to any current federal, State and municipal agencies, State Constitutional officers, and members of the General Assembly.

 

(Source:  Amended at 43 Ill. Reg. 14647, effective December 20, 2019)