Other Licenses

Common Disciplinary Rules to Consider for Real Estate Licensees 225 ILCS 454/20-10 unlicensed practice

a) Any person who practices, offers to practice, attempts to practice, or holds oneself out to practice as a real estate broker, real estate salesperson, or leasing agent without being licensed under this act shall, in addition to any other penalty provided by law, pay a civil penalty to the Department in an amount not to exceed $25,000.00 for each offense as determined by the Department. The civil penalty shall be assessed by the department after a hearing is held in accordance with the provisions set forth in the act regarding the provision of a hearing for the discipline of a license.

b) The department has the authority and power to investigate any and all unlicensed activity.

c) The civil penalty shall be paid within 60 days after the effective date of the order imposing the civil penalty. The Order shall constitute a judgment and may be filed, and execution had thereon in the same manner from any court record.

Most Common Real Estate Issues at IDFPR (See 68 adm. Code section 1455.310 for further details)

1. Failing to act in the best interest of the client
2. Misleading market value of property to client
3. Failing to advertise property as obligated to listing agreement.
4. Misrepresenting the condition of property
5. Purchasing or transferring property through an intermediary in order to conceal
6. Inducing a seller to list through misrepresentation
7. Inducing a seller to transfer property through false representations
8. Taking unfair advantage of a client’s age, disability, or lack of English
9. Engaging in lewd behavior
10. Representing oneself as a managing broker without supervision.
11. Failing to safeguard confidential information
12. Misleading or false advertising
13. Criminal Background

68 IAC 1330.410 – Pharmacy Licenses

Section 1240.525 Refusal based on criminal history

a) For purposes of this section, criminal history record information is defined as information collected by criminal justice agencies (defined in 20 ILCS 2630) on individuals consisting of identifiable descriptions and notations of arrests, detentions, indictments, information, or other formal criminal charges, and any disposition arising from those charges, sentencing, correctional supervision, and release. The individual records must contain both information sufficient to identify the subject of the record and notations regarding any formal criminal justice transaction involving the identified individual.

b) In determining whether an applicant for a “perc” or firearm control card is unfit for such registration because of criminal history record information, IDFPR shall consider the following:

1. Whether the crime was one of armed violence or any two or more repeated acts of violence towards persons or property. (720 ILCS 5/Art. 33A) or:

• Crimes involving dishonesty, false statements, or some other element of deceit, untruthfulness, or falsification (including but not limited to perjury, inducement of perjury, false statements, criminal fraud, embezzlement, false pretense, forgery, counterfeiting, and theft).
• Drug offenses including, but not limited to, the Illinois Controlled Substance Act [720/Art.I] and Federal Drug Enforcement Laws (21 USC 801 et seq.).
• Sex offenses, including but not limited to, all crimes listed in Article II of the Criminal Code of 1961 [720 ILCS 5/Art.II].

2. Whether the crime is related to the detective, security, alarm, or locksmith profession.
3. Whether more than 10 years have elapsed since the date of completion of the imposed sentence.
4. Whether the conviction was from a city ordinance violation or a conviction for which a jail sentence was not imposed
5. Whether the applicant has been sufficiently rehabilitated to warrant

• Completion of probation;
• Completion of parole supervision; or
• If no parole was granted, a period of 10 years has elapsed after final discharge or release from any term of imprisonment without subsequent conviction

c) If any one of the following factors exists, this outweighs the presumption of rehabilitation as defined in subsection (b) (5):

1. Lack of compliance with terms of punishment;
2. Unwillingness to undergo, or lack of cooperation in, medical or psychiatric treatment/counseling
3. Falsification of an application for registration with the Division;
4. Failure to furnish to the Division additional information or failure to appear for a conference with the Division

d) The following criminal history records shall not be considered in connection with an application for registration:

1. Juvenile adjudications
2. Records of arrests not followed by a conviction;
3. Convictions overturned
4. Convictions expunged

Section 1150.90 Standards of Professional Conduct

In order to safeguard life, health, and property; to promote the public welfare; and to establish and maintain a high standard of integrity in the practice of architecture, the following Standards of Professional Conduct shall be binding on every person applying for or holding a license as an architect and on all partnerships and corporations authorized to practice architecture in this state.

Competence

• An architect shall undertake to perform professional services only when the architect, together with those whom the architect may engage as consultants, are qualified by education and training in the specific technical areas involved.
• An architect engaging in the practice of architecture shall act with reasonable care and competence and shall apply the technical knowledge and skill that are ordinarily applied by licensed architects of good standing practicing in the same locality.
• An architect in designing a project shall take into account all applicable state and municipal building laws and regulations (e.g., the Illinois Environmental Barriers Act [225 ILCS 75]). While an architect may rely on the advice of other professionals, attorneys, engineers, and other qualified persons (i.e., building code officials, authorized governmental officials) as to the intent and meaning of the regulations, once having obtained the advice, an architect shall not knowingly design a project in violation of those laws and regulations.

Conflict of Interest

• An architect shall not accept compensation for his/her services from more than one party on a project unless the circumstances are fully disclosed and agreed to in writing by all interested parties.
• If an architect has any business association or direct or indirect financial interest that is substantial enough to influence the architect’s judgment in connection with the architect’s performance of professional services, the architect shall fully disclose in writing to the architect’s client or employer the nature of the business association or financial interest, and if the client or employer objects to that association or interest, the architect will either terminate the association or interest or offer to give up the commission or employment.
• An architect shall not solicit or accept compensation from material or equipment suppliers in return for specifying or endorsing their products.
• When acting as the interpreter of building contract documents and the judge of contract performance, an architect shall render decisions impartially, favoring neither party to the contract.

Full Disclosure

An architect, making public statements on architectural questions, shall disclose when he/she is being compensated for making those statements.

An architect shall accurately represent to a prospective or existing client or employer the architect’s qualifications and the scope of the architect’s responsibility in connection with work for which the architect is claiming credit.

If, in the course of the architect’s work on a project, an architect becomes aware of a decision taken by the architect’s employer or client, against the architect’s advice, that violates applicable state or municipal building laws and regulations and that will, in the architect’s judgment, materially and adversely affect the safety of the public of the finished project, the architect shall:

• Report the decision to the local building inspector or other public official charged with the enforcement of the applicable state or municipal building laws and regulations;
• Refuse to consent to the decision; and
• In circumstances in which the architect reasonably believes that other such decisions will be taken, notwithstanding his or her objection, terminate the architect’s services with respect to the project. In the case of a termination in accordance with this clause, the architect shall have no liability to the architect’s client or employer on account of the termination.

Compliance With Laws

• An architect shall not, in the conduct of his/her architectural practice, knowingly violate any state or federal criminal law of a state or territory of the U.S.
• An architect shall comply with the licensing and registration laws and regulations governing architectural practice in any state or territory of the U.S. in which the architect is practicing or offering to practice architecture.
• An architect shall neither offer nor make any payment or gift to a government official (whether elected or appointed) with the intent of influencing the official’s judgment in connection with a prospective or existing project in which the architect is interested.
• An architect shall not knowingly make a materially false statement or fail deliberately to disclose a material fact requested in connection with his or her application for a license or renewal thereof.
• An architect shall not assist the application for a license of an individual known by the architect to be unqualified in respect to education, training, or character.
• An architect possessing knowledge of a violation of the provisions set forth in Sections 22, 23 and 23.5 of the Act by another architect shall report that knowledge to the Division.

 Professional Conduct

• An architect shall not sign or seal drawings, specifications, reports, or other professional work for which the architect has not exercised responsible control as set forth in Section 14 of the Act; provided, however, that in the case of the portions of the professional work prepared by the architect’s consultants, licensed under another professional licensure law of this jurisdiction, the architect may sign and seal that portion of the professional work if the architect has reviewed the portion, has coordinated its preparation and intends to be responsible for its adequacy pursuant to Section 14(2) of the Act. The signing and sealing of the work of a consultant by the architect does not exempt the consultant from signing and sealing professional work prepared by the consultant as required by the Act or by another licensure law of this jurisdiction.
• When an architect signs and seals technical submissions not prepared by the architect, but prepared under the architect’s responsible control by persons not regularly employed in the office where the architect is resident, those persons shall meet the requirements for licensure as an architect and professional design firm registration to offer or provide architectural services as set forth in the Act and this Part.
• In the event of the death or incapacity of the architect, a subsequent architect may utilize the drawings, specifications, reports, or other professional work produced by the deceased or incapacitated architect, after independent review, in order to complete the project.
• An architect shall neither offer nor make any payment or gift, other than gifts of nominal value (including, but not necessarily limited to reasonable entertainment and hospitality), with the intent of influencing the judgment of an existing or prospective client in connection with a project in which the architect is interested.
• An architect shall not engage in conduct involving fraud or wanton disregard of the rights of others.

(Source: Amended at 33 Ill. Reg. 11477, effective July 22, 2009)

Section 1460.10 Application for a Roofing License

Applications for a roofing license under the Illinois Roofing Industry Licensing Act (the Act) [225 ILCS 335] shall be submitted to the Department of Professional Regulation (the Department) on forms provided by the Department, along with the following documentation:

If you are a contractor who will be doing only residential roofing, mark on the application that you want a limited roofing license and submit the following:

Proof of liability insurance acceptable to the Department as specified in Section 1460.20 of this Part. Proof shall be a Certificate of Insurance;

Either:

• Proof that the applicant has obtained workers’ compensation insurance or that the applicant is an approved self-insurer of workers’ compensation. Proof shall be either the Certificate of Insurance from the insurance provider or the Certificate of Approval as a Self-Insurer issued by the Illinois Industrial Commission; or
• Certifying statement that the applicant has no employees. If an applicant is a sole proprietorship or partnership and the applicant has no employees, the applicant shall not be required to provide proof of workers’ compensation insurance or Illinois Unemployment Insurance.

Proof that the applicant has obtained, or has applied for, an Illinois Unemployment Insurance employer identification number, unless certifying that the applicant has no employees, in accordance with subsection (a)(2). Proof shall be either a copy of the quarterly report (Form U-C 1 or U-C 3) issued to the applicant by the Department of Employment Security or a certified copy of the completed application submitted to the Department of Employment Security for the issuance of an employer identification number;

Proof of a bond in the amount of $10,000 pursuant to Section 1460.30 of this Part;

Designation of a qualifying party; and

The required fee is set forth in Section 1460.80.

If you are a contractor who will be doing residential, commercial, and industrial roofing, mark on the application that you want an unlimited roofing license and submit the following:

Proof of liability insurance acceptable to the Department as specified in Section 1460.20. Proof shall be a Certificate of Insurance;

Either:

• Proof that the applicant has obtained workers’ compensation insurance or that the applicant is an approved self-insurer of workers’ compensation. Proof shall be either the Certificate of Insurance from the insurance provider or the Certificate of Approval as a Self-Insurer issued by the Illinois Industrial Commission; or
• Certifying statement that the applicant has no employees. If an applicant is a sole proprietorship or partnership and the applicant has no employees, the applicant shall not be required to provide proof of workers’ compensation insurance or Illinois Unemployment Insurance;

Proof that the applicant has obtained, or has applied for, an Illinois Unemployment Insurance employer identification number, unless certifying that applicant has no employees, in accordance with subsection (a)(2). Proof shall be either a copy of the quarterly report (Form U-C 1 or U-C 3) issued to the applicant by the Department of Employment Security or a certified copy of the completed application submitted to the Department of Employment Security for the issuance of an employer identification number;

Proof of a bond in the amount of $25,000 pursuant to Section 1460.30;

Designation of a qualifying party; and

The required fee is set forth in Section 1460.80.

Any applicant for a limited or unlimited roofing license that is a partnership, corporation, business trust, or other legal entity shall provide the following information with the application:

For Corporations:

• The name of the corporation and its business address, and the names of all members of the board of directors and officers;
• A copy of the Articles of Incorporation bearing the seal of the office, in the jurisdiction in which the corporation is organized, whose duty it is to register corporations under the laws of that jurisdiction. If it is a foreign corporation, a copy of the certificate of authority to transact business in this state issued by the Secretary of State is also required; and
• A copy of the authority to transact business under the Assumed Business Name Act issued by the Secretary of State for any assumed names of the corporation, if applicable.

For Partnerships:

• A copy of the signed and dated partnership agreement, the name of the partnership and its business address, and the names of all general partners; and
• A letter or certificate from the county clerk where an assumed name has been filed, if applicable.

For Limited Liability Companies or Limited Liability Partnerships:

• The name of the limited liability company or partnership, the business address, and the members/partners of the company/ partnership; and
• A copy of the authority to transact business under the Assumed Business Name Act issued by the Secretary of State for any assumed names of the limited liability company or partnership, if applicable.

For Sole Proprietorships with an Assumed Name:

• A letter or certificate from the county clerk where an assumed name has been filed.

No roofing license will be issued to any applicant without a designated qualifying party who has passed the examination set forth in Section 1460.12.

A holder of a limited license who wants an unlimited license shall be required to submit an application for an unlimited license in accordance with subsection (a)(2).

(Source: Amended at 27 Ill. Reg. 14347, effective August 25, 2003)

Section 1249.330 Professional Standards

a) “Dishonorable, unethical, or unprofessional conduct”, as used in Section 25-10(a)(9) of the Act, is defined as follows:

1. In determining what constitutes dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud or harm the public, the Division shall consider whether the questioned activities:

• Violate ethical standards of the profession, including the standards set by Section 10-23 of the Act and Section 1249.330;
• Caused actual harm to any consumer or member of the public; or
• Are reasonably likely to cause harm to any consumer or member of the public in the future.

2. Dishonorable, unethical or unprofessional conduct includes, but is not limited to:

• Disclosing financial or other confidential information regarding the deceased or the person providing for the burial;
• Discrimination based on race, color, sex, sexual orientation, age, religion, national origin or other characteristics protected by applicable laws. A religious cemetery may restrict its services to those of the same religious faith;
• Intentionally or recklessly not providing adequate protection in upholding the sanctity of handling and disposition of human remains;
• Intentionally or recklessly misrepresenting any laws concerning burial or funeral regulations; and
• Defrauding or deceiving the consumer by misrepresenting goods or services sold.

b) “Professional incompetence,” as used in Section 25-10(a)(5) of the Act, is defined as follows:

1. In determining what constitutes professional incompetence, the Division shall consider whether the questioned activities:

• Violate standards of the profession or rules, regulations, or laws governing the cemetery or profession;
• Caused actual harm to any consumer or member of the public; or
• Are reasonably likely to cause harm to any consumer or member of the public in the future.

2. Professional incompetence includes, but is not limited to:

• Negligent failure to keep accurate and complete records, including failure to include all prices of goods/services in the contract or failure to give a receipt for full or partial payment;
• Negligently misrepresenting rules, regulations, or laws governing the cemetery or profession; or
• Negligently misrepresenting goods or services sold.