TITLE 92: TRANSPORTATION
CHAPTER II: SECRETARY OF STATE
PART 1001 PROCEDURES AND STANDARDS
SECTION 1001.442 BAIID PROVIDERS QUALIFICATION PROCEDURES AND RESPONSIBILITIES; CERTIFICATION OF BREATH ALCOHOL IGNITION INTERLOCK DEVICES; INSPECTIONS; BAIID INSTALLER'S RESPONSIBILITIES; DISQUALIFICATION OF A BAIID PROVIDER


 

Section 1001.442  BAIID Providers Qualification Procedures and Responsibilities; Certification of Breath Alcohol Ignition Interlock Devices; Inspections; BAIID Installer's Responsibilities; Disqualification of a BAIID Provider

 

a)         Qualification Required to Provide BAIID Services.  No person or entity may provide BAIID services pursuant to this Subpart D unless qualified as a BAIID provider by the Secretary.  All qualified BAIID providers must apply for requalification on an annual, calendar year basis, with applications for requalification due in the Secretary's office no later than December 1 of each year.

 

b)         Who May Provide BAIID Services.  BAIID providers may be a manufacturer of BAIIDs, an authorized representative of a manufacturer of BAIIDs, an installer of BAIIDs or other business entity.  Without regard to the specific business operations of the BAIID provider, all certified BAIID providers under this Section shall be responsible for insuring that all of the duties and responsibilities of a BAIID provider are carried out in accordance with this Subpart D, including, but not limited to, providing, distributing, installing and servicing approved BAIIDs.  BAIID providers may provide these services through their own resources, through a subsidiary, or through contractual relationships with third parties.

 

c)         Information Required in Application for Qualification.  Persons or entities desiring to be qualified as BAIID providers may submit an application for qualification at any time.  An application for qualification or requalification as a BAIID provider shall include all of the following information:

 

1)         The name, business address and telephone number of the applicant. If the applicant is a business entity other than a corporation, the application must include the names and addresses of the owners of the entity.  If the applicant is a corporation, the application must include the names and addresses of any person or entity owning 10% or more of the outstanding shares of the corporation;

 

2)         The names, business addresses and telephone numbers, and titles of any officers, managers or supervisors of the applicant who will be involved in the provision of BAIID services;

 

3)         A description of each BAIID  the applicant proposes to install, including the name and address of the manufacturer and the model of the unit.  Unless the BAIID has been certified by the Secretary pursuant to this Section, the application must include the information necessary to obtain certification of the BAIID pursuant to this Section;

 

4)         If the applicant is not a BAIID manufacturer, the application must include proof of the applicant’s right to distribute and install the particular types of BAIIDs the applicant is proposing to utilize.  Such proof may include a letter (composed on letterhead stationary), or a copy of a purchase, lease, rental or distribution agreement with the manufacturer;

 

5)         A detailed description of the applicant's plan for distribution, installation and service of BAIIDs in Illinois, including the names and addresses of all installers the applicant intends to use.  This plan must demonstrate the applicant's ability to distribute and install BAIIDs and submit reports to the Secretary within the time frames established by this Subpart D;

 

6)         Proof  the applicant possesses the minimum liability insurance coverage required by this Section, and a statement agreeing to the indemnification and hold harmless provisions of this Section;

 

7)         In the event an original or amended application to be qualified or requalified as a BAIID provider is denied, the Secretary shall limit additional applications from that applicant to one every 12 months;

 

8)         In deciding whether to grant or deny an application to be a BAIID provider, the Secretary may take into consideration the applicant's past performance in manufacturing, distributing, installing or servicing BAIIDs if the applicant has previously engaged in this type of business;

 

9)         A BAIID provider who has been qualified pursuant to this Section may at any time submit an amended application seeking certification to distribute and install a type of BAIID in addition to or other than the types previously certified for that BAIID provider;

 

10)         The Secretary shall notify the applicant in writing of his decision regarding the application for qualification or requalification as a BAIID provider.

 

d)         Services that Must be Provided.  After qualification or requalification by the Secretary, BAIID providers shall provide the following services and meet the following requirements:

 

1)         The BAIID provider shall submit proof of liability insurance with its application to the Secretary.  General commercial liability and/or product liability insurance, which shall include coverage for installation services, shall be maintained with minimum liability limits of $1 million per occurrence and $3 million aggregate total.  If the BAIID provider is not both the manufacturer and installer of the device, proof of liability insurance must be provided showing coverage of both the manufacturer and the installers.  If proof of separate policies for the manufacturer and installers is provided, each policy must have minimum liability limits of $1 million per occurrence and $3 million aggregate total.  Other commercially acceptable insurance arrangements, in the same minimum amounts, may be accepted at the discretion of the Secretary;

 

2)         As a condition of being certified as a BAIID provider, the BAIID provider shall agree to indemnify and hold the State of Illinois and the Secretary, their officers, agents and employees, harmless from and against any and all liabilities, demands, claims, suits, losses, damages, causes of action, fines or judgments, including costs, attorneys' and witnesses' fees, and expenses incident thereto, relating to bodily injuries to persons (including death) and for loss of, damage to, or destruction of real and/or tangible personal property (including property of the State) resulting from the negligence or misconduct of the BAIID provider, its employees, agents, or contractors in the manufacture, installation, service, repair, use or removal of a BAIID or performance of any other duties required by this Section;

 

3)         All installations of BAIIDs shall be done in a workmanlike manner and shall be in accordance with the standards set forth in this Section and with the requirements of the manufacturer.  All BAIIDs installed shall be in working order and shall perform in accordance with the standards set forth in this Section.  All BAIIDs must be installed and all reports to the Secretary must be made within the time frames established by this Subpart D;

 

4)         The BAIID provider shall only install models of BAIIDs that the provider has been authorized to install pursuant to this Section and the BAIIDs shall only be installed at installation sites reported to the Secretary pursuant to this Section;

 

5)         Any BAIID provider that sells, rents, and/or leases ignition interlock devices in Illinois pursuant to this Subpart D shall report to the Secretary within 7 days all such sales, rentals, and/or leases listing the name of the individual, his or her driver's license number, the installer, the installer's location, the make and serial number of the device, the make and model of the vehicle it is installed in, and VIN number of the vehicle;

 

6)         The BAIID provider shall provide a toll free customer service/ question/complaint hotline that is answered, at a minimum, during normal business hours, Monday through Friday;

 

7)         The BAIID provider shall provide a course of training and written instructions for the BAIID permittee or MDDP offender on operation, maintenance, and safeguards against improper operations, and instruct the BAIID permittee or MDDP offender to maintain a journal of events surrounding failed readings or problems with the device. The BAIID provider will warn the BAIID permittee or MDDP offender that a violation of the BAIID or MDDP program or a finding of guilt for any of the offenses listed in Section 6-206.1(c-1) or Section 6-206.2 of the IVC will result in an extension of the summary suspension or a re-suspension for 3 months or immediate cancellation of the MDDP.  Copies of all materials used in this course of training shall be provided to the Secretary;

 

8)         The BAIID provider shall provide service for malfunctioning or defective BAIIDs within a maximum of 48 hours after notification of a request for service.  This support shall be in effect during the period the device is required to be installed in a motor vehicle;

 

9)         The BAIID provider shall provide, at the request of the Secretary, expert or other required testimony in any civil or criminal proceedings or administrative hearings as to issues involving BAIIDs, including the method of manufacture of the device and how the device functions; 

 

10)         If a BAIID provider requires a security deposit by a BAIID permittee or MDDP offender and the amount of the deposit required is more than an amount equal to one month's rental or lease fee, the security deposit must be deposited in an escrow account established at a bank, savings bank or savings and loan association located within the State of Illinois.  The BAIID provider will provide the Secretary with a certified statement of the escrow account upon his request;

 

11)         BAIID providers must submit monitor reports or reports of any other service to the Secretary whenever a BAIID is brought in for monitoring or whenever a BAIID is brought in pursuant to a service or notification report.  Except as provided in subsection (d)(12), the reports must be submitted to the Secretary no later than 7 days from the date the BAIID is brought in or an appropriate portion of the BAIID is sent to the BAIID provider.  All BAIIDs shall be recalibrated whenever they are brought in for any type of service or monitoring using a wet bath simulator or other approved equivalent procedure; i.e., dry gas standard.  The Secretary reserves the discretion to require a physical inspection, to be conducted by the BAIID provider or the BAIID Division, if monitor reports reflect repeated violations, or a reading or readings indicate tampering or circumvention of the device;

 

12)         The BAIID provider shall report to the Secretary within two business days the discovery of any evidence of tampering with or attempts to circumvent a BAIID.  The BAIID provider shall preserve any available physical evidence of tampering circumvention and shall make that evidence available to the Secretary;

 

13)         BAIID providers shall provide to the Secretary, upon request, additional reports, to include but not be limited to, records of installation, reinstallations, deinstallations, calibrations, maintenance checks and usage records on devices placed in service in the State;

 

14)         The BAIID provider shall provide service to all BAIID permittees or MDDP offenders who request services from the BAIID provider and who have met the requirements of this Subpart D, including the payment of fees due to the provider, unless the fees are otherwise waived by rule or statute; 

 

15)         The BAIID provider must immediately notify the Secretary in writing if it or its manufacturer or installer becomes unable to produce, supply, service, repair, maintain, or monitor BAIIDs in a manner that enables it to service BAIID permittees and MDDP offenders as required and within the deadlines specified in this Subpart D;

 

16)         The BAIID provider shall provide the Secretary a list of all locations in Illinois where the device may be purchased, rented, leased, installed, removed, serviced, repaired, calibrated, accuracy checked, inspected and monitored.  The BAIID provider shall notify the Secretary within 48 hours of any new installation locations or any installation locations that are closed;

 

17)       The BAIID provider shall install, monitor and deinstall authorized BAIIDs without fee to any MDDP offender found to be indigent by the court of venue who requests services from the BAIID provider and who presents written documentation of indigency from the court in a form prescribed by the Secretary;

 

18)       The Secretary may designate the form, format and method of delivery (e.g., facsimile, electronic transfer, etc.), for any reports, information, or data required to be filed with the Secretary pursuant to this Subpart D, including, but not limited to, installation verification forms, monitoring report forms, noncompliance report forms, notices of calibration, verification, tampering or circumvention, removal or deinstallation report forms, and information necessary to implement and monitor the indigent surcharge payments to the Indigent BAIID Fund and payment provisions from the Indigent BAIID Fund set forth in Section 6-206.1 of the IVC and Section 1001.444; 

 

19)         The Secretary shall review and approve leases or rental agreements the BAIID provider intends to utilize between the BAIID provider and the BAIID permittee or MDDP offender.  The BAIID provider shall submit to the Secretary a copy of the schedule of all fees that will be charged to BAIID permittees or MDDP offenders, and shall submit an amended schedule of fees whenever there is a change to the BAIID provider's fees;

 

20)         The BAIID providers shall agree to take assignments to unserved areas of Illinois pursuant to this Section, as those areas are defined in subsection (i)(2);

 

21)         The Secretary shall have the right to conduct independent inspections of BAIID providers, manufacturers and installers, including inspection of any devices present at the time of the inspection, to determine if they are in compliance with the requirements of this Subpart D.  The Secretary shall notify in writing and require the BAIID provider to correct any noncompliance revealed during any inspections.  Within 30 days after receiving a notice of noncompliance, the BAIID provider shall notify the Secretary in writing of any corrective action taken;

 

22)         Upon the request of the Secretary, the BAIID provider shall, at no cost to the State of Illinois, provide the Secretary with not more than two BAIIDs for each model that is certified under this Section.  These models will be used for demonstration and training purposes.

 

e)         Criteria for Certification of Interlock Devices.  Only BAIIDs that have been certified for use in Illinois pursuant to this Section may be installed in the vehicles of BAIID permittees and MDDP offenders by BAIID providers.  Certification of a BAIID may be granted by the Secretary based on the following criteria:

 

1)         Certification of a device may be granted by the Secretary, based on a review and evaluation of test results from any nationally recognized and certified laboratory test facility that is accredited by one of the following:  International Standards Organization (ISO-25), National Voluntary Lab Accreditation Program − National Institutes of Standards & Technology (NVLAP), or Clinical Laboratory Improvement Amendments – U.S. Department of Health and Human Services (CLIA).  The evaluation and test results must affirm the device's ability to meet the Model Safety and Utility Specifications for Breath Alcohol Ignition Interlock Devices (BAIIDs) promulgated by the National Highway Traffic Safety Administration (NHTSA), U.S. Department of Transportation, 400 S. 7th St. SW, Washington, D.C. 20590, (202)366-5593, 57 Fed. Reg. 1172, April 7, 1992 (no subsequent dates or editions), except for:

 

A)        1.4.S, Power, if the device is not designed to be operated from the battery;

 

B)        1.5.2.S, Extreme Operating Range, if the device is not designed to be operated below -20° C and above +70° C;

 

C)        2.3.S, Warm Up, if the device is not designed to be operated below -20° C;

 

D)        2.5.S, Temperature Package, if the device is not designed to be operated below -20° C and above +70° C;

 

2)         The BAIID provider must certify that the BAIID:

 

A)        Does not impede the safe operation of a vehicle;

 

B)        Minimizes opportunities to bypass the device;

 

C)        Performs accurately and reliably under normal conditions;

 

D)        Prevents a BAIID permittee or MDDP offender from starting a vehicle when the BAIID permittee or MDDP offender has a prohibited BrAC; i.e., P≥ 0.025;

 

E)        Satisfies the requirements for certification set forth in this Section;

 

F)         Takes clear and accurate photographs of the individual utilizing the device.  Vendors shall make accessible to the Secretary examples of such photos at the time of certification.  If, in the opinion of the Secretary, the photographs are not clear and accurate, the Secretary has the right to withhold certification;

 

3)         No device shall be certified if it demonstrates an accuracy rate ≥ 0.01 in unstressed conditions or ≥  0.02 in stressed conditions.  The terms "stressed" and "unstressed" shall be defined according to the NHTSA standards referred to in subsection (e)(1);

 

4)         Any device to be certified shall be designed and constructed with an alcohol setpoint of 0.025;

 

5)         Any device to be certified shall require the operator of the vehicle to submit to a running retest at a random time within 5 to 15 minutes after starting the vehicle.  Running retests shall continue at a rate of two per hour in random intervals not to exceed 45 minutes after the first running retest;

 

6)         Any device to be certified shall be designed and constructed to immediately begin blowing the horn if:

 

A)        The running retest is not performed;

 

B)        The BrAC readings of the running retest is 0.05 or more; or

 

C)        Tampering or circumvention attempts are detected;

 

7)         The BAIID shall be required to have permanent lockout 5 days after it gives service or inspection notification to the BAIID permittee or MDDP offender if it is not serviced or calibrated within that five day period.

 

A)        The BAIID shall give service or inspection notification to the BAIID permittee or MDDP offender upon the occurrence of any of the following events:

 

i)          Every instance in which the device registers 3 BrAC readings of .05 or more within a 30 minute period;

 

ii)         Any attempted tampering or circumvention;

 

iii)        The time for the BAIID permittee or MDDP offender to take the vehicle for the initial monitor report;

 

iv)        Every 60 days after the initial monitor report;

 

v)         For MDDP offenders, 5 violations within the 60 days monitoring period;

 

B)        In addition, the BAIID shall record and communicate to the BAIID permittee or MDDP offender and to the Secretary's office via monitor reports all of the preceding events and all starts of the vehicle, both successful and unsuccessful;

 

8)         The device shall be required to have 24 hour lockout anytime the BAIID permittee or MDDP offender registers 3 BrAC readings of 0.05 or more within a 30 minute period;

 

9)         Certification of a device may be withdrawn by the Secretary, based on a field testing protocol developed by the Secretary to determine the device's ability to operate in a consistently reliable manner and based upon review of field performance results; a review of BAIID usage by BAIID permittees and MDDP offenders; and BAIID monitor reports;

 

10)         Upon the request of the Secretary, the BAIID provider shall, at no cost to the State of Illinois, install not more than three of each model of BAIID for which certification is sought in the vehicles provided by the Secretary for field testing.  The Secretary may independently evaluate each device to ensure compliance with the requirements in this Section.  The evaluation criteria include, but are not limited to, repeated testing of alcohol-laden samples, filtered samples, circumvention attempts and tampering;

 

11)         Upon the request of the Secretary, for each model of BAIID certified under this Section, the BAIID provider shall provide a total of at least 10 hours of training to the Secretary's employees at no cost to the State of Illinois.  This training shall be held at the times and locations within the State designated by the Secretary.  The training shall be designed to familiarize the Secretary's employees with the installation, operation, service, repair and removal of the BAIIDs and with the training and instructions that the BAIID provider will give to BAIID permittees and MDDP offenders.  The BAIID provider shall also provide the Secretary, upon request, the following materials:

 

A)        A detailed description of the device, including complete instructions for installation, operation, service, repair and removal of the BAIID;

 

B)        Complete technical specifications describing the BAIID's accuracy, reliability, security, data collection and recording, tamper and circumvention detection, and environmental features;

 

12)        Any device that is not certified shall be re-tested at the request of the BAIID provider but not more often than once in a calendar year;

 

13)        The Secretary shall not accept for certification any BAIID that uses Taguchi cell technology to determine BrAC;

 

14)       BAIIDs must use, as their anti-circumvention method, one of the following technologies: either a positive>negative>positive air pressure test requirement, or a mid-test hum tone requirement.  BAIID providers may submit for approval to the Secretary new anti-circumvention technologies.  Upon approval by the Secretary, pursuant to the procedures in this subsection (e), these technologies shall be included with the previously mentioned anti-circumvention technologies as acceptable for use by BAIID providers.  No later than July 1, 2013, in addition to these anti-circumvention methods, all BAIIDS installed shall include a camera that captures a clear and accurate image of the individual blowing into the BAIID, including a sufficiently wide angle that it will be possible to determine whether a circumvention device has been inserted into the mouthpiece of the BAIID.  The captured images shall be stored by the vendor and made accessible to the Secretary, at the Secretary's request, either by electronic access to the vendor's system or electronic mail.

 

f)         BAIID Installers

 

1)         All installations of BAIIDs must be performed by installers identified to the Secretary as employees of or contractors of a qualified BAIID provider.  The provider must inform the Secretary whether installation is being done by its own employees, contractors, or both.  All installations shall be performed in a workmanlike manner.  BAIID providers shall be responsible for their installer's compliance with this Subpart D.  A BAIID provider may be disqualified by the Secretary for the noncompliance of its installer with the requirements of this Subpart D;

 

2)         All BAIID installers shall have all tools, test equipment and manuals needed to install devices and screen motor vehicles for acceptable mechanical and electrical condition prior to installation;

 

3)         The installer shall provide adequate security measures to prevent access to the device (tamper seals or installation instructions);

 

4)         The installer shall appropriately install devices on motor vehicles taking into account each motor vehicle's mechanical and electrical condition, following accepted trade standards and the device manufacturer's instructions.  All connections shall be soldered and covered with tamper seals.  It is the BAIID permittee's or MDDP offender's responsibility to repair the vehicle if any prior condition exists that would prevent the proper functioning of the device.  The installer shall inform the BAIID permittee or MDDP offender that a problem exists, but shall not be responsible for repairing the vehicle;

 

5)         The installer shall not install devices in a manner that could adversely affect the performance of the device or impede the safe operation of the motor vehicle;

 

6)         The installer shall verify that a device is functioning properly after it has been installed in the motor vehicle;

 

7)         The installer shall restore a motor vehicle to its original condition when a device is removed.  All severed wires must be permanently reconnected and insulated with heat shrink tubing or equivalent;

 

8)         Where the installer is also providing monitoring and other services for the BAIID after installation, the installer shall perform all of the duties that are associated with service after the installation and that are required by this Section of a BAIID provider.  These duties shall include, but are not limited to, completing all monitoring reports and/or mailing in the appropriate part of the device to the BAIID provider, making notification of any evidence of tampering or circumvention, and recalibrating BAIIDs whenever they are brought in for service or monitoring.

 

g)         Disqualification of BAIID Providers.  The Secretary shall disqualify a BAIID provider from providing BAIID services in Illinois, upon written notification and a 30 day opportunity to come into compliance, in any of the following cases:

 

1)         Failure to submit monitor reports in a timely manner as provided in subsections (d)(11) and (d)(12).  If the Secretary finds, through investigation, that the BAIID permittee or MDDP offender did take the vehicle with the installed device to the BAIID provider, or sent the appropriate portion of the device to the BAIID provider for a monitor report in a timely manner, a warning notification shall be sent to the BAIID provider indicating that a third such occurrence within a 12 month period will result in disqualification;

 

2)         Failure to maintain liability insurance as required;

 

3)         Failure to install certified devices within the time requirements of this Subpart D;

 

4)         Failure to comply with all of the duties and obligations contained in this Subpart D;

 

5)         Failure to provide BAIID permittees or MDDP offenders with correct information regarding the requirements of this Subpart D;

 

6)         Failure to submit a required surcharge to the Secretary for deposit in the Indigent BAIID Fund as required in Section 6-206.1 of the IVC and Section 1001.444.  If the amount in dispute is not resolved within the above 30 day period, the BAIID provider shall be disqualified unless the BAIID provider submits, within the 30 day period, a written request to review the amount in dispute to the BAIID Division.  The dispute will then be resolved according to the terms of the contract entered into between the BAIID provider and the Secretary.

 

h)         Notification of Decertification/Disqualification.  Upon decertification of a BAIID or the disqualification of or the cessation of the operation of a BAIID provider, the Secretary shall notify in writing all affected BAIID permittees or MDDP offenders of the decertification of the BAIID or the disqualification of or the cessation of the operation of a BAIID provider.

 

i)          Designation of Installation Sites

 

1)         Each BAIID provider shall be responsible for establishing installation sites within the State to service BAIID permittees and MDDP offenders;

 

2)         The Secretary shall monitor the location of installation sites throughout Illinois.  If the Secretary determines that any place in Illinois is not within 75 miles of an installation site, the Secretary shall randomly select one of the certified BAIID providers and require that BAIID provider to establish an installation site in the unserved area.  If a second or subsequent area of Illinois is determined not to be within 75 miles of an installation site, the Secretary shall randomly select a BAIID provider other than the one selected previously and require that BAIID provider to establish an installation site in the unserved area.  As a condition of being qualified by the Secretary, BAIID providers must agree to take assignments to unserved areas pursuant to this subsection (i)(2).

 

(Source:  Amended at 37 Ill. Reg. 5844, effective April 19, 2013)