TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.10 DEFINITIONS
Section 176.10 Definitions
For purposes of this Section, all
words and terms shall have the same meanings as set forth in 5 ILCS 312/1-104:
"Act"
means The Illinois Notary Public Act. [5 ILCS 312]
"ARDC"
means the Illinois Attorney Registration and Discipline Commission.
"Biometric
data" or "biometric identifier" means a retina or iris scan,
fingerprint, voiceprint, or scan of hand or face geometry. Biometric
identifiers do not include writing samples, written signatures, photographs,
human biological samples used for valid scientific testing or screening,
demographic data, tattoo descriptions, or physical descriptions such as height,
weight, hair color, or eye color. Biometric identifiers do not include donated
organs, tissues, or parts as defined in the Illinois Anatomical Gift Act or
blood or serum stored on behalf of recipients or potential recipients of living
or cadaveric transplants and obtained or stored by a federally designated organ
procurement agency. Biometric identifiers do not include biological materials
regulated under the Genetic Information Privacy Act. Biometric identifiers do
not include information captured from a patient in a health care setting or
information collected, used, or stored for health care treatment, payment or
operations under the federal Health Insurance Portability and Accountability
Act of 1996. Biometric identifiers do not include an X-ray, roentgen process,
computed tomography, MRI, PET scan, mammography, or other image or film of the
human anatomy used to diagnose, prognose, or treat an illness or other medical
condition or to further validate scientific testing or screening. [740 ILCS
14/10]
"Biometric information" means any
information, regardless of how it is captured, converted, stored, or shared,
based on an individual's biometric identifier used to identify an individual.
Biometric information does not include information derived from items or
procedures excluded under the definition of biometric identifiers. [740
ILCS 14/10]
"Notary public" or "notary" means
an individual commissioned to perform notarial acts. [5 ILCS 312/1-104]
"Personal
information" or "personally identifiable information" means
either of the following:
An
individual's first name or first initial and last name in combination with any
one or more of the following data elements, when either the name or the data
elements are not encrypted or redacted or are encrypted or redacted but the
keys to unencrypt or unredact or otherwise read the name or data elements have
been acquired without authorization through the breach of security:
Social Security number;
Driver's license number or State identification card number;
Account
number or credit or debit card number, or an account number or credit card
number in combination with any required security code, access code, or password
that would permit access to an individual's financial account;
Medical information;
Health
insurance information;
Unique
biometric data means data generated from measurements or technical analysis of
human body characteristics used by the owner or licensee to authenticate an
individual, such as a fingerprint, retina or iris image, or other unique
physical representation or digital representation of biometric data. [815
ILCS 530/5]
User name
or email address means information provided in combination with a password or
security question and answer that would permit access to an online account when
either the user name or email address or password or security question and
answer are not encrypted or redacted or are encrypted or redacted but the keys
to unencrypt or unredact or otherwise read the data elements have been obtained
through the breach of security.
"Personal
information" does not include publicly available information that is
lawfully made available to the general public from federal, State, or local
government records. [815 ILCS 530/5]
"Physical
location" means real property, non-movable structure, brick and mortar
building affixed to a permanent location.
"Secretary"
– means the Illinois Secretary of State.
"X.509"
means the standard format of a public key certificate derived from the
International Telecommunication Union, "Series X: Data Networks, Open
System Communications and Security Directory" (https://www.itu.int/rec/T-REC-X.509-201910-I)
(2019) (no later editions or amendments included).
(Source:
Amended at 49 Ill. Reg. 584, effective January 1, 2025)
 | TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.11 RECORD CONTENTS, REQUEST PROCEDURES, AND FEES
Section 176.11 Record
Contents, Request Procedures, and Fees
a) The Secretary maintains Illinois Notary Public appointment
records in its computer database. The computer records contain the notary's
name, address, city, state, zip code, county, commission number, and the date
the commission took effect.
b) All requests for this information shall be in writing, signed before
a notary by the person requesting the information. The request shall include
the person's address, the purpose of the request, the specific information
requested, the name and address of any organization represented by the
requestor, and the position of the requestor in the organization. Approved
requests shall be formalized in a written agreement.
c) All requests shall be accompanied by the appropriate fee and
sent to the following address: Office of the Secretary of State, Index
Department, 111 E. Monroe Street, Springfield, Illinois 62756.
d) A list of all current notaries or all notaries in a particular
county will be furnished for a fee of $3,600. Weekly update lists will be
furnished for $1,000 per year paid in advance. The fee for a list of notaries
commissioned during a specific calendar year is $900 and the fee for a list of
notaries commissioned during a specific month of a specific year is $75.
e) State, federal, and local law enforcement agencies will
receive information at no charge if the information is needed for an official
investigation. All other governmental agencies, including county clerks, will
receive a list of all current notaries for a fee of $500 if requested for
governmental purposes; weekly updates will be furnished for $1,000 per year
paid in advance. A list of all notaries in one particular county will be
furnished for a fee of $200 and weekly updates will be furnished for $500 per
year paid in advance.
f) The fees shall be paid by cashier's check, money order,
certified check, or a check drawn on the account of the business or government
agency making the request. Once the information is made available to the requestor,
then no refunds will be made.
g) Record layouts and field definitions will be supplied by the
Secretary with the information.
(Source: Amended at 45 Ill. Reg. 6274, effective April 28, 2021)
SUBPART B: APPOINTMENTS
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.100 APPOINTMENT AND REAPPOINTMENT OF NOTARIES PUBLIC
Section 176.100 Appointment and Reappointment of
Notaries Public
a) Every
applicant for an initial appointment or reappointment as a notary public must
present satisfactory evidence of the applicant’s identity as set forth in the
Act at 5 ILCS 312/2-102.
b) Before
issuance of an appointment as a notary public or electronic notary public, the
applicant for appointment must:
1) execute
the oath of office as set forth at 5 ILCS 312/2-104;
2) submit
a bond as set forth at 5 ILCS 312/2-105; and
3) complete
all application requirements found at 5 ILCS 312/2-102(a) and, if applying for
an electronic notary public commission, at 5 ILCS 312/2-102(c).
c) Upon
a determination that an applicant meets all requirements of the Act and this
Part, the Secretary of State will appoint or reappoint the applicant to the
office of notary public or electronic notary public, as applicable, and issue a
notary public or electronic notary public commission certificate.
d) Reappointment
1) A
current notary public may apply for reappointment 60 days before the expiration
of an existing commission. The date of the new commission will be the date
immediately after the expiration date of the current commission.
2) To
avoid any gaps between notary public or electronic notary public commissions,
applications for a notary public should be filed at least 30 days before the
expiration of the commission under which the notary public is acting.
e) Any
applicant can request the cancellation of an appointment and the cancellation
will become effective upon receipt by the Secretary of State of the notice requesting
cancellation of the appointment.
(Source: Added
at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.110 TERM OF COMMISSION
Section 176.110 Term of Commission
The term of a notary public or electronic notary public
commission begins on the date that the notary is commissioned by the Secretary
of State and not the date the bond was obtained. The electronic notary public commission,
if any, will have the same term of commission as the traditional notary public commission.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.120 REQUIREMENTS TO QUALIFY AS A RESIDENT OF THE STATE OF ILLINOIS
Section 176.120 Requirements to Qualify as a Resident of
the State of Illinois
An applicant must be a resident of the State of Illinois
pursuant to 5 ILCS 312/2-101 before applying for a notary public or electronic
notary public commission, unless applying for a nonresident application or
appointment pursuant to 5 ILCS 312/2-101 and Section 176.130. A notary public or
electronic notary public must maintain residency in the State of Illinois
during the term of the appointment and must immediately resign the notary
public or electronic notary public commission if the notary public’s residency
in Illinois ends.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.130 NONRESIDENT APPLICATION FOR APPOINTMENT
Section 176.130 Nonresident
Application for Appointment
The form in Illustration A must be used by an applicant for
notary public who resides in a state bordering Illinois whose place of work
or business is within a county in Illinois, but only if the laws of the
applicant's state of residence authorize residents of Illinois to be
appointed and commissioned as notaries public in that state. [5 ILCS
312/2-101(a)]
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
SUBPART C: COURSE OF STUDY AND EXAMINATION
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.200 DEFINITIONS
Section 176.200 Definitions
Unless otherwise noted, the following definitions apply to
this Subpart only:
"Applicant" means a
person or entity applying for certification as a notary public course of study
provider and examination provider.
"Certification" means a
document issued by the Department that authorizes the entity named in the
document to offer a live classroom or webcast course of study and examination
required by 5 ILCS 312/2-101.5.
"Consumer information"
means the name, address, date of birth, email address and payment information,
including credit card and bank account numbers or electronic payment data of
students who are enrolled in or have completed a notary public course of study
and examination.
"Department" means the Index
Department of the Office of the Secretary of State.
"Instructor" means the
person charged with providing instruction to notary applicants.
"Live certified proctors"
means a person or persons who monitor students in real time in a live classroom
setting.
"Multimedia" means a
method or methods of technology meant to convey information including, but not
limited to animation, graphics, and video displays.
"Provider" means an
entity or person certified by the Secretary of State to provide a notary public
course of study and examination required by 5 ILCS 312/2-101.5.
"Shareware" means
copyrighted software for which the copyright owner sets certain conditions for
the software's distribution and use, including requiring payment to the
copyright owner after a person who has secured a copy of the software decides
to use the software.
"Webcast" means either a
live synchronous online or interactive asynchronous course of study and
examination as required by 5 ILCS 312/2-101.5.
"Web video conference proctor"
means a person or persons who monitor students in real time during a video
conference and/or examination.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.205 COURSE OF STUDY AND EXAMINATION
Section 176.205 Course of Study and Examination
a) Beginning
January 1, 2024, applicants seeking a commission as either a notary public or
an electronic notary public must first successfully complete a course of study
and acquire a passing score on the examination, as required by 5 ILCS
312/2-101.5. The applicant will have two years from the date of the examination
to apply for a notary public or electronic notary public commission. Once the
course of study and examination have been successfully completed and the
commission has been issued, the certificate or other proof of successful completion
of the course of study and examination will remain valid for the duration of
the notary's four-year commission.
b) The
Secretary of State may authorize the provision of a course of study for the
mandatory training of notaries public and electronic notaries public by
qualified third parties subject to this Subpart.
c) To be
accepted by the Secretary, the course of study must be taught by a provider or
instructor certified by the Secretary.
d) The
course of study and examination must consist of the instruction and questions
identified in Section 176.225.
e) In
accordance with Section 2-101.5(c) of the Act, licensed attorneys in good
standing with the ARDC, current Illinois court or federal court judges, or
applicants that are employed by a licensed attorney in good standing with the
ARDC or an Illinois or federal court who are renewing their Notary Public
commission are not required to complete a course of study or pass an
examination, if the applicant submits a signed statement using a form
designated by the Secretary of State indicating the applicant is a licensed
attorney in good standing with the ARDC, current Illinois court or federal
judge, or employed by a licensed attorney in good standing with the ARDC or an
Illinois or federal court and that applicant has read and understood the
version of the Act in effect at the time of application.
(Source: Amended at 49 Ill. Reg. 584,
effective January 1, 2025)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.210 COURSE OF STUDY AND EXAMINATION - PROVIDER CERTIFICATION REQUIRED
Section 176.210 Course of Study and Examination − Provider
Certification Required
a) No
person, firm, association, partnership, or corporation may operate as a
provider or engage in the business of providing a notary public course of study
and examination unless the provider holds a certification issued by the
Secretary.
b) No
provider may remain in operation if its certification to operate as a provider
is suspended, revoked, canceled, or not renewed.
c) The
Secretary must provide contact information of each provider on its official
website. (https://www.ilsos.gov/departments/index/notary/home.html)
d) Every
officer, owner, director, partner, and manager for a provider is subject to the
requirements of this Subpart C.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.215 APPLICANTS AND PROVIDERS REQUIREMENTS FOR NOTARY PUBLIC COURSE OF STUDY AND EXAMINATION
Section 176.215 Applicants’ and
Providers’ Requirements for Notary Public Course of Study and Examination
a) The
Secretary will deny, suspend, or revoke a provider certification when:
1) The
Secretary determines that the applicant/provider is not of good moral
character. In determining good moral character, the Department is not limited
to but may consider the following:
A) Whether
the applicant/provider has been convicted of a
felony or a misdemeanor. The Department will consider:
i) The
relationship of any crime of which the applicant/provider has been convicted to
the ability to operate a notary public course of study and examination;
ii) The
length of time that has elapsed since the applicant’s/provider's last criminal
conviction;
iii) Whether
the applicant/provider successfully completed any sentence imposed with the
convictions;
iv) Whether
the applicant/provider has multiple convictions for felony or misdemeanor
offenses.
B) Whether
the applicant/provider has been indicted, formally charged, or otherwise
charged with a felony or a misdemeanor. In this case, the certification will be
temporarily either denied or revoked.
i) If
the applicant/provider whose certification has been denied or revoked under
this Part is adjudicated "guilty" by the court, the denial or
revocation previously entered on the person's record in accordance with this
Section will stand. This action does not preclude further suspension or
revocation of the certification under another Section of this Subpart or the Act.
ii) If
the applicant/provider whose certification has been denied or revoked under
this Part is adjudicated "not guilty" by the court, the denial or
cancellation previously entered on the person's record in accordance with this
Section will be rescinded. This action does not preclude further suspension or
revocation of the certification under another Section of this Subpart C or the
Act.
iii) If
the applicant/provider whose certification has been denied or revoked under
this Part is granted a disposition of "court supervision" by the
court, the denial or revocation previously entered on the person's record in
accordance with this Section will be rescinded. This action does not preclude
further suspension or revocation of the certification under another Section of
this Subpart C or the Act.
2) Any
owner or employee of the provider who, while interacting with students:
A) Engaged
in an activity that puts the student in danger; or
B) Engaged
in reckless behavior; or
C) Failed
to maintain a professional relationship with students at all times.
3) The
applicant/provider fails to file and maintain with the Department a continuous
surety bond in the principal sum of $50,000, underwritten by a company
authorized to do business in the State of Illinois, for the protection of the
contractual rights of students. However, the aggregate liability of the surety
for all breaches of the condition of the bond in no event will exceed the
principal sum of $50,000. The surety on any bond may cancel the bond upon
giving 30 days’ notice in writing to the Secretary of State and will be
relieved of liability for any breach of any conditions of the bond that occurs
after the effective date of cancellation. All bonds filed under this provision
must be in substantially the same form as Illustration B.
4) The
Secretary is not satisfied that the applicant/provider has established adequate
procedures for verifying the identity of the student taking the course and
ensuring that the student completes the course in its entirety;
5) The
applicant fails to submit a copy of its course content, conforming with this
Section, to the Department for review and approval, including the questions and
answers on the quizzes and final examination;
6) The
provider fails to immediately report to the Department any unauthorized access
to consumer information, including computer breaches, or fails to comply with
the Illinois Personal Information Protection Act [815 ILCS 530];
7) The
applicant/provider is an Illinois corporation that is not in good standing with
the Illinois Secretary of State, Department of Business Services;
8) The
applicant/provider is a foreign corporation that is not authorized to transact
business in Illinois, as evidenced by the submission of an Application for
Authority to Transact Business in Illinois and acceptance of that application
by the Illinois Secretary of State, Department of Business Services;
9) The
applicant/provider is a foreign limited liability company that is not authorized
to transact business in Illinois, as evidenced by the submission of an
Application for Admission to Transact Business and acceptance of that
application by the Illinois Secretary of State, Department of Business
Services;
10) The
owner or any employee of the applicant/provider is a current salaried or
contractual employee of the Secretary of State;
11) An
applicant/provider, owner, or manager engages in fraudulent activity;
12) An
applicant, owner, or employee has been found to have engaged in fraudulent
activity within the 5 years before applying for certification;
13) An
applicant/provider or owner owes outstanding fees to the Secretary of State in
either a personal, official, or professional capacity;
14) An
applicant/provider sells or discloses any consumer information or fails to post
a statement indicating consumer information will not be sold or disclosed on
its website, except as authorized by Section 176.240(e);
15) An
applicant/provider requests the Social Security number of students, except as
authorized by Section 176.240(e);
16) The
provider fails to provide a toll-free customer service hotline that is
answered, at a minimum, between the hours of 9:00 am and 5:00 pm Central Time,
Monday through Friday;
17) The
applicant/provider fails to supply the Department with a detailed description
of each position involved in every facet of the notary public course of study
and examination, with contact information for each employee. If the course is
taught in person, the provider must report any staffing changes to the
Department within 5 business days after the change. If the course is taught
online, the provider must report any change in the person responsible for
creating and managing the online course to the Department within 5 business
days;
18) The
provider uses voice recognition as a method of verification, unless the
provider furnishes a toll-free number for providing the required voice
exemplars.
b) The
Secretary of State may deny, suspend or revoke a certification:
1) For
any violation of the Act;
2) For
any violation of this Part;
3) If
the provider's certification to provide any type of notary public course of
study and examination has been denied, suspended, or revoked by any other state
or jurisdiction;
4) For
misrepresentation of a notary public's duties and authority under Illinois law;
5) For
deviation from the lesson plan for an approved course of instruction;
6) For
making representations that the Secretary of State endorses, recommends, or
mandates the use of any of the vendor's products, goods, or services;
7) For
conviction of any entity, person, or principal closely associated with any
provider for any felony or misdemeanor involving fraudulent activity;
8) For
engaging in any fraudulent activity or deceptive business practices; or
9) For
failure to timely respond to the Secretary of State's request for communication
or otherwise cooperate with an investigation.
c) Only
one provider certification will be issued to any one individual, group,
association, partnership, or corporation, and the Department will deny an
application for certification as a course provider if any of the applicants are
unqualified, are already certified, or have applied as another provider.
d) Course
providers must comply with the following requirements:
1) If
the course provider seeks certification for an in-person course of study at the
course provider's physical location, the location of the course provider's
premises and facilities must be adequate, safe, and sanitary and shall comply
with all relevant statutory provisions, rules, regulations and local ordinances
concerning fire, health, safety, and sanitation.
2) The
equipment, supplies, and instructional materials of the course provider must be
satisfactory and adequate in type, quality, and amount, and shall be suitable
for use in administering the course of instruction. They must also comply with
all relevant statutory provisions and local ordinances concerning fire, health,
safety, and sanitation.
e) Before
being certified, each applicant must provide the Department with all necessary
information to allow the Department to participate in a complete course,
without fee to the Department, so that the Department may determine if the
course complies with this Part. If the proposed course content meets the
requirements of this Subpart, it will be approved by the Department.
f) The
requirements of subsection (d) are not intended to limit the ways course
providers may offer courses of study or the locations at which course providers
may offer courses of study. Live webinars with real-time instruction and
courses provided at an employer or business location with an in-person
instructor may also be considered for certification by the Secretary of State.
g) When
determining whether to approve a submitted course of study, the Department will
consider and review the following:
1) The
course lesson plan and syllabus or storyboard.
2) A
detailed description of how the final examination will be administered. The
entity administering the final exam may use either a paper test or an online
format. The entity must notify the Department which format they will be
using. A notary public course of education provider must offer multiple
curriculum tests so that there is not one uniform test in circulation.
3) The
process for grading students.
4) How the
course educates students regarding the notary public or electronic notary
public commission application process, forms, and procedures.
5) A
list of course instructors, if applicable.
6) A
description of the interaction capabilities between the instructor and the
students in an electronic environment or another means of ensuring that
students actively participate, if the course of study and examination are to be
conducted electronically.
7) Actual
time spent by students and instructors online and in class.
8) A
video, CD, or DVD of the course, or a copy of or access to any text-based
course, or in the case of an interactive asynchronous online course of study
and examination, a uniform resource locator (URL) and login credentials to
access the course.
h) Upon
receipt of a properly executed application for certification, the Department will
investigate the qualifications of the applicant to determine whether the application
should be granted or denied.
i) Certifications
may only be issued by the Department.
j) Providers
must follow the course content submitted to and approved by the Department at
the time of application for certification.
k) If a
provider wishes to substantially change the course content, a copy of the
proposed revisions must be sent to the Department for approval. The provider
shall also provide the Department with all necessary information to allow the
Department to participate in a complete course, as revised, without fee to the
Department. After review, the Department will send a letter to the provider
either approving or rejecting the proposed changes.
l) An
entity whose certification has been denied, suspended, or revoked under this
Subpart may request an administrative hearing under Subpart K.
m) A
certificate issued to a course of study and examination provider will be valid
for one year. The course provider must submit the course of study to the
Department for approval annually. Department approval of the course of study will
extend from January 1 through December 31. A course provider desiring to be
approved must submit an application for course approval or renewal on or before
October 1 of each year. The application shall be accompanied by the following
information:
1) All
information required as part of an application for initial certification as set
forth in Sections 176.205, 176.210, 176.215, 176.235, 176.240, and 176.255; and
2) Any
supplemental information necessary to bring information on the course provider
up to date.
n) A
provider may elect not to provide training that includes electronic
notarization only if the application of the provider clearly and conspicuously
states that the course submitted for approval will not include training with
response to electronic notarizations and the provider includes a statement on
its website that its training will not include electronic notarizations and
will not suffice for an electronic notary public commission application.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.220 NOTARY PUBLIC COURSE OF STUDY AND EXAMINATION - PROVIDER NAMES
Section 176.220 Notary Public Course of Study and
Examination − Provider Names
a) No
provider may adopt, use or conduct any business under a name that is not
distinguishable upon the records of the Department from a name used by another provider,
as distinguishable is defined in 14 Ill. Adm. Code 150.440.
b) No
provider may incorporate under its own or another name unless the name of the
proposed corporation is submitted by the Department of Business Services of the
Office of the Secretary of State for a final determination of the availability
of the name, along with the fee required by Section 15.10 of the Business
Corporation Act of 1983 [805 ILCS 5/15.10].
c) No
provider’s name may contain, separate and apart from any other word or abbreviation
in the name, the word "corporation", "company", "incorporated",
or "limited", or an abbreviation of one of these words, unless so
licensed by the Secretary of State.
d) No
provider may operate under an assumed name unless the provider complies with
all provisions of the Assumed Business Name Act [805 ILCS 405].
e) No
provider may change its name unless 30 days’ prior written notice is given to
the Department stating the change of name. Upon receipt of a notice of name
change, the Department will, without an application fee, require the provider
to complete an amended application for certification in the form and manner
prescribed for original applicants.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.225 NOTARY PUBLIC COURSE OF STUDY AND EXAMINATION - REQUIRED INSTRUCTION AND CONTENT
Section 176.225 Notary Public Course of Study and
Examination − Required Instruction and Content
a) Providers
must provide 3 hours of notary public instruction in accordance with the course
content requirements set forth in subsection (e) in addition to the following
requirements:
1) A
minimum of 180 minutes of instruction as defined in subsection (b);
2) The
course must allow a maximum of 30 days for a student to complete the course;
3) The
material presented in the course must be edited for grammar, punctuation, and
spelling and be of such quality that it does not detract from its subject
matter;
4) Advertisement
of goods and services or any material not related to the topic being presented
must not appear during instructional time; and
5) An
online course must be designed and well-suited for students with minimal
keyboard or computer skills.
b) To
demonstrate that the course contains a minimum of 180 minutes of instruction,
the following calculation shall be used:
1) For
written material that is read by the student, count the total number of words
in the written section of the course. Divide the word count by 180, the
average number of words that a typical student reads per minute. The result
equals the time associated with the material for the written sections;
2) For
multimedia presentations, including simulators, videos, and animation, calculate
the total amount of time it takes for all multimedia presentations to play. The
length must not exceed 120 minutes;
3) Assign
one minute for each chart or graph; and
4) The
total minutes of instruction in the written material, the multimedia presentations,
and the charts and graphs altogether must equal or exceed 180 minutes for the
course to meet the minimum content time required.
c) Instead
of the calculation method in subsection (b), a provider may submit an alternate
methodology or otherwise demonstrate that the course contains a minimum of 180
minutes of instruction.
d) Materials.
All material appearing on the screen to be read by the student must also be
spoken aloud to the student unless this function is manually disabled by the
student.
e) Substance
required. The educational objectives of a notary public course of study must
include, but not be limited to:
1) Promoting
respect for and encouraging the observance of the duties and requirements of a
notary public under the Act;
2) Identifying
potential damages and economic losses that could result from notarial
misconduct;
3) Motivating
continuing development of notarial competencies through education, including,
but not limited to adherence to the Act; and
4) Providing
knowledge of the Act, this Part, and other laws related to or affecting
notarial work.
f) Providers
must monitor the Illinois General Assembly and update their course content to
include any new amendments to the Act. This update must be submitted to the Department
for review and approval within 60 days after the effective date of the law
change.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.230 NOTARY PUBLIC COURSE OF STUDY AND EXAMINATION - STUDENT CONTRACTS
Section 176.230 Notary Public Course of Study and
Examination − Student Contracts
a) Before
instruction begins and any fees are collected, each student shall be informed
of the amount of all fees or charges relative to the notary public course of
study, including but not limited to enrollment, tuition, equipment, textbooks,
and instruction manuals. The provider shall not require mandatory purchase of
the provider’s proprietary software or shareware unless this fee was expressly
included in the disclosure of fees made before the student's enrollment in the
course.
b) If a
provider requires the installation of a free or trial version of its
proprietary software, it must be bundled with an uninstallation shortcut that
will completely remove that software and any associated registry entries.
c) All
contracts or agreements between any provider and any individual or group for
the sale, purchase, barter, or exchange of any notary public course of study
instruction, must contain the following:
1) A
statement that the agreement constitutes the entire contract between the
provider and the student and that no verbal assurances or promises not
contained in this agreement will bind the provider or the student.
2) A
statement indicating that all disputes under this Section must be directed to
the Secretary of State.
d) The
term "no refund" and a no-refund policy concerning student payments
are not permitted in any notary public course of study contract. A provider
may use the phrase: "The provider will not refund any fees if the provider
is capable and willing to perform its part of the contract."
e) If a
provider fails to comply with the provisions of a contract or agreement between
the provider and any of its students, the provider must refund all monies paid
by the students as the consideration for performance of the contract or
agreement by the provider unless the student has violated the provisions of the
contract or agreement.
f) Any
provider that subcontracts any portion of the course of study or examination
must notify the Index Department before entering into the subcontracting
relationship.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.235 COURSE PROVIDER VERIFICATION OF STUDENT IDENTITY AND COURSE COMPLETION
Section 176.235 Course Provider Verification of Student
Identity and Course Completion
a) Before
being certified, providers must submit procedures to the Secretary of State for
verifying the identity of the student taking the course, which may include, but
are not limited to, the following:
1) If
the course is to be taken in person, an examination of a government-issued
photo identification card, including an Illinois driver’s license or Illinois
Identification Card;
2) If
the course is to be taken online:
A) Web
video recording accompanied by an examination of the student’s
government-issued photo identification card;
B) Dynamic
knowledge-based authentication;
C) Web
video proctoring with screen monitoring by live certified proctors; or
D) Any
method, or combination of methods, of identity verification submitted by a
provider and approved by the Department that reasonably establishes the
identity of the student and the student's presence during the online course.
b) If
the method of verification is challenge questions, the student must be asked a
minimum of two questions per hour, during each hour of the course, at random
intervals. The answer to the verification challenge question must be
verifiable by the course provider or a third party. Students shall have only
60 seconds to respond. Students who fail to respond to the question or who
fail to respond within the specified time period must be returned to the place
in the course where the student last successfully passed a verification. A
student who, for a second time, fails to respond to a challenge question or who
fails to respond within the specified time period will be considered to have
failed the course. If a student answers a question incorrectly, another
challenge question must be asked. If the student correctly answers the
challenge question, the student may proceed with the course. If the student
incorrectly answers a third challenge question, the student is considered to
have failed a course.
c) Providers
must incorporate a course content validation process that verifies student
participation, comprehension of course material, and course completion,
including the following:
1) Built-in
timers to ensure that 180 minutes of instruction have been viewed and completed
by the student. Timers must prevent the student from scrolling, skipping, or
advancing through the course without reading the material and must not allow
the student to take section quizzes or the final examination without viewing or
reading the course content. If a student attempts to take a quiz or the final
examination without having spent the minimum time required for a single section
or the course, the student must be returned to the place in the course where
the student last spent the minimum time required.
2) At
least one course validation question must be asked following each multimedia
clip that exceeds 60 seconds.
3) Students
must complete a final examination at the end of the course, which shall consist
of 50 questions from a test bank of a minimum of 100 questions. Questions may
be multiple-choice, true/false, or a combination of both, but in no event may
more than one-half of the questions be true/false. Questions must be randomized
and of such difficulty that the answers may not be easily determined without
having participated in the entire course.
4) A
student must score at least 85% on the final examination. If a student scores
less than 85%, the student must be re-tested using different questions from the
test bank. The student is not required to repeat the course but shall be
allowed to review the course before retaking the examination. The examination
may be retaken at any time by agreement between the student and the course
provider. If the student fails the comprehensive final examination 3 times,
the student has failed the course.
5) A
student who fails the examination may choose to take a different course before
retaking the examination.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.240 NOTARY PUBLIC COURSE OF STUDY - PROVIDER WEBSITE AND SECURITY REQUIREMENTS
Section 176.240 Notary Public Course of Study − Provider
Website and Security Requirements
a) Each provider’s website
must display the following information on its homepage:
1) the
provider’s Secretary of State certification number; and
2) a statement
that complaints regarding the provider may be directed to the Secretary of
State’s Index Department. Contact information for the Index Department must be
included with the statement.
b) A
provider offering an online course must offer the course from a single domain.
The course may accept students that are redirected to the online course domain,
as long as the provider’s certification number appears on the source that
redirects the students to the online course domain. The student must be redirected
to a webpage that clearly identifies the certified provider offering the course
before the student begins the registration process, supplies any information,
or pays for the course.
c) A
provider offering an online course may choose an existing webinar system or
create its own webinar system.
d) Providers
are prohibited from selling or disclosing any consumer information provided by
the student unless the provider is disclosing the consumer information with a
third party solely for the purpose of providing dynamic knowledge-based
identity verification. The provider's contract with the student must clearly
state whether the provider is disclosing consumer information for the purpose
of providing dynamic knowledge-based identity verification. A statement concerning
the prohibition on the sale or disclosure of student consumer information must
be posted on the provider’s website in a conspicuous location.
e) Providers
are prohibited from requesting the Social Security numbers of students, except
for a request from a third-party process or service used by a provider to
verify the identity of students taking a provider's course, in which case the
third-party process or service must not share the Social Security number data
with the provider.
f) Providers
must take all necessary measures to prevent unauthorized access to consumer
information, either in printed or electronic form. Upon discovery of a breach
or unauthorized access, the provider must immediately report any unauthorized
access to the Department.
g) Provider
servers must be located in a secure location, with access restricted to only
those employees or persons who have a business need to access the server.
h) Providers
may use a third-party payment processing merchant for processing payments only
if the provider’s contract clearly indicates to the student, before payment is
made, the name of the third-party payment processing merchant to be used and
the fee, if any, charged by the payment processor.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.245 ENFORCEMENT
Section 176.245 Enforcement
a) Duty
to Respond to the Secretary of State’s Written Request. Any person or entity
providing courses of study or examinations must respond in writing within 10
business days of receiving a written request from the Secretary of State for
any information relating to a complaint about a course of study or examination.
b) Inspections.
Approved providers must permit the Secretary of State or the Secretary’s
designee, at the Secretary’s sole option, to attend any approved course of
instruction, whether in person or online, without prior notice at no charge to
observe, monitor, audit, and investigate.
c) Complaints.
Any person may file a complaint against any provider with the Secretary of
State alleging a violation of the Act or this Part. The person must submit a
written and dated complaint to:
Secretary of State Index
Department
111 E. Monroe Street
Springfield, IL 62756
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.250 HEARINGS
Section 176.250 Hearings
a) Before
denying the certification of an applicant or existing provider, the Department
will send written notice to the provider. If a formal hearing is requested in
writing under 92 Ill. Adm. Code 1001.Subpart A, the denial shall stand pending
the outcome of the hearing. The denial of a certification will contain the
specific reasons why the certification has been denied. The notice of denial
contains information about the availability and timeline of an appeal and where
rules governing the appeal can be found.
b) Before
suspending or revoking a provider’s certification, the Secretary of State
Department of Administrative Hearings will conduct a hearing using 92 Ill. Adm.
Code 1001.Subpart A, in which the Department will present competent evidence to
establish violations of any regulations or laws governing providers and seek
the appropriate sanctions under Subpart K. Sanctions for violations of the Act
or this Part may include, but are not limited to, denial, suspension, or
revocation.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.255 DENIAL, SUSPENSION, AND REVOCATION OF A NOTARY PUBLIC COURSE OF STUDY AND EXAMINATION PROVIDER CERTIFICATION
Section 176.255 Denial, Suspension, and Revocation of a
Notary Public Course of Study and Examination Provider Certification
The Department may revoke the certification of a course of
study when the Department finds that a course of study or a course provider has
failed to comply with the Act or this Part. An affected course provider may
appeal the Department’s decision to revoke the certification of the provider’s
course of study through an administrative hearing with the Secretary of State
Department of Administrative Hearings under Subpart K.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
SUBPART D: NOTARY PUBLIC APPLICATION REQUIREMENTS
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.300 APPLICATION FOR NOTARY PUBLIC AND ELECTRONIC NOTARY PUBLIC COMMISSIONS
Section 176.300 Application for Notary Public and
Electronic Notary Public Commissions
a) Applications
for a traditional notary public commission. All individuals applying for a
traditional notary public commission shall use the application prescribed by
the Secretary of State and shall include, at a minimum, the information
required by 5 ILCS 312/2-102.
b) Remote
notarization. Any notary appointed under subsection (a) shall have the
authority to conduct remote notarizations. [5 ILCS 312/2-102(b)]
c) Application
for electronic notary public commission. An application for an electronic
notary public commission must be filed with the Secretary of State as required
by this Subpart D [5 ILCS 312/2-102(c)]. In addition, an applicant for an electronic
notary public commission must provide the following:
1) The
notary public commission number assigned to the person by the Secretary of
State, unless the applicant is applying for the notary public commission and
electronic notary public commission at the same time under 5 ILCS 312/2-101(c);
2) The
names of all electronic notarization system providers that the applicant
intends to use to perform electronic notarial acts;
3) A
copy of the electronic signature of the person that is:
A) an
exact representation of the handwritten signature of the person already on file
or currently being filed with the Secretary of State; and
B) in a
format that identifies the electronic notarization system provider that
prepared the electronic signature and can be read without additional software
and be compared for authentication purposes to the person's handwritten
signature on file or being filed with the Secretary;
4) A
statement certifying that the applicant:
A) Will
comply with the standards set forth by Section 176.835 relating to identity
proofing and credential analysis;
B) Will
use a third-party provider who has been certified to act as an electronic
notarization system provider in the State of Illinois by the Secretary; and
C) Will,
upon request by the Secretary, promptly provide any necessary instructions or
techniques supplied by a provider that will allow the electronic notary public's
digital certificate and electronic seal to be read and authenticated.
5) A
disclosure of all disciplinary actions, convictions, or administrative actions
taken against the applicant;
6) One
of the forms listed below:
A) A
certificate or other proof of successful completion of the course of study required
under 5 ILCS 312/2-101.5(a), which indicates successful completion of the
course within the two years preceding the submission of the application for an
electronic notary public commission; or
B) A
signed statement in a format designated by the Secretary of State that the
applicant:
i) is a
licensed attorney in good standing with the ARDC or a current Illinois court or
federal court judge or is employed by a licensed attorney in good standing with
the ARDC or an Illinois or federal court; and
ii) has
read and understood the version of the Act that is in effect at the time of
application pursuant to 5 ILCS 312/2-101.5(c).
7) A
statement certifying that the person will comply with the applicable provisions
of the Act, including Article VI-A.
d) A
person may not perform an electronic notarial act, unless:
1) The
Secretary has approved the applicant's application for an electronic notary
public commission; and
2) The
Secretary has approved the registration of the proposed electronic notarization
system provider.
e) Incomplete
applications. If an application for appointment as a notary public or
electronic notary public is incomplete, the Secretary of State will retain the
application for at least one year from the date of receipt of the application.
If the applicant does not complete the application within one year from the
date of receipt of the application, the Secretary of State may deny the
application and mail a notice of denial to the applicant.
f) Assignment
of Commission Number.
1) The
Secretary of State will assign a unique commission number to each original
commission certificate. The commission number, which will be used to identify
the notary public whose name appears on the commission certificate, must remain
assigned to the notary public throughout the period of the appointment and must
be included on each duplicate or amended commission certificate issued to the
notary public by the Secretary of State.
2) If a
notary public applies for a subsequent period of appointment, a new number must
be assigned.
3) A
notary public that is also commissioned as an electronic notary public will
have the same commission number for both commissions.
g) After
an application for an electronic notary public commission has been approved,
the electronic notary public will be required to notify the Office of the
Secretary of State, on a form designated by the Secretary, if the electronic
notary public elects to add any other electronic notary system provider.
(Source: Amended at 49 Ill. Reg. 584,
effective January 1, 2025)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.310 APPROVAL OF APPLICATION, AUTHORITY OF SECRETARY OF STATE TO DENY COMMISSION, AND EFFECTIVE DATE OF COMMISSION
Section 176.310 Approval of Application, Authority of
Secretary of State to Deny Commission, and Effective Date of Commission
a) If an
applicant who is applying for an electronic notary public commission satisfies
all of the requirements for such a commission pursuant to this Part and 5 ILCS
312/2-102, the Secretary of State will:
1) Approve
the application for a commission as an electronic notary;
2) Update
the processing system maintained by the Office of the Secretary of State to
indicate the commission of the person as an electronic notary; and
3) Notify
the applicant of the approved application and commission as an electronic
notary.
b) If a
person who is applying for an electronic notary public commission
does not meet all of the requirements for application set forth in this Part
and 5 ILCS 312/2-101, the Secretary of State will not commission the person as
an electronic notary public. If the Secretary of State denies a commission as an
electronic notary under this subsection, the Secretary of State will notify the
person of that refusal.
c) The
commission of a person as an electronic notary public becomes effective at the
time the processing system maintained by the Secretary of State has been
updated pursuant to subsection (a)(2) to indicate such a commission.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.320 APPOINTMENT FEE
Section 176.320 Appointment Fee
a) No
commission will be issued until the fee required by 5 ILCS 312/2-103 has been
paid in full.
b) Authority
of the Secretary of State to deny or revoke commission if payment is dishonored
or stopped. If any method of payment submitted by an applicant to the
Secretary of State pursuant to 5 ILCS 312/2-103 is returned to the Secretary of
State or otherwise dishonored upon presentation of payment because the applicant
has insufficient money or credit, or because the person stopped payment on the
method of payment, the Secretary of State may immediately and without a hearing
deny to commission the applicant as a notary public or electronic notary public
or immediately revoke the applicant’s commission if the commission has already
been granted. An applicant whose commission is denied or revoked under this
subsection (b) must resubmit an application for commission as a notary public
or electronic notary public. A notary public or electronic notary public whose
commission is revoked under this subsection (b) must reapply for a commission.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.330 OATH
Section 176.330 Oath
a) Notaries
public and electronic notaries public must file an oath of office with the
Secretary of State, affirming the notary’s or electronic notary's intent to
follow the laws and constitutions of the United States of America and the State
of Illinois.
b) The
legal name on the applicant’s oath of office must exactly match the applicant’s
driver’s license or state identification card and the name on the notary public
application. Unless proven otherwise, the name shall consist of the
applicant’s first personal name (first name), additional name or names, if
applicable, and surname (family or last name).
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.340 BOND
Section 176.340 Bond
a) Applicants
for a notary public commission or electronic notary public commission must indicate
at the time of application whether the applicant will perform only traditional
in-person notarizations or remote notarizations.
b) An
applicant for a notary public commission or electronic notary public commission
must purchase a bond in the following amounts:
1) Applicants
seeking to perform only traditional, in-person notarizations − $5,000;
2) Applicants
seeking to perform traditional, in-person notarizations and remote or
electronic notarizations − $25,000 in addition to the bond required by subsection
(b)(1) for traditional notaries, or a combined bond of $30,000, pursuant to 5
ILCS 312/2-105(b).
c) A
copy of the original bond must be filed with the Illinois Secretary of State
Index Department.
d) The
bond shall contain, on its face, the oath of office for the notary public or
electronic notary public as specified in 5 ILCS 312/2-104. The applicant must
endorse the oath on the face of the bond, immediately below the oath, by
signing the applicant’s name under which the person has applied to be
commissioned as a notary public or electronic notary public and exactly as it
appears on the notary application form or electronic notary application form
filed with the Secretary of State’s Office.
e) In
making a claim against a combined bond, as described in subsection (b)(2), a
claimant will only be entitled to either a maximum of $5,000 of the bond if the
notarization at question was a traditional, in-person, physical notarization or
a maximum of $25,000 if the notarization was electronic or remote. In no event
may a single claim be eligible for payment of the entirety of the $30,000 bond.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.350 REAPPOINTMENT
Section 176.350 Reappointment
a) A
current notary public and a current electronic notary public may apply for
reappointment 60 days before an existing commission expires. The date of the
new commission will be the date immediately after the expiration date of the
current commission.
b) To
prevent a gap between commissions, a notary public and electronic notary public
should apply for reappointment at least 30 days before the commission under
which the notary public is currently acting expires.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
SUBPART E: NOTARY PUBLIC REMITTANCE AGENT
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.400 DEFINITIONS
Section 176.400 Definitions
For purposes of this Subpart, the following definitions
apply:
"Applicant" means a person
requesting that a remittance agent license be issued in the applicant’s name or
the name of a business entity the applicant controls.
"Department" means the
Secretary of State Department of Index.
"Financially sound"
means solvent and able to pay expenses and debts as due, as evidenced by the
surety bond obtained pursuant to Section 176.410(c).
"Fraudulent activity"
means any action calculated to deceive, whether it be a single act or
combination of circumstances, whether the suppression of the truth or the
suggestion of what is false, whether it be by direct falsehood or by innuendo,
by speech or by silence, as the action or inaction applies to the remittance
agent’s obligations found in 5 ILCS 312/2-107.
"Good business integrity"
means soundness or good moral principles and character in business dealings as
evidenced by the surety bond or bonds obtained under Section 176.410(c).
"Immediate family" means
spouse, offspring, sibling, or parent.
"Licensee" means a
licensed remittance agent.
"Remittance Agent" means
any person who self-represents to the public as being engaged in or who engages
in accepting notary public or electronic notary public applications and fees for
submission to the Secretary of State, whether the person renders any other
service in connection with the making of any such remittance or is engaged in
any other endeavor. The term "remittance agent" also includes any
person who self-represents to the public as being engaged in or who engages in
accepting money for consulting or advising the public on matters concerning
applications for Illinois notarial commissions. The term "remittance
agent" does not include any licensed attorney providing advice to clients
or the general public.
"Revocation" means the
termination by formal action of a person’s license to operate as a remittance
agent.
"Secretary" means the
Illinois Secretary of State.
"Suspension" means the
temporary withdrawal by formal action of the Secretary of a person’s license to
operate as a remittance agent for a period of time determined by the
Secretary.
"Transaction" means an
application for a notary public or electronic notary public commission and fees
for remittance to the Department.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.410 APPLICATION FOR REMITTANCE AGENTS LICENSE AND RENEWAL
Section 176.410 Application for Remittance Agent’s
License and Renewal
a) If a
person wishes to become a remittance agent, an application and bond as
described in subsection (c) must be filed with the Office of the Secretary of
State in accordance with subsection (e).
b) The
application, which must be notarized, shall contain the following information:
1) The
previous year’s license number if the person is currently licensed as a
remittance agent;
2) The
name of the business;
3) The
location of the business. A licensee shall not do business at a location not identified
in the license and must maintain a physical location in Illinois or name an
agent for service of process with a physical location in Illinois;
4) The
applicant’s home address, home telephone number, business telephone number,
email address, and website, if any;
5) The
applicant’s business, occupation, or profession;
6) The
total amount of cash, checks, electronic payments, or money orders received by
and made payable to the remittance agent for remittance to the State in the
highest 15-day period in the preceding year if the person is currently
licensed;
7) Whether
the applicant, a member of the applicant’s immediate family, or any employee of
the applicant is an employee of the Secretary of State; and
8) Whether
the applicant has ever been involved in civil or criminal litigation including
bankruptcy proceedings, and if so, the type of litigation, the date and suit or
charge, the court in which the matter was heard, the style or caption of the
case, the disposition of the matter, and if the judgment has been satisfied.
c) A
surety bond shall be posted for each location where the applicant intends to do
business as a remittance agent. Each bond must be for $5,000 or the amount of
cash, checks, electronic payments or money orders received by and made payable
to the remittance agent for remittance to the Department during the highest
15-day period in the year preceding the year for which the license is applied,
whichever is greater. The bond must be issued by a bonding or insurance
company authorized to do business in Illinois. The Department will use a list
issued by the Department of Insurance to determine if the bonding or insurance
company is authorized to issue the bond.
d) A
remittance agent wishing to renew the agent’s license must submit the material
required by this Section to the Department between September 1 and December 31
of the year before the new license will become effective.
e) All
remittance agent license applications and corresponding materials must be
submitted to:
Office of the
Secretary of State
Index Department
111 E. Monroe
Street
Springfield, IL 62756
f) The
Department will make available the application form to any person who requests
one. Only the Department’s form will be accepted for a license to operate as a
remittance agent.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.420 DENIAL OF APPLICATION FOR REMITTANCE AGENTS LICENSE
Section 176.420 Denial of Application for Remittance
Agent’s License
a) Pursuant
to 5 ILCS 312/2-107, the Department will deny an application for a remittance
agent’s license unless the applicant complies with that Section. If a person’s
application is denied, the person will be sent the application submitted and a
notice of the denial by certified mail within 30 days after the date the
application was submitted. The notice will contain the reason for the denial
and inform the applicant of the opportunity to request an administrative
hearing to contest the denial under Subpart K.
b) Renewal
of a remittance agent’s license shall be denied if upon investigation it is
discovered that the remittance agent is not financially sound and of good
business integrity or is otherwise ineligible for a license as provided in 5
ILCS 312/2-107. The Index Department may audit the remittance agent at any
time during the term of the license. Any further investigation will be
conducted by the Secretary of State Department of Police.
c) The
Department will consider written complaints regarding remittance agents. Upon
receipt of a complaint, Secretary of State police must investigate the matter.
If, upon this investigation, it is discovered that a basis for denial exists under
any Section of the Act or this Part, the remittance agent’s current license
will be suspended or revoked as provided in Section 176.430.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.430 SUSPENSION AND REVOCATION OF REMITTANCE AGENTS LICENSE
Section 176.430 Suspension and Revocation of Remittance
Agent’s License
a) The
Department shall suspend a remittance agent’s license under the following
circumstances:
1) the
licensee fails to keep records detailing transactions with the Secretary of
State;
2) the
licensee fails to furnish information requested by the Department; or
3) it is
discovered that the licensee or a member of the person’s immediate family is an
employee of the Secretary of State.
b) The
suspension will remain in effect for 60 days, during which an audit shall be
conducted to determine compliance with the Act. If the remittance agent has
come into compliance, the suspension will be lifted. If the remittance agent
has not come into compliance during the 60-day suspension, the remittance
agent’s privileges will be revoked.
c) A
remittance agent’s license will be revoked under the following circumstances:
1) the
licensee attempts to do business or does business as a remittance agent while
privileges are suspended;
2) the
licensee fails to remit to the Department the fees provided by applicants as required
by 5 ILCS 312/2-107, or the check submitted is returned by the bank because of
insufficient funds, or the payment submitted electronically is dishonored for
any reason, and the licensee fails to submit the proper fees within 10 days
after a written request by the Department;
3) the
licensee engages in fraudulent activity or forgery while operating as a
remittance agent, as determined by the Department after the investigation;
4) the
Department determines that the licensee has been adjudicated by a court of law
or an administrative hearing officer as guilty of violating any provision of
the Act;
5) the
licensee has been suspended 2 or more times in one year; or
6) the
licensee has been convicted of any felony.
d) The
Department will consider written complaints in determining whether a remittance
agent’s license shall be suspended or revoked. Upon receipt of a complaint,
the Secretary of State Department of Police will investigate the matter to
determine if a basis exists under this Section for a suspension or revocation.
e) Revocation.
The remittance agent will be notified by certified mail that the license to
operate as a remittance agent is being revoked. The notice shall contain the
effective date of the revocation, the violation that is the cause of the
revocation, and how the applicant can contest the revocation. The remittance
agent will be given 10 business days from the date of the notice before the
revocation will become effective. A revocation shall be entered for no less
than a period of two years. After that date, the former licensee may reapply
for reinstatement. To be reinstated following a revocation, the licensee must
request an administrative hearing as provided in Subpart K. The remittance agent’s
license will not be restored until the Secretary is satisfied that the licensee
will comply with the provisions of the Act and is financially sound and of good
business integrity.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.440 PROCESSING TRANSACTIONS
Section 176.440 Processing Transactions
a) All
applications for notary public or electronic notary public commissions
submitted to the Department by persons acting as remittance agents must be
submitted electronically or by regular mail.
b) All
transactions must be submitted to the Department within 30 days after receipt
by the remittance agent as required by 5 ILCS 312/2-107(c). Transactions sent
by regular mail will be considered submitted to the Department on the date of
postmark. Depending on the severity of the violation, failure to comply with
this Section will be grounds for suspension or revocation.
c) No
remittance agent shall employ any individual, or any member of that
individual’s immediate family, who is employed by the Office of the Secretary
of State.
d) All
applications must include the remittance agent’s assigned number in the
designated position on the form.
e) The
fee submitted to the Department must be done so in a manner that associates the
payment with a specific application. Failure of the remittance agent to associate
the payment with the proper application will result in the rejection of the
transaction.
(Source: Added
at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.450 RECORDKEEPING REQUIREMENTS
Section 176.450 Recordkeeping Requirements
a) Each
person licensed as a remittance agent as defined in 5 ILCS 312/2-107 must
maintain for three years a record of each transaction.
b) The
records must be maintained in ledger form or be computerized. All records
should be available to employees from the Secretary of State or the officers
from the Secretary of State Department of Police within 60 minutes, Monday
through Friday during business hours, after a request. For purposes of this subsection
(b), Secretary of State Police will only make records requests between 11:00 am
and 4:00 pm Central Time. The records must contain the following information:
1) The
name and address of the remittance agent. If the remittance agent has more than
one licensed location, the records must reflect the location where the
transaction was received or processed or where the records are kept.
2) The
name and address of the applicant submitting the transaction. If a remittance
agent does not make the initial contact with the applicant but receives a
transaction from another remittance agent, the second remittance agent must
record the original applicant’s name and that of the initiating remittance
agent.
3) The
amount of fee received by the remittance agent for delivery to the Department
for each transaction. The funds must be identified as "cash", "check",
"electronic payment" or "money order" payable to the
Secretary of State, or "check", "electronic payment" or "money
order" payable to the remittance agent.
4) The
date the fee and transaction were received by the remittance agent.
5) The
date the fee and transaction were submitted to the Department and the method of
delivery.
6) If
the application was approved, the date that the remittance agent license was
approved by the Department.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.460 SEVERABILITY CLAUSE
Section 176.460 Severability Clause
If any clause or Section of this Part or the application of
any provision of this Part to any person or circumstance is rendered
unconstitutional, the remainder of this Part or its application to other
persons and circumstances shall not be affected. Each clause shall be
severable without rendering the rest of the Part invalid. Likewise, each
application of the Part shall be severable without rendering future
applications invalid.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
SUBPART F: DUTY, FEES, AUTHORITY
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.500 USE OF OFFICIAL SEAL AND ELECTRONIC SEAL
Section
176.500 Use of Official Seal and Electronic Seal
a) A
notary public must use the notary public’s official seal, affixed using a
rubber stamp, to perform a notarial act. An electronic notary public must use
the electronic notary public's electronic seal, affixed using a mechanical
stamp, to perform an electronic notarial act.
b) A
notary public must place a legible imprint of the notary public's official seal
on a notarial certificate for a tangible record at the time of the performance
of the notarial act.
c) An
electronic notary public must attach or logically associate the electronic
notary public's electronic seal with the electronic notarial certificate on an
electronic record.
d) A
notary public must not place an imprint of the notary public’s official seal,
and an electronic notary public must not attach or logically associate the
electronic notary public's electronic seal, over any signature in a record to
be notarized or over any writing in a notarial certificate.
e) When
a notarial certificate is on a separate piece of paper attached to the tangible
record to be notarized, or when there are attachments to the tangible record to
be notarized, a notary public may use one additional imprint of the notary
public’s official seal for identification of the tangible record and notarial
certificate attached to the tangible record, if the imprint does not make any
part of the record or attachment illegible. The additional seal must be
partially stamped together on the notarial certificate, and on the signature
page or attachment to the notarized record.
f) A
notary public may not use the notary public’s official seal, and an electronic
notary public may not use the electronic notary public's electronic seal, for
any purpose other than to perform a notarial act.
g) A
notary public may not permit any other person to use the notary public’s
official seal, and an electronic notary public may not permit any other person
to use the electronic notary public's electronic seal, for any purpose.
h) A
notary public may not use any other notary public’s official seal or any other
object in place of the notary public’s official seal to perform a notarial act.
i) An
electronic notary public may not use any other electronic notary public's electronic
seal or any other object in place of the electronic notary public's electronic
seal to perform a notarial act.
(Source: Added
at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.510 ACQUIRING THE OFFICIAL SEAL AND THE ELECTRONIC SEAL
Section 176.510 Acquiring the Official Seal and the
Electronic Seal
a) A
notary public may purchase an official seal, and an electronic notary public
may purchase an electronic seal, only after receiving a commission certificate
from the Department under Section 176.550(a), and providing a copy of the
commission certificate to the notary public's or electronic notary public's chosen
seal vendor.
b) The official
seal of a notary public, and the electronic seal of an electronic notary
public, is the exclusive property of the notary public or electronic notary
public and may not be surrendered to an employer upon termination of
employment, regardless of whether the employer paid for the official seal or
electronic seal, the bond, or the appointment fees.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.520 DESCRIPTION OF THE OFFICIAL SEAL AND ELECTRONIC SEAL
Section 176.520 Description of the Official Seal and
Electronic Seal
a) The
reasonably legible imprint of an official seal of a notary public must contain:
1) A serrated
or milled edge border in a rectangular form not more than one inch in height by
two and one-half inches in length surrounding the following information in descending
order:
A) The
words "Official Seal";
B) The
notary's official name, printed;
C) The
words "Notary Public, State of Illinois";
D) The
words "Commission No." immediately followed by the notary public's
commission number; and
E) The
words "My Commission Expires", immediately followed by the notary
public's commission expiration date, expressed in terms of the month, one- or two-digit
day, and complete year (e.g., January 1, 2024). [5 ILCS 312/3-101(a)]
2) The
imprint of an official seal of a notary public on a tangible record must be an
imprint capable of being photocopied or reproduced.
b) The electronic
seal of an electronic notary public on an electronic record must look
identical to a traditional notary public seal and be accompanied by the
electronic signature of the electronic notary public and language explicitly
stating that the electronic notarial act was performed using audio-video
communication, if applicable. [5 ILCS 312/3-101(b-5)].
c) A
notary may continue to use any seal in effect before July 1, 2023 through the
expiration of the notary's current commission.
d) If
the notary's official seal appears illegible on the document, a notary public
may reapply a second, or subsequent, official seal to the document.
Application of a second or subsequent seal must not make any other portion of
the document unreadable.
(Source: Added
at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.530 REPLACEMENT OF LOST, COMPROMISED, DESTROYED, OR STOLEN OFFICIAL SEAL OR ELECTRONIC SEAL
Section 176.530 Replacement of Lost, Compromised,
Destroyed, or Stolen Official Seal or Electronic Seal
a) When
a physical official seal is lost or stolen, the notary public must notify the
Department in writing the next business day after discovering the seal was lost
or stolen. When an electronic official seal is lost or stolen, the notary
public must notify the Department the next business day under 5 ILCS
312/3-101(d)(2).
b) A
replacement official seal or electronic seal must contain a distinct difference
from the original seal.
c) If
the lost or stolen official or electronic seal is found or recovered after a
replacement has been obtained, the original seal must be destroyed.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.540 NOTARY PUBLIC AND ELECTRONIC NOTARY PUBLIC FEES
Section 176.540 Notary Public and Electronic Notary
Public Fees
a) A
notary public or electronic notary public may charge the fees prescribed in 5
ILCS 312/3-104.
b) Neither
a notary public nor an electronic notary public is required to charge a fee. A
notary public or electronic notary public who charges a fee shall not charge
more than the maximum fee allowed by 5 ILCS 312/3-104.
c) Before
performing any notarial act, the notary public or electronic notary public must
inform the requestor of the notary's or electronic notary's fee, if any, that will
be charged.
d) A
notary public or electronic notary public who advertises notarial services in a
language other than English or performs services as described in 5 ILCS
312/3-103 must post a schedule of the fees listed in 5 ILCS 312/3-104 in a
conspicuous location at all times, as required by 5 ILCS 312/3-103(b).
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.550 COMMISSION CERTIFICATE
Section 176.550 Commission Certificate
a) Upon
appointment as a notary public or electronic notary public, the Secretary of
State shall send a commission certificate to the person appointed as a notary
public or electronic notary public, with which the person appointed may obtain
an official seal or electronic seal.
b) Only
upon presentation by the notary public or electronic notary public of the
Commission Certificate is a vendor authorized to provide the notary with an official
seal described in Section 176.520 or an electronic notary with an electronic
seal as described in Sections 176.520 and 176.810.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
SUBPART G: NOTARIAL ACTS
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.600 NOTARIAL CERTIFICATES
Section 176.600 Notarial Certificates
a) Minimum
requirements. For a notarial certificate to be sufficient, it must contain the
information required under 5 ILCS 312/6-103.
b) Additional
Information. A notarial certificate may contain additional or other
information as may be required to satisfy any legal requirements, ethical or
legal concerns, or the business needs of the parties to the transaction.
c) Permanently
and Securely Attached. A notarial certificate must be stamped, stapled,
grommeted, or otherwise permanently bound to the tangible document in a
tamper-evident manner. The use of tape, paper clips, or binder clips is not
permitted.
d) Legible
Signature Required. When signing a paper certificate, the notary public shall
use a legible, recognizable handwritten signature in blue or black ink that can
be attributed to the notary public performing the notarial act by anyone
examining or authenticating the signature. If a notary public's preferred signature
is not legible and recognizable, the notary public must also legibly print the
notary public's name immediately adjacent to the signature. In this chapter, a
signature is legible and recognizable if the letters are distinct and easily
readable, and the notary public's full name may be clearly discerned by looking
at the signature.
(Source: Amended at 49 Ill. Reg. 584,
effective January 1, 2025)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.610 PERSONS PHYSICALLY UNABLE TO SIGN DOCUMENTS
Section 176.610 Persons Physically Unable to Sign
Documents
a) If a
person cannot physically sign a document that is presented to a notary public
and directs a person other than the notary to sign the person’s name on the
document, both the person who cannot physically sign the document and the
person directed to sign the person’s name on the document shall appear before
the notary and be identified under 5 ILCS 312/6-102(d), 6-102.5(a), or
6A-103(b), as applicable, at the time the document is signed.
b) A
notary public who performs a notarial act for a person who cannot physically
sign shall type, print, or stamp the following, or a substantially similar
statement, near the signature "Signature affixed by (name of individual)
at the direction of (name of person physically unable to sign) in accordance
with 14 Ill. Adm. Code 176.610".
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
SUBPART H: REMOTE NOTARIAL ACTS
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.700 STANDARDS FOR REMOTE NOTARIAL ACTS USING AUDIO-VIDEO COMMUNICATION
Section 176.700 Standards for Remote Notarial Acts Using
Audio-Video Communication
a) Pursuant
to Section 3-107 of the Act, a notary performing a remote notarization shall
maintain an accurate and reliable record of each remote notarial act performed
by the notary public.
b) Before
performing a remote notarial act using audio-video communication, a remote
notary public must confirm the identity of the remotely located principal by:
1) Personal knowledge;
2) The
oath of a credible witness who personally knows the remotely located principal
and who is personally known to the remote notary public; or
3) Remote presentation by the remotely located principal of a
government-issued identification credential that contains a photograph and the
signature of the remotely located principal and otherwise conforms to the
requirements of 5 ILCS 312/6-102.5(a)(3).
c) If a
remote notary public can neither determine that a credential presented by a remotely
located principal is a valid identification of the remotely located principal
nor match the physical features of the remotely located principal with the
credential presented by the remotely located principal, the remote notary
public must not take any further action to complete a remote notarial act by using
that credential to confirm the identity of the remotely located principal.
d) A
remote notary public may perform a remote notarial act using audio-video
communication only if the remote notary public and the remotely located principal
agree to the performance of the remote notarial act using audio-video
communication.
e) Standards
for Audio-Video Communication Technology.
1) Communication
technology, as defined in 5 ILCS 312/1-104, must provide synchronous
audio-video feeds of sufficient video resolution and audio clarity to enable
the remote notary public and remotely located principal to see and speak with
each other. The process must provide a means for the remote notary public
reasonably to confirm that a record presented for a notarial act is the same
record in which the remotely located principal made a statement or on which the
principal executed a signature.
2) A
remote notary public performing a remote notarial act using audio-video
communication must verify that the communication technology is sufficient to
protect the act and the recording of the act made under Section 176.710 and
that any personally identifiable information disclosed during the performance
of the remote notarial act is protected from unauthorized access, except as may
be required to comply with the Act and Section 176.710(d), including
unauthorized access to:
A) the live transmission of
the audio-video feeds;
B) the methods used to
perform identity verification; and
C) the
recorded audio-video communication that is the subject of the remote
notarization.
f) If a
remotely located principal must exit the workflow before completing the
identity verification process, the remotely located principal must restart the
identity verification process from the beginning.
g) A remote
notary public performing a remote notarization must identify a remotely located
principal using the means specified in 5 ILCS 312/6-102.5(a). Nothing in this
Part shall prohibit a remote notary public from using enhanced identity
verification. (i.e., dynamic knowledge-based assessments).
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.710 REMOTE NOTARIAL ACTS - RECORDING
Section 176.710 Remote Notarial Acts − Recording
a) A
notary public in the State of Illinois may perform a remote notarial act for
remotely located principals under 5 ILCS 312/6-102.5
b) A
remotely located principal may comply with the requirement to appear personally
before a remote notary public by appearing remotely before the remote notary
public using audio-video technology.
c) A remote
notary public has satisfactory evidence of the identity of a remotely located principal
if the remote notary public has personal knowledge of the identity of the
remotely located principal or if the remote notary public has satisfactory
evidence of the identity of the remotely located principal by oath or
affirmation of a credible witness.
1) Personal
Knowledge. A remote notary public has personal knowledge of the identity of
the remotely located principal appearing before the remote notary public if the
remotely located principal is personally known to the remote notary public through
dealings sufficient to provide reasonable certainty that the remotely located principal
has the identity claimed.
2) Credible
Witness. To be a credible witness under Section 6-102.5(a)(3) of the Act, the
witness shall have personal knowledge of the remotely located principal who has
made a statement in or executed a signature on the record that is the subject
of the remote notarial act. The remote notary public must have personal
knowledge of the credible witness or shall have verified the identity of the
credible witness. A credible witness may be a remotely located principal if
the remote notary public, credible witness, and remotely located principal whose
statement or signature is the subject of the notarial act can communicate by
using audio-video technology.
3) Identity
Verification. Remote presentation by a remotely located principal of a
government-issued identification credential that contains a photograph and the
signature of the remotely located principal and otherwise conforms to the
requirements of 5 ILCS 312/6-102.5(a)(3).
d) The
recording of a remote notarial act performed using audio-video communication,
as required by this Part, must be made available upon request to the following
persons or entities:
1) To
the remotely located principal for whom the remote notarial act was performed;
2) To the Secretary of
State;
3) To a
law enforcement or federal, state, or local governmental agency in the course
of an enforcement action or the performance of any lawful duty;
4) Pursuant to a court
order or subpoena;
5) To the remote notary
public who performed the remote notarial act;
6) To
the employer of the remote notary public to ensure compliance with this Part or
the Act; or
7) To
any other person who is authorized to obtain the recording by the remotely
located principal to the remote notarial act.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.720 REQUIREMENT TO RESTART PERFORMANCE OF ACT UNDER CERTAIN CIRCUMSTANCES
Section 176.720 Requirement to Restart Performance of
Act Under Certain Circumstances
a) A
remote notary public who is performing a remote notarial act using audio-video
communication must restart the performance of the remote notarial act from the
beginning, including and without limitation confirming the identity of the remotely
located principal in accordance with Section 176.700, if at any time during the
performance of the remote notarial act:
1) The remotely
located principal or the remote notary public exits the session;
2) The audio-video
communication link is broken; or
3) The
remote notary public believes that the process of completing the remote
notarial act has been compromised and cannot be completed, for any reason,
including poor resolution or quality of the audio or video transmission, or
both.
b) As
used in this Section, "session" means the performance of one or more
remote notarial acts using audio-video communication on a single set of
documents as a single event by a single remote notary public with one or more remotely
located principals and any applicable witnesses.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.730 REMOTE NOTARIAL CERTIFICATES
Section 176.730 Remote Notarial Certificates
a) A
form of notarial certificate for a remote notarization complies with Sections
6-103 and 6-105 of the Act if it is in the form provided by applicable law and
contains a statement substantially as follows: "This remote notarization
involved the use of audio-video technology".
b) A
short form of acknowledgment prescribed in 5 ILCS 312/6-105 or other form of
notarial certificate required by law complies with 5 ILCS 312/6-103 if it
follows substantially one of the forms in this subsection (b):
1) For an acknowledgment
in an individual capacity:
State of Illinois
County of ______________
The foregoing instrument was
acknowledged before me using audio-video technology on
(date)____ by ____(name(s) of individual(s))____.
(Signature of notary public)
Notary Public
(Notary seal)
(My commission expires:
_____________)
2) For an acknowledgment
in a representative capacity:
State of Illinois
County of ___________
The foregoing instrument was
acknowledged before me using audio-video technology on (date)____ by
____(name(s) of individual(s))____as (type of authority, such as officer or
trustee) of (name of party on behalf of whom the instrument was executed).
(Signature of notary public)
Notary Public
(Notary seal)
(My commission expires:_ ____________)
3) For a verification on an
oath or affirmation:
State of Illinois
County of ____________
Signed and sworn to (or affirmed)
before me using audio-video technology on (date)____ by ____(name(s) of
individual(s))____ making statement).
(Signature of notary public)
Notary public
(Notary seal)
(My commission expires:
_____________)
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
SUBPART I: ELECTRONIC NOTARIZATIONS
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.800 ELECTRONIC NOTARY PUBLIC COMMISSION REQUIRED
Section 176.800 Electronic Notary Public Commission
Required
a) A
person may not perform an electronic notarial act unless the Secretary of State
has approved the electronic notary public commission of a person under 5 ILCS
312/2-102 and the traditional notary public commission is in effect.
b) The
Secretary of State may suspend or revoke the commission of a notary public who
performs or offers to perform an electronic notarial act without an electronic
notary public commission that has been approved by the Secretary of State, as
required by Section 176.980(b).
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.802 DEFINITIONS
Section 176.802 Definitions
Unless otherwise noted, the following definitions apply to
this Subpart I:
"Electronic notarization system"
or "system" means any combination of technology that enables a notary
public to perform a notarial act remotely; that allows the notary public to
communicate by sight and sound with the principal or witnesses, if applicable, using
audio-video communication; and that includes features to conduct credential
analysis and identity proofing.
"Electronic notarization system
provider" or "provider" means the third-party vendor that
operates, maintains, and sells access to an electronic notarization system.
Providers may be manufacturers of the system, authorized representatives of a
manufacturer, or other business entities.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.805 ELECTRONIC NOTARIZATION SYSTEM PROVIDER REGISTRATION, INFORMATION SUBMITTED FOR REGISTRATION, AND CONFIDENTIALITY OF CERTAIN INFORMATION
Section 176.805 Electronic Notarization System Provider
Registration, Information Submitted for Registration, and Confidentiality of
Certain Information
a) Certification
Required to Provide Electronic Notarization Systems. No person or entity may
provide electronic notarization systems under 5 ILCS 312/6A-101 unless
certified as a provider by the Secretary of State. All certified providers
must apply for certification on an annual, calendar-year basis, with
applications for recertification due in the Secretary's office not later than
September 1 of each year. Nothing in this Part is intended to prohibit a
governmental entity from developing an internal electronic notarization system
that complies with the requirement in this Part for certification.
b) Who
May Provide Electronic Notarization Systems. Without regard to the specific
business operations of the provider, all certified system providers under this
Section shall be responsible for ensuring that all of the duties and
responsibilities of the system provider are carried out in accordance with this
Part. System providers may provide these services through their own resources,
through a subsidiary, or through contractual relationships with third parties.
c) The
Secretary of State shall be solely responsible for certifying providers that
apply for certification with the Secretary. Persons or entities desiring to be
certified as providers may apply for certification at any time. An application
for certification or recertification as a system provider must include the
following information:
1) The legal name of the
provider;
2) The type of business
organization of the provider;
3) The
mailing address, physical address, email address, and website address of the
provider;
4) The
name and phone number of a contact person for the provider;
5) If
the applicant is a business entity, proof that the applicant is in good
standing with the Illinois Secretary of State, Business Services Department;
6) An
attestation that the technology used by the applicant is in compliance with the
provisions of this Part and Article VI-A of the Act relating to the performance
of electronic notarial acts, with a copy of all manuals and information guides
made available to Illinois electronic notaries;
7) A
certification that the vendor shall comply with the Illinois Notary Public Act
and this Part regarding retention and storage and the disposition of documents,
the electronic journal, and audio-video recordings if the provider no longer
makes its system available to electronic notaries public for any reason;
8) Copies
of publicly available policy and procedure manuals and training materials that
are used for training or usage in Illinois;
9) Proof
of liability insurance. The provider must maintain general commercial
liability or product liability insurance with minimum liability limits of $1
million per occurrence and $3 million aggregate total. The Secretary will
accept other commercially acceptable insurance arrangements, in the same
minimum amounts, if the Secretary determines that they provide an equivalent
level of coverage; and
10) A
declaration that the system complies with the laws of the State of Illinois
governing electronic notarial acts.
d) An
electronic notarization system provider may assert a claim that the information
provided to the Secretary of State under subsection (b)(7) by an entity
applying for certification with the Secretary of State is the provider's
confidential, proprietary information and a trade secret of the system provider
and is not a public record nor subject to subsection 7(g) of the Freedom of
Information Act [5 ILCS 140].
e) The
Secretary of State will certify a system if it meets all of the following
requirements:
1) Provides
secure access to the system by two-factor verification or another secure means
that identifies the electronic notary public accessing the system;
2) Takes
all reasonable steps to ensure that an electronic notary public using its
system is duly commissioned by the Secretary of State and that the commission
is in active status;
3) Provides
for uninterrupted, continuous, and simultaneous audio-video communication
between an electronic notary public and a principal;
4) Provides
audio-video communication with a video resolution and audio quality that
ensures that:
A) An
electronic notary public and a principal can see, hear, and communicate with
each other in real time; and
B) An
electronic notary public can match the appearance of a principal with the
credential presented by the principal;
5) Provides
a secure communication link for audio-video communication that ensures that
only the parties to an electronic notarial act and those persons authorized by
each party to the electronic notarial act are part of the audio-video
communication;
6) For
systems providing an electronic journal of electronic notarial acts, ensures it
complies with the provisions of this Subpart J and 5 ILCS 312/3-107 governing
the requirement that an electronic notary public keep an electronic journal for
each electronic notarial act;
7) Provides
for the recording of an electronic notarial act performed by audio-video
communication that complies with 5 ILCS 312/6A-104 and that is of sufficient
quality to ensure verification of the recorded electronic notarial act;
8) Enables
an electronic notary public to be satisfied that an electronic document
presented for the performance of an electronic notarial act is the same
electronic document on which the electronic notarial act was performed;
9) Enables
an electronic notary public to affix the wording of a notarial certificate
required by 5 ILCS 312/6A-105, as applicable, and the electronic official
notary seal of the electronic notary public required by 5 ILCS 312/3-101;
10) Enables
a person viewing an electronic document on which an electronic notarial act was
performed to view the electronic signature and electronic seal of the
electronic notary public who performed the electronic notarial act;
11) Provides
a method for determining whether an electronic document on which an electronic
notarial act was performed has been altered after the electronic seal of the
electronic notary public who performed the electronic notarial act has been
affixed to the electronic document and the electronic notarial act was
completed;
12) Prevents
unauthorized access to:
A) An
audio-video communication between an electronic notary public and a principal;
B) The
recording of an electronic notarial act required by 5 ILCS 312/6A-104 for an
electronic notarial act performed using audio-video communication;
C) Any
personally identifiable information used in a credential analysis, identity
proofing, or any other part of an audio-video communication, including without
limitation:
i) A
method of credential analysis and the output of that analysis;
ii) Any
credential presented to an electronic notary public;
iii) The
questions and answers used to conduct a dynamic knowledge-based authentication
assessment; and
iv) The
principal's birthdate, Social Security number, and other personally
identifiable information;
D) The
electronic document on which an electronic notarial act was performed; and
13) Provides
a method of generating a paper copy of the electronic journal or journal entry
of an electronic notary public and an electronic document on which an
electronic notarial act was performed, including, without limitation, the
electronic notarial certificate for the electronic document, the electronic
signature and electronic seal of the electronic notary public who performed the
electronic notarial act and any other document associated with the electronic
document.
14) Submits
the following plans:
A) A
cybersecurity plan outlining security, audit, and other procedures to ensure
that the electronic notarization system is secure from cyberattacks, intrusion,
and compromise of the user data:
B) A
business continuity plan in the case of business interruptions that last longer
than two weeks; and
C) A business
termination and succession plan in the case of the termination of business by
the electronic notarization system provider.
f) The
Secretary will notify the applicant to be certified or recertified as a system
provider in writing whether the application has been approved or denied.
Before denying an application due to minor typographical or clerical errors,
the Secretary will advise the applicant of the error and give the applicant 10
business days to correct the error.
g) If an
original or amended application to be certified or recertified as a system
provider is denied, the applicant may not reapply until 12 months after the
date of the denial or the date of the final order of the Secretary upholding
the denial if the decision is reviewed in a formal administrative hearing. Before
denying an application based on errors, the Secretary of State shall advise the
applicant of the error and give the applicant 30 business days to correct the
error.
h) In
deciding whether to grant or deny an application, the Secretary of State will
take into consideration the applicant's past performance in Illinois and other
jurisdictions, whether the applicant's license or certification has ever been
suspended, revoked, denied, canceled, or withdrawn, and whether another state
has denied the applicant's application to operate as a provider in that state.
i) An
applicant that has been certified under this Section may at any time submit an
amended application seeking certification to provide systems in addition to the
systems previously certified for use by the applicant.
j) If
there is any change after a provider's certification that affects the ability
of an electronic notary public to comply with this Part when performing an
electronic notarial act, the provider must immediately notify the Secretary of
State of the change. Upon receiving notice of the change, the Secretary of
State will determine whether the provider continues to comply with this Part.
If the Secretary of State determines that the provider no longer complies with
this Part, a provider shall not allow the use of the system to perform an
electronic notarial act in this State.
k) Services
That Must Be Provided. After certification or recertification by the
Secretary, providers shall provide the following services and meet the
following requirements:
1) The
provider shall only allow the use of systems that have been authorized in
Illinois under this Section;
2) The
provider shall provide a toll-free customer service/question/complaint hotline,
online chat feature, or a dedicated email address that is answered, at a
minimum, between 9:00 am and 5:00 pm, Central Time, Monday through Friday;
3) The
provider must provide a course of training and written instructions for
electronic notaries on operation, maintenance, and safeguards against improper
operations for use of the system and, if providing electronic journal
capability, instruct the electronic notary on maintaining the required journal
of notarial acts performed on the system (see Subpart J). The provider must
give the Secretary of State copies of all materials used in the course of this
training and available to Illinois electronic notaries;
4) Upon
an inquiry from the Secretary of State, providers must verify to the Secretary
of State within seven days whether an Illinois electronic notary has been
enrolled in the system and provide the Secretary, upon request, with additional
reports including but not limited to records of usage in Illinois;
5) The
provider must notify the Secretary of State in writing within 10 business days if
the provider or the manufacturer becomes unable to provide systems in Illinois
or if the provider has been suspended or decertified in any other jurisdiction;
6) The Secretary
of State 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 under this Section, including but not
limited to, noncompliance report forms, tampering, or certifications;
7) Upon
an allegation that the system provider failed to comply with a material
provision of this Part, the Director of Index will notify the system provider,
in writing, of the allegations. Within 30 days after receiving the written
notice from the Director, the provider must respond to the allegations in
writing, and provide an explanation of any corrective action taken. If the
provider fails to correct any noncompliance found, the Secretary will deny, suspend,
or revoke the certification. This penalty will be in addition to any private
causes of action that may exist for an electronic notary that has been
aggrieved by the noncompliance of the provider;
8) Upon
the request of the Secretary of State, the provider shall, at no cost to the
Secretary of State, provide the Secretary with an online demonstration and
allow the Secretary of State to ask any relevant questions. The system
provider shall also provide to the Secretary a publicly available, detailed
description of the system, including complete instructions for operation
provided to notaries public.
9) Providers
must maintain records related to enrolled electronic notaries for 7 years after
the electronic notary disenrolls from the system.
10) Providers
shall, upon request of the Secretary of State, submit information regarding the
operation of their platform that includes, but is not limited to, the number of
current or previous Illinois electronic notaries registered to the platform and
the number and type of electronic notarizations performed on the platform by
Illinois notaries.
l) Criteria
for Certification of Systems. Only systems that have been certified for use in
Illinois under this Section may be used by Illinois electronic notaries. Certification
of a system will be based on whether the system complies with any nationally
recognized standards and this Part.
m) Decertification
or Suspension of Providers. The Secretary of State may suspend or decertify a
provider from providing electronic notarization systems in Illinois. The
Secretary shall provide a written warning, and 15 days to come into compliance,
to a provider regarding any violation of this Section that may lead to
suspension or decertification. The provider shall respond in writing to the
Secretary describing the course of corrective action. If the Director of the
Index Department determines that the course of corrective action does not bring
the system provider into full compliance with the Act and this Part, or there
are recurring instances of the violations, the Secretary may decertify the
provider from providing systems in Illinois or suspend the provider from
allowing any new enrollments for 3 months. The following are considered
actions warranting decertification or suspension:
1) Failure
to provide information, as requested, to the Secretary of State in a timely
manner;
2) Failure
to maintain liability insurance as required;
3) Failure to comply with
the duties and obligations contained in this Part;
4) Failure
to provide Illinois electronic notaries with correct information regarding the
requirements of this Section;
5) Failure
to report enrollments and disenrollments to the Secretary within seven days after
the enrollment or disenrollment;
6) Failure
to inform the Secretary of suspension or decertification from service in
another jurisdiction within 30 days;
7) Giving
any instruction, codes, procedures, technological information, or advice to a
notary that results in or could result in the system being circumvented by a
user or third party;
8) Allowing
enrollment by a person that is not commissioned as an electronic notary in
Illinois;
9) Failure to meet any of
the requirements of the Act or this Subpart; and
10) Solicitation
of an Illinois electronic notary for any service or product other than the
system that has been certified.
11) Has
ceased operation as an electronic notarization system provider in the State of
Illinois.
n) Notification
of Decertification or Decision Not to Recertify. When the Secretary decides
not to recertify or to decertify a provider or a provider ceases to operate,
the Secretary will notify all affected electronic notaries public in writing.
The notifications shall be sent not less than 30 days after the decision or, if
the provider requests a formal administrative hearing within that 30-day period
to review the decision, notification will not be sent until the entry of a
final order of the hearing officer upholding the decision.
o) Applicants
Who Are Denied. Applicants whose applications for certification or
recertification have been denied and providers that have been suspended or
decertified may request an administrative hearing under Subpart K. Decisions
not to recertify or to suspend or decertify will not be carried out until at
least 30 days after the notice of the decision has been sent to the applicant
or provider or, if the applicant or provider requests a hearing within that
30-day period, until the entry of a final order of the hearing officer
upholding that decision. The hearings held under this Part shall be conducted
in accordance with all the rights, privileges, and procedures set forth in
Subpart K. A request for a hearing to contest a decision to deny certification
or recertification or to decertify must be made in writing and must be sent to
the Office of the Secretary of State, Department of Administrative Hearings,
Michael J. Howlett Building, Room 207, Springfield, Illinois 62756, (217)
524-0124.
p) Solicitation
by Provider. Any solicitation sent from a provider to a potential user must
conspicuously and in bold font include the following statements: "(name of
provider) is a privately owned entity and is not owned, operated, or endorsed
by the Illinois Secretary of State or any other Illinois government agency"
and "(name of provider) is not the sole provider authorized by the
Secretary of State". The solicitation or any correspondence from the
provider may not be attached to or have the appearance of any official correspondence
sent by the Illinois Secretary of State, may not state or otherwise indicate
that the provider is the sole or only provider in Illinois. A system provider
may not use any personal information (including the name, address, telephone
number, or email address) provided by a notary to solicit the notary for any
service or product other than the certified electronic notarization system.
q) Publication
of Provider Lists. A list of certified electronic notarization system
providers, in no particular order, will be published on the Illinois Secretary
of State's website (https://www.ilsos.gov/departments/index/notary/home.html)
upon certification.
(Source: Amended at 49 Ill. Reg. 584,
effective January 1, 2025)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.810 INFORMATION REQUIRED IN ELECTRONIC SEAL, ELECTRONIC DOCUMENTS MADE TAMPER-EVIDENT, AND NOTATION REQUIRED IF AUDIO-VIDEO COMMUNICATION IS USED TO PERFORM NOTARIAL ACTS
Section 176.810 Information Required in Electronic Seal,
Electronic Documents Made Tamper-Evident, and Notation Required if Audio-Video
Communication Is Used to Perform Notarial Acts
a) The
electronic seal of an electronic notary public must have the information
required to be included in an official seal under Section 176.520 and 5 ILCS
312/3-101(a) and must generally conform to the size and other requirements in
Section 176.520 and 5 ILCS 312/3-101(a) and (b-5).
b) After
the electronic seal and electronic signature are affixed or attached to or
logically associated with an electronic notarial certificate of an electronic
document and the electronic notarial act is thereby made complete, the
electronic seal and electronic signature of the notary public must be capable
of independent verification and the electronic document must be rendered tamper-evident.
c) If an
electronic notary public performs an electronic notarial act using audio-video
communication, the electronic notary public must include adjacent to the
electronic seal or in the electronic notarial certificate a notation indicating
that the electronic notarial act was performed using audio-video
communication. The notation required by this subsection must be the following
statement or a substantially similar statement: "Notarial act performed
by audio-video communication".
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.815 ACCESS AND USE OF ELECTRONIC NOTARY SEAL AND ELECTRONIC SIGNATURE
Section 176.815 Access and Use of Electronic Notary Seal
and Electronic Signature
a) Neither
the employer of an electronic notary public nor any of the employer’s employees
or agents shall use or permit the use of an electronic notary seal or signature
by anyone other than the authorized electronic notary public to whom it is
registered.
b) Access
to electronic notary signatures and electronic notary seals must be protected
using biometric authentication, password authentication, token authentication,
or other form of authentication approved by the Secretary according to the Act
and this Part.
c) Report of Theft or
Vandalism
1) An
electronic notary public must report, in writing to the Secretary, the theft or
vandalism of the notary’s electronic signature, electronic notary seal,
electronic record or journal, including the backup record, backup journal, and
audio-video recordings within the next business day after discovering the theft
or vandalism.
2) Failure
to report the theft or vandalism is grounds for revocation of an electronic
notary public's commission.
(Source: Added at 47 Ill. Reg. 8640, effective June 5,
2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.820 CHANGES TO DIGITAL CERTIFICATE AND ELECTRONIC SEAL OF ELECTRONIC NOTARY
Section 176.820 Changes to Digital Certificate and
Electronic Seal of Electronic Notary
a) An
electronic notary public shall at all times maintain an electronic seal and at
least one digital certificate that includes the electronic notary’s electronic
signature. Both the electronic seal and digital certificate must comply with
the Act and this Part.
b) An
electronic notary may use more than one digital certificate in accordance with this
Part.
c) An
electronic notary public shall replace an electronic seal or digital
certificate under the following circumstances:
1) The electronic seal or
digital certificate has expired;
2) The
electronic seal or digital certificate has been revoked or terminated by the
device’s issuing or registering authority; or
3) The
electronic seal or digital certificate is for any reason no longer valid or
capable of authentication.
d) An
electronic notary public who replaces an electronic seal or digital certificate
must provide the following to the Secretary of State within 10 days after the
replacement:
1) The
electronic technology or technologies to be used in attaching or logically
associating the new electronic seal or digital certificate to an electronic
document;
2) The electronic
notary's new digital certificate, if applicable;
3) A copy of the electronic
notary's new electronic seal, if applicable; and
4) Any
necessary instructions or techniques supplied by the vendor that allow the electronic
notary’s electronic seal or digital certificate to be read and authenticated.
e) Digital
certificates used by an electronic notary shall conform to the X.509 standard
to ensure that the document has been rendered tamper-evident.
(Source: Added at 47 Ill. Reg. 8640, effective June 5,
2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.825 STANDARDS FOR COMMUNICATION TECHNOLOGY
Section 176.825 Standards for Communication Technology
a) Communication
technology must provide synchronous audio-video feeds of sufficient video
resolution and audio clarity to enable the electronic notary public and the
individual to see and speak with each other in real time. The process must
provide a means for the electronic notary reasonably to confirm that an
electronic record before the electronic notary public is the same record in
which the individual made a statement or on which the individual executed a
signature.
b) Communication
technology must provide reasonable security measures to prevent unauthorized
access to:
1) The
live transmission of the audio-video feeds;
2) The
methods used to perform identity verification;
3) The electronic record
that is the subject of the electronic notarization; and
4) Any
electronic notary public’s journal or audio-video recordings maintained or
stored as a function of the communication technology.
c) If an
individual must exit the workflow before completing the identity verification
process, the individual must restart the identity verification process from the
beginning.
(Source: Added at 47 Ill. Reg. 8640, effective June 5,
2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.830 DUTIES OF ELECTRONIC NOTARY PUBLIC
Section 176.830 Duties of Electronic Notary Public
An electronic notary public must take reasonable steps to:
a) Ensure
the integrity, security, and authenticity of each electronic notarial act
performed by the electronic notary public;
b) Maintain
a secure backup of the electronic journal kept in accordance with 5 ILCS
312/3-107; and
c) Ensure
that any audio-video communication while performing an electronic notarial act,
and any journal records and audio-video recordings stored as a function of the
communication technology, are secure from unauthorized access or interception.
(Source: Added at 47 Ill. Reg. 8640, effective June 5,
2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.835 STANDARDS FOR IDENTITY VERIFICATION
Section 176.835 Standards for Identity Verification
a) If an
electronic notary public does not have satisfactory evidence of the identity of
a remotely located principal pursuant to 5 ILCS 312/6A-103(b)(1), the
electronic notary public must reasonably verify the principal’s identity
through a multi-factor authentication procedure as provided in this Section.
The procedure must analyze the principal’s identification credential presented
remotely against trusted third-person data sources, bind the principal’s
identity following a successful dynamic knowledge-based authentication
assessment, and permit the electronic notary public to visually compare the
identification credential and the principal. Credential analysis and identity
proofing must be performed by a reputable third party who has provided evidence
to the electronic notary public of the ability to comply with this Section.
b) Credential
analysis must use public or private data sources to confirm the validity of the
identification credential presented electronically by a principal and will, at
a minimum:
1) Use
automated software processes to aid the electronic notary public in verifying
the identity of each principal;
2) Require
the identification credential to pass an authenticity test, consistent with
sound commercial practices, that uses appropriate technologies to confirm the
integrity of visual, physical, or cryptographic security features and to
confirm that the identification credential is not fraudulent or inappropriately
modified;
3) Use
information held or published by the issuing source or an authoritative source,
as available and consistent with sound commercial practices, to confirm the
validity of personal details and identification credentials; and
4) Enable
the electronic notary public to visually compare for consistency the information
and photograph on the identification credential and the principal as viewed by
the electronic notary public in real time through communication technology.
c) Identity
proofing must be performed using a dynamic knowledge-based authentication
assessment. The assessment is successful if it meets the following
requirements:
1) The
principal must answer a quiz consisting of a minimum of five questions related
to the principal’s personal history or identity formulated from public or
private data sources;
2) Each
question must have a minimum of five possible answer choices;
3) At least 80% of the
questions must be answered correctly;
4) All questions must be
answered within two minutes;
5) If
the principal fails the first attempt, the principal may retake the quiz one
time within 24 hours;
6) During
a retake of the quiz, a minimum of 40% of the prior questions must be replaced;
7) If
the principal fails the second attempt, the principal is not allowed to retry
with the same electronic notary public within 24 hours of the second failed
attempt; and
8) The
electronic notary public must not be able to see or record the questions or
answers.
d) An
electronic notary public has satisfactory evidence of the identity of the
principal if:
1) The
electronic notary public has personal knowledge of the identity of the principal;
or
2) The
requirements of 5 ILCS 312/6A-103(b)(2) are satisfied.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.840 MAINTENANCE OF RECORD OF ELECTRONIC NOTARIAL ACT
Section 176.840 Maintenance of Record of Electronic
Notarial Act
Pursuant to 5 ILCS 312/3-107, an electronic notary public
shall maintain an accurate and reliable journal record of each electronic
notarial act performed by the electronic notary public. The record must be
maintained for at least 7 years and must be made available to the Secretary
upon request.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.845 ELECTRONIC NOTARIAL ACT USING AUDIO-VIDEO COMMUNICATION - DUTY OF ELECTRONIC NOTARY AND SYSTEM PROVIDER TO PROTECT RECORDINGS AND PERSONALLY IDENTIFYING INFORMATION FROM UNAUTHORIZED ACCESS
Section 176.845 Electronic Notarial Act Using
Audio-Video Communication − Duty of Electronic Notary and System Provider
to Protect Recordings and Personally Identifying Information from Unauthorized
Access
An electronic notary public performing an electronic
notarial act using audio-video communication, and the provider whose system is
used, must ensure that the recording of the electronic notarial act made under 5
ILCS 312/6A-104 and any personally identifiable information disclosed during
the performance of the electronic notarial act is protected from unauthorized
access.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.850 USE OF SYSTEM PROVIDER TO STORE ELECTRONIC JOURNALS AND RECORDINGS
Section 176.850 Use of System Provider to Store
Electronic Journals and Recordings
a) An
electronic notary public may use a system provider to store the electronic
journal of the electronic notary public and the recording made under 5 ILCS
312/6A-104 of an electronic notarial act performed using audio-video
communication if the provider has registered with the Secretary of State and the
provider's certification is in effect.
b) Except
as otherwise provided in this subsection, a provider that stores the electronic
journal of an electronic notary public and the recording made under 5 ILCS
312/6A-104 of an electronic notarial act performed using audio-video
communication must allow the electronic notary public sole control of the
electronic journal and the recording. The provider may allow access to the
electronic journal of an electronic notary public or a recording if the
electronic notary public has authorized such access or the access to the
electronic journal or recording is authorized by the Act or this Part.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.855 AVAILABILITY OF RECORDINGS AND DOCUMENTS TO CERTAIN PERSONS AND ENTITIES
Section 176.855 Availability of Recordings and Documents
to Certain Persons and Entities
The recording made under 5 ILCS 312/6A-104 of an electronic
notarial act performed using audio-video communication may be made available:
a) To the principal for
whom the electronic notarial act was performed;
b) To the Secretary of
State;
c) To a
law enforcement or federal, state, or local governmental agency in the course
of an enforcement action;
d) Pursuant
to a court order or subpoena;
e) To the
electronic notary public who performed the electronic notarial act for any
purpose listed in subsections (a) through (d), inclusive;
f) To
any other person who is authorized by the parties to the electronic notarial
act to obtain the recording; or
g) For
any authorized purpose and to ensure compliance with the provisions of this
Part and Article VI-A of the Act governing electronic notarial acts, the
employer of an electronic notary public who performs an electronic notarial act
using audio-video communication or the provider whose system was used to
perform such an electronic notarial act, or both, may access the recording made
under 5 ILCS 312/6A-104 of the electronic notarial act.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.860 ELECTRONIC NOTARIAL ACTS
Section 176.860 Electronic Notarial Acts
a) An
electronic notary public may perform an electronic notarial act using
audio-video communication only if the electronic notary public and the
principal agree to the performance of the electronic notarial act using
audio-video communication at the outset of the electronic notarization and
before the identity of the principal has been confirmed.
b) Before
performing an electronic notarial act using audio-video communication, an
electronic notary public must confirm that the electronic document that is the
subject of the electronic notarial act is the same document on which the
principal made a statement or executed a signature and the identity of the
principal. The identity of the principal shall be confirmed by:
1) Personal knowledge;
2) The
oath of a credible witness who personally knows the principal and the notary
public; or
3) Each
of the following:
A) Remote
presentation by the principal of a government-issued identification credential
that contains a photograph and the signature of the principal;
B) Credential
analysis of the government-issued credential and the data on the credential
that complies with 5 ILCS 312/6A-103; and
C) A
dynamic knowledge-based authentication assessment that complies with 5 ILCS
312/6A-103 or identity proofing under 5 ILCS 312/6A-103.
c) If an
electronic notary public cannot determine that a credential presented by a
principal is a valid identification of the principal or cannot match the
physical features of the principal with the credential presented by the
principal, the electronic notary public must not take any further action to
complete an electronic notarial act by using that credential.
d) An
electronic notary public who is performing an electronic notarial act using
audio-video communication must restart from the beginning, including, without
limitation, confirming the identity of the principal, if, at any time during
the performance of the electronic notarial act:
1) The principal or the electronic
notary public exits the session;
2) The audio-video
communication link is broken; or
3) The
electronic notary public believes that the process of completing the electronic
notarization has been compromised and cannot be completed because of the
resolution or quality of the audio or video transmission, or both.
e) An
electronic notarial act will have the same force and effect as a notarial act
performed in the physical presence of a notary public.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.865 ELECTRONIC NOTARIAL CERTIFICATES
Section 176.865 Electronic Notarial Certificates
a) A
form of notarial certificate for an electronic notarization complies with 5
ILCS 312/6A-105 if it is in the form provided by applicable law and contains a
statement substantially as follows: “This electronic notarization involved the
use of an electronic system provider".
b) A
short form of acknowledgment prescribed in 5 ILCS 312/6A-105 or other form of
notarial certificate required by law complies with the Act if it is in
substantially the same form as one of the following statements:
1) For an acknowledgment
in an individual capacity:
State of Illinois
County of
The foregoing instrument was
acknowledged before me using an electronic notarization system provider on
(date) by (name(s) of individual(s)).
(Signature of
notary public)
Notary Public
(Electronic seal)
(My commission
expires:)
2) For an acknowledgment
in a representative capacity:
State of
Illinois
County of
The foregoing instrument was
acknowledged before me using an electronic notarization system provider on
(date) by (name(s) of individual(s)) as (type of authority, such as officer or
trustee) of (name of party on behalf of whom the instrument was executed).
(Signature of notary public)
Notary Public
(Electronic seal)
(My commission expires:)
3) For a verification on
oath or affirmation:
State of Illinois
County of:
Signed and sworn to (or affirmed)
before me using an electronic notarization system provider on (date) by
(name(s) of individual(s) making statement).
(Signature of
notary public)
Notary public
(Electronic seal)
(My commission
expires:)
4) For witnessing or
attesting a signature:
State of Illinois
County of:
Signed or
attested before me on (date) by (name(s) of persons(s))
(Signature of
notary public)
(Electronic seal)
(My commission
expires:)
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.870 PROHIBITED ACTS
Section 176.870 Prohibited Acts
a) An electronic notary
public shall not:
1) Engage
in any fraudulent activity, deceptive practice, or inequitable act in
connection with the Act.
2) Engage
in any activity prohibited by 5 ILCS 312/6-104.
3) Fail
to record an electronic notarial act performed using audio-video communication
or fail to keep such a recording as required by 5 ILCS 312/6A-104.
4) Use
an electronic seal or digital certificate that is invalid or fails to comply
with this Subpart or Article VI-A of the Act during the performance of an
electronic notarial act.
5) Fail
to notify the Secretary of State of a change in the electronic seal or digital
certificate.
6) Use
one’s own electronic seal, alone or together with the electronic signature, except
in the performance of an electronic notarial act.
7) Allow
unauthorized access to the electronic journal kept by the electronic notary
public under 5 ILCS 312/3-107, the electronic notary public's electronic signature
or the digital certificate, or to the electronic notarization solution used by
the electronic notary public to perform an electronic notarial act.
8) Violate
any other provision of this Subpart I or Article VI-A of the Act relating to
the performance of an electronic notarial act.
b) The
penalties, prohibitions, liabilities, sanctions, and remedies for the improper
performance of an electronic notarial act are the same as provided by law for
the improper performance of a notarial act that is not an electronic notarial
act.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
SUBPART J: JOURNAL
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.900 JOURNAL REQUIREMENTS
Section 176.900 Journal Requirements
a) Every
notary public, whether or not also an electronic notary public, must record
each notarial act in a journal at the time of notarization to comply with 5
ILCS 312/3-107 and this Subpart J.
b) Each
journal of a notary public, whether maintained on a tangible medium or in an
electronic format, must contain all of the following information in any order:
1) The name of the notary
public as it appears on the commission;
2) The notary public's
commission number;
3) The notary public's
commission expiration date;
4) The notary public's
office address of record with the Secretary of State;
5) A
statement that, upon the death or adjudication of incompetency of the notary
public, the notary public's personal representative or guardian or any other
person knowingly in possession of the journal must deliver or mail it to the
Secretary of State;
6) The
meaning of any abbreviated word or symbol used in recording a notarial act in
the notarial journal; and
7) The signature of the
notary public.
c) If a
notary public's name, commission expiration date, or address changes before the
notary public stops using the notarial journal, the notary public shall add the
new information after the old information and the date on which the information
changed.
d) An
electronic journal kept by a notary public or an electronic notary public under
5 ILCS 312/3-107 must comply with the requirements of subsections (a) and (b)
and must also:
1) Prohibit
the electronic notary public or any other person from deleting a record
included in the electronic journal or altering the content or sequence of such
a record after the record is entered into the electronic journal except to
redact personally identifiable information as required by Section 176.910(d);
2) Be
securely backed up by the electronic notary public and the electronic
notarization system provider whose electronic notarization system was used by
the electronic notary, if applicable; and
3) Omit
all personally identifiable information, as defined in Section 176.10.
e) A
notary public shall allow for the inspection of the journal or electronic
journal as required by Section 176.950.
f) Notwithstanding
any other subsection of this Part to the contrary, a notary employed by an
attorney or law firm is not required to keep a journal of notarizations
performed during the notary's employment if the attorney or law firm maintains
a copy of the documents notarized. No attorney or law firm shall be required
to violate attorney-client privilege by allowing or authorizing inspection of
any notarizations that are recorded in a notary's journal. Journals of
notarizations performed solely within the course of a notary's employment with
an attorney or law firm are the property of the employing attorney or firm.
g) No
notary public nor electronic notary public is required to keep or maintain a
journal or otherwise record a notarial act or electronic notarial act in a
journal if that act is performed by or on behalf of a candidate for public
office and includes one or more of the following documents:
1) nominating
petitions;
2) petitions
of candidacy;
3) petitions
of nominations;
4) nominating
papers; or
5) nomination
papers. (See 5 ILCS 312/3-107.)
h) The
exemption under subsection (g) applies regardless of whether the
notarial act or electronic notarial act is performed on the documents described
in subsection (g) before, on, or after the effective date of the
amendatory Act of the 103rd General Assembly, and the failure of a
notary public or an electronic notary public to keep a journal of or to
otherwise record such an act does not affect the validity of the notarial act
on that document and is not a violation of the Act. [5 ILCS
312/3-107]
(Source: Amended at 49 Ill. Reg. 584,
effective January 1, 2025)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.910 JOURNAL ENTRIES AND PROHIBITED ENTRIES
Section 176.910 Journal Entries and Prohibited Entries
a) Required Entries. Each
entry shall contain at least the following information:
1) The name of the
principal;
2) The
name of each credible witness relied upon to verify the identity of the
principal;
3) The name of any other
person that signed for the principal;
4) The title or a
description of the document notarized;
5) The date of the
notarization;
6) Whether
the notarization was conducted in person, remotely, or electronically;
7) The fee charged, if
any; and
8) The physical location
of the notary and the principal.
b) Optional
Entries. In addition to the entries required under 5 ILCS 312/3-107 of the Act
and this Part, a journal may contain the signature of the individual for whom
the notarial act is performed and any additional information about a specific
transaction that might assist the notary public to recall the transaction.
c) Prohibited
Entries. A notary public must not record in the notary’s journal the
following:
1) An
identification number that was assigned by a governmental agency or by the
United States to the principal that is set forth on the identification card or
passport presented as identification;
2) Any
other number that could be used to identify the principal of the document;
3) A
biometric identifier, including a fingerprint, voice print, or retina image of
the principal;
4) An
individual’s first name or first initial and last name in combination with and
linked to any one or more of the following data elements when the data elements
are not encrypted or redacted:
A) Social Security number;
B) Driver’s
license number or a State identification card number; or
C) Financial
account information; and
5) An
electronic signature of the person for whom an electronic notarial act was
performed or any witnesses. [5 ILCS 312/3-107]
d) Inadvertent
or Accidental Entries. A notary public who inadvertently records information
prohibited under subsection (c) must redact such information before providing
public access to or copies of the journal.
e) Fees.
Each notarial fee charged should correspond to the notarial act performed. If
a fee is waived or not charged, the notary public shall indicate so in the
journal entry using notarizations such as “n/c”, “0” (zero), or " −
" (dash). Clerical and administrative fees, if charged, shall be separately
itemized in the journal.
f) Address.
For journal entries, address means the city and state only.
g) Transitional
Provision. A notary public who holds a commission on July 1, 2023, may
continue to use the notary public’s journal until the completion of that
journal or the expiration of that commission, whichever may occur first.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.920 FORM AND CONTENT OF JOURNALS MAINTAINED ON A TANGIBLE MEDIUM
Section 176.920 Form and Content of Journals Maintained
on a Tangible Medium
a) A
journal maintained on paper or any other tangible medium may be in any form
that meets the physical requirements in this Section and the entry requirements
in Section 176.910.
b) The
cover and pages inside the journal must be bound together by any binding method
that is designed to prevent the insertion, removal, or substitution of the
cover or a page. This includes glue, staples, grommets, or another binding,
but does not include the use of tape, paper clips, or binder clips.
c) Each
page must be consecutively numbered from the beginning to the end of the
journal. If a journal provides two pages on which to record the required
information about the same notarial act, both pages may be numbered with the
same number or each page may be numbered with a different number. Page numbers
must be preprinted.
d) Each
line, or entry if the journal is designed with numbered entry blocks, must be
consecutively numbered from the beginning to the end of the page. If a line
extends across two pages, the line must be numbered with the same number on
both pages. A line or entry number must be preprinted.
e) The
journal of a notary public must remain within the exclusive control of the
notary public at all times.
f) A
notary public who performs multiple notarizations for the same principal within
a single transaction may abbreviate the entry of those notarizations in the
notary journal after first including all the information required by the Act.
The abbreviated entry must indicate the type of transaction and the number of
documents notarized as part of that single transaction.
g) A
journal maintained in a tangible format must be retained for a minimum of 7
years after the final notarial act chronicled in the journal.
h) The
retention requirements for this Part do not apply to notaries in the course of
their employment with a governmental entity.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.930 FORM AND CONTENT OF AN ELECTRONIC NOTARIAL JOURNAL
Section 176.930 Form and Content of an Electronic
Notarial Journal
a) A
journal maintained in electronic format may be in any form that complies with
this Section and the entry requirements in Section 176.910.
b) A
journal maintained in an electronic format must be designed to prevent the
insertion, removal, or substitution of an entry.
c) A
journal maintained in an electronic format must be securely stored and
recoverable in the case of a hardware or software malfunction.
d) Entries
from the notarial journal must be available upon request by the Secretary of
State in a PDF format.
e) The
journal of a notary public shall remain within the exclusive control of the
notary public at all times.
f) A
notary public who performs multiple notarizations for the same principal within
a single transaction may abbreviate the entry of those notarizations in the
notary journal after first including all of the information required by the Act.
The abbreviated entry must indicate the type of transaction and the number of
documents notarized as part of that single transaction.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.940 CUSTODY AND CONTROL OF THE JOURNAL AND NOTIFICATION OF A LOST, COMPROMISED, DESTROYED, OR STOLEN JOURNAL
Section 176.940 Custody and Control of the Journal and
Notification of a Lost, Compromised, Destroyed, or Stolen Journal
a) The
notary public must maintain custody and control of the journal at all times
during the term of the notary public's commission. When not in use, the
journal must be kept in a secure location and accessible only to the notary
public. A secure location includes the notary public's sole possession or a
locked location to which only the notary public has access.
b) Notification
of a lost, compromised, destroyed, or stolen journal under 5 ILCS 312/3-107
must be made in writing or electronically the next business day after the date
the notary public or personal representative or guardian discovers the loss or
theft of the journal. The notification must include all of the following:
1) A
statement of whether the journal is lost, compromised, destroyed, or stolen;
2) An
explanation of how the journal became lost, compromised, destroyed, or stolen;
3) The
date the notary public discovered that the journal was lost, compromised,
destroyed, or stolen;
4) A
statement that the journal has been destroyed or that the notary public does
not possess the journal and does not know who possesses it or where it is
located; and
5) A
statement that, if the notary public subsequently acquires possession of the lost
or stolen journal, the notary public shall file a written statement with the
Secretary of State within 10 business days after the date the notary public
reacquires possession of the lost or stolen journal, including a written
explanation of how the journal was recovered.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.950 INSPECTION OF A JOURNAL, RESPONSE TO SUBPOENAS AND INVESTIGATIVE REQUESTS, AND PUBLIC INFORMATION
Section 176.950 Inspection of a Journal, Response to
Subpoenas and Investigative Requests, and Public Information
a) In
the notary's presence, any person may inspect an entry in the official journal
of notarial acts during the notary's regular business hours, but only if:
1) The
person's identity is personally known to the notary or proven through
satisfactory evidence;
2) The
person affixes a signature in the journal in a separate, dated entry;
3) The
person specifies the month, year, type of document, and the name of the
principal for the notarial act or acts sought; and
4) The
person is shown only the entry or entries specified.
b) If
the notary has a reasonable and explainable belief that a person has a criminal
or harmful intent in requesting information from the notary's journal, the
notary may deny access to any entry or entries.
c) Subpoenas
and investigative requests. A request for inspection or certified copies of a
journal made through an investigative request by law enforcement or by the
Secretary of State or in a subpoena in the course of criminal or civil
litigation, or administrative proceeding shall be complied with in the manner
specified in the request or subpoena.
d) If
any portion of the audio-video recording of an electronic or remote
notarization includes biometric information or includes an image of the
identification card used to identify the principal, that portion of the
recording is confidential and shall not be released without consent of the
individual whose identity is being established, unless ordered by a court of
competent jurisdiction or upon request by the Secretary of State.
e) Failure
of a notary public to promptly and adequately respond to a request for public
information in accordance with this Part may be good cause for suspension or
revocation of a notary public or electronic notary public commission or other
disciplinary action against the notary.
(Source: Added at 47 Ill. Reg. 8640, effective June 5,
2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.960 ELECTRONIC JOURNAL RECORD RETENTION AND DEPOSITORIES
Section 176.960 Electronic Journal Record Retention and
Depositories
a) A
notary public must retain the electronic journal required and any audio-video
recording created under 5 ILCS 312/6A-104 in a computer or other electronic
storage device that protects the journal and recording against unauthorized
access by password or cryptographic process. The recording must be created in
an industry-standard, audio-visual file format and must not include images of
any electronic record that was the subject of the electronic or remote
notarization.
b) An
electronic journal must be retained for at least 7 years after the last
electronic or remote notarial act chronicled in the journal. An audio-visual
recording must be retained for at least 7 years after the recording is made.
c) A
notary public must take reasonable steps to ensure that a backup of the
electronic journal and audio-visual recording exists and is secure from
unauthorized use.
d) Upon
the death or adjudication of incompetency of a current or former notary public,
the notary public's personal representative or guardian or any other person
knowingly in possession of an electronic journal or audio-visual recording
must:
1) Comply with the
retention requirements of this Section;
2) Transmit
the journal and recording to one or more depositories under subsection (e); or
3) Transmit
the journal and recording in an industry-standard readable data storage device
to the Illinois Secretary of State, Index Department at
111 E. Monroe St., Springfield, IL 62756.
e) A
notary public, guardian, conservator, or agent of a notary public, or a
personal representative of a deceased notary public may, by written contract,
engage a third person to act as a depository to provide the storage required by
this Section. A third person under contract under this Section shall be
considered a depository. The contract must:
1) Enable
the notary public, guardian, conservator, or agent of the notary public, or the
personal representative of the deceased notary public to comply with the
retention requirements of this Section even if the contract is terminated; or
2) Provide
that the information will be transferred to the notary public, guardian,
conservator, or agent of the notary public, or the personal representative of
the deceased notary public if the contract is terminated.
f) The
retention requirements for this Part do not apply to notaries in the course of
their employment with a governmental entity.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.970 COMPLAINTS OF ALLEGED VIOLATIONS
Section 176.970 Complaints of Alleged Violations
For purposes of this Section, "notary public"
includes an electronic notary public and remote notary public.
a) A
person may file a complaint in writing with the Secretary of State alleging
that a notary public has violated one or more of the provisions of the Act or
any provision of this Part. The complaint should include as much information
as possible, including:
1) The
name of the notary public, and the employer or business name of the notary;
2) If
known, the name of the county in which the notary resides;
3) If
known and assigned, the notary public commission number assigned to the notary;
4) An
explanation of the reason for the complaint;
5) A copy of relevant
documents related to the matter;
6) Whether
the notarial act was an electronic or remote notarial act performed using
audio-video communication; and
7) Additional
information that the person considers relevant to the complaint or
notarization.
b) The
complaint may be filed in person or by mail to the Illinois Secretary of State,
Index Department at 111 E. Monroe St., Springfield, IL 62756, or by electronic
mail (enotary@ilsos.gov).
c) Upon
receipt of the complaint, the Secretary will notify the notary who is the
subject of the complaint in writing. The notice shall be sent by regular mail
to the address of the notary on file with the Secretary of State. The notice
sent to the notary public who is the subject of the complaint will include:
1) A
statement of the statutory provision which the notary public is alleged to have
violated;
2) An explanation
of the disciplinary actions that may be taken against the notary public;
3) Instructions
for the notary public to respond to the complaint by regular mail or by email;
and
4) A
statement that the notary public must respond to the complaint within 10 days
after receiving the notice.
d) If,
after receiving the response from the notary, the Secretary of State determines
that further action is not warranted, the Secretary will notify the notary
public of that decision.
e) Either
after receiving the response from the notary or if no response is received, the
Secretary of State may further investigate the complaint of alleged misconduct
against the notary public by considering the totality of the offense, facts,
and circumstances of the individual case.
f) When
evaluating an allegation of notarial misconduct to determine if action should
be taken, the Secretary may consider a variety of factors, including but not
limited to, the following:
1) Nature and severity of
the act, offense, or crime under consideration;
2) Number and variety of
current violations;
3) Evidence
of the requisite honesty, credibility, truthfulness, and integrity of the
notary public;
4) Actual
or potential harm to the general public, group, individual, or customer;
5) History of complaints
received by the Secretary of State;
6) Prior disciplinary
record or warning from the Secretary of State;
7) Any felony or
misdemeanor convictions involving fraudulent activity;
8) Fraudulent,
deceptive, or inequitable business acts;
9) The
disbarment or professional discipline of a notary that is also an attorney;
10) The revocation of any
financial, real estate, or securities licenses; or
11) Failure to pay any
Illinois tax.
g) If
the Secretary determines that a crime may have been committed, the Secretary
will refer the allegations to law enforcement for further investigation or
prosecution.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.980 REVOCATION, SUSPENSION, AND REPRIMAND
Section 176.980 Revocation, Suspension, and Reprimand
For purposes of this Section, "notary public"
includes an electronic notary public and remote notary public.
a) Revocation.
A notary public's commission may be revoked for any of the foregoing acts or
omissions:
1) The
notary public demonstrates the notary public lacks the honesty, integrity,
competence, or reliability to act as a notary public; or
2) The
notary public fails to maintain a residence or place of employment in Illinois.
b) Suspension.
A notary public's commission may be suspended for any actions contrary to the
Act, other laws of the State of Illinois, and this Part.
c) Other
Remedial Actions. The Secretary of State may deliver a written official
warning to cease misconduct, misfeasance, or malfeasance to any notary public
whose actions are determined to violate this Part, the Act, or other laws of
the State of Illinois.
d) Before
suspending or revoking a notary public's commission, the Secretary of State
must inform the notary public of the basis for the suspension or revocation and
that the suspension or revocation takes effect on a particular date unless a
request for an administrative hearing is filed with the Secretary of State under
5 ILCS 312/7-108(j) and Section 176.990 before that date.
e) Resignation
or expiration of a notary public's commission does not terminate or preclude an
inquiry into the notary's conduct by the Secretary of State. Whether the
finding would have been grounds for revocation will be made a matter of public
record.
f) A
notary public or an electronic notary public that notarizes one of the
documents listed in this subsection (f) by or on behalf of a candidate for
public office and does not enter the notarial act or electronic notarial act
into a journal does not violate the Act pursuant to 5 ILCS 312/3-107(f) and
shall not be subject to discipline provided in this Section:
1) nominating
petitions;
2) petitions
of candidacy;
3) petitions
for nominations;
4) nominating
papers; or
5) nomination
papers.
(Source: Amended at 49 Ill. Reg. 584,
effective January 1, 2025)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.990 APPEALS
Section 176.990 Appeals
Appeals should be addressed to the Secretary of State
Department of Administrative Hearings and comply with Subpart K.
(Source:
Added at 47 Ill. Reg. 8640, effective June 5, 2023)
SUBPART K: ADMINISTRATIVE HEARINGS
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1000 DEFINITIONS
Section 176.1000 Definitions
"Act" means the Illinois
Notary Public Act [5 ILCS 312].
"Contested case" means
an adjudicatory proceeding conducted by the Department of Administrative
Hearings in which the individual legal rights, duties, or privileges of a
party are required by law to be determined by the Secretary of State
only after an opportunity for a hearing. [5 ILCS 100/1-30]
"Continue a hearing"
means to reschedule a hearing to another date certain. A decision to continue a
hearing is a continuance.
"Department of Administrative
Hearings" means the Department of Administrative Hearings of the Office of
the Secretary of State of Illinois.
"Director" means the
Director or Acting Director of the Department of Administrative Hearings.
"Formal Hearing" means a
hearing authorized to be held by the Department of Administrative Hearings under
the Act or this Part.
"Hearing Officer" means
any person designated by the Secretary of State to preside at any hearing
conducted under this Subpart.
"Order of Default" means
an Order entered by the Department of Administrative Hearings which denies all
relief because a petitioner fails to appear for a hearing at the time, date,
and place specified in the Notice of Hearing or Notice of a continued hearing
date without prior notification to the Department of the petitioner's inability
to appear.
"Party" means any person
named or admitted as a participant in any hearing conducted under this Subpart,
including the Secretary and the Department of Administrative Hearings.
"Person" includes any
individual, corporation, partnership, association, or firm legally capable of
either seeking the action of the Office of the Secretary of State or being the
subject of the action.
"Petitioner" is the
party who by written request seeks or applies for any relief from the Secretary
under the Act or this Part.
"Respondent" means a
person against whom a complaint or petition is filed, or who, because of
interest in the subject matter of a petition or application or the relief
sought in the petition or application, is made a respondent or to whom an order
or complaint is directed by the Department of Administrative Hearings.
"Secretary" means the
Illinois Secretary of State.
"Withdrawal from a hearing"
means to terminate a hearing upon the motion or at the request of the
petitioner.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1005 RIGHT TO COUNSEL
Section 176.1005 Right to Counsel
a) Attorneys
Must be Licensed or 711 Students. Any party may appear and be heard through an
attorney at law licensed to practice in the State of Illinois, or any law
student licensed under Supreme Court Rule 711, in any hearing in any matter
involving the exercise or legal skill of knowledge.
b) Pro
Hac Vice. Attorneys admitted to practice in states other than the State of
Illinois may appear and be heard in a specific hearing, upon the attorney's
verbal representations or written documentation as to the attorney's
admittance, by special leave of the Director of Administrative Hearings or a
designee, pursuant to an Order pro hac vice, as authorized by Supreme Court
Rule 707 and Rule 5.5 of the Illinois Rules of Professional Conduct.
c) Pro
Se. A natural person may appear and represent oneself instead of
representation by an attorney.
d) Corporations,
Limited Liability Companies, and Partnerships. A corporation, association,
limited liability company, or partnership must appear by legal counsel licensed
to practice in the State of Illinois or appearing pro hac vice.
e) The standard of conduct
shall be the same as before all Courts of Illinois.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1010 APPEARANCE OF ATTORNEY
Section 176.1010 Appearance of Attorney
An attorney appearing in a representative capacity shall
file a written notice of appearance with the Department of Administrative
Hearings office where the formal hearing is requested or pending, providing a
name, address, email address, website, facsimile number, telephone number,
Supreme Court registration number, and identification of the party represented.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1020 SPECIAL APPEARANCE
Section 176.1020 Special Appearance
Before filing any other pleading or motion, a special
appearance may be made either in person or by an attorney for the limited
purpose of objecting to jurisdiction. Every appearance not expressly
designated a special appearance will be considered to be a general appearance.
If the reasons for objecting to jurisdiction are not apparent from the papers
on file in the proceeding, the special appearance shall be supported by an affidavit
setting forth the reasons. In ruling upon any objection at any hearing, the hearing
officer may consider all matters apparent from the papers on file, affidavits
submitted by any party, and any other evidence offered upon disputed issues of
fact. No determination of any issue of fact in connection with the objection
is a determination of the merits of the case or any aspect thereof. A ruling
adverse to the movant does not preclude the making of any motion or defense
which might otherwise have been made. If the hearing officer sustains the
objection, an appropriate ruling shall be entered on the record. Error in
ruling against the objection is not waived by the objector's taking part in
further proceedings in this matter.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1030 SUBSTITUTION OF PARTIES
Section 176.1030 Substitution of Parties
A hearing officer shall, upon motion, rule on a request for
the substitution of parties in cases in which a party has died, resigned, been
moved, or otherwise succeeded to the interest of a previously named party.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1040 COMMENCEMENT OF ACTIONS - NOTICE OF HEARING
Section 176.1040 Commencement of Actions − Notice
of Hearing
a) Notice
of Hearing. A contested case is begun when the Office of the Secretary, upon
either the written request of the petitioner or its own initiative, serves a
Notice of Hearing upon the respondent. "Written request" means a
petition via facsimile, electronic transmission, or regular mail. The Notice
of Hearing must be sent by electronic transmission if the petitioner agrees to
receive the Notice of Hearing and Decision or Order via electronic
transmission.
b) The Notice of Hearing
shall include:
1) The
names and addresses of all known parties, including the department initiating
the hearing;
2) Whether
the hearing is at the request of the petitioner or a department;
3) The
time, date, and place of the hearing. The Department of Administrative
Hearings will try to accommodate a party's request regarding the location of a
hearing, but reserves the discretion to schedule a hearing at a site that is
mutually convenient for all parties involved, including witnesses, and subject
to the constraints imposed by budgetary and personnel considerations;
4) A
concise statement of facts (as distinguished from conclusions of law or a mere
recitation in the words of the statute):
A) the
alleged act or acts done by each petitioner or, when appropriate, the respondent;
B) either
the time, date, and place each such act was done or a concise statement of the
matters asserted;
C) the
rule, statute, or constitutional provision, if any, alleged to have been
violated or otherwise involved in the proceeding; and
D) the
relief sought by the petitioning party; and
5) A
statement to each party that:
A) each
party may be represented by legal counsel and may present evidence,
cross-examine witnesses, and otherwise participate in the hearing;
B) failure
to appear shall constitute a default, unless a party has, upon due notice to
other parties, moved for and obtained a continuance from the hearing officer;
and
C) delivery
of notice to the designated representative of a party constitutes service upon that
party.
c) Filing Fee
1) A
petition for a hearing will not be accepted for filing unless it is accompanied
by a filing fee of $50. This filing fee must be submitted in the form of a
money order or check made payable to the Secretary of State, or credit charge
(with a preapproved card).
2) This
filing fee will not be refunded to the party requesting a hearing if the
hearing proceeds, the party submits multiple petitions for a hearing to
different hearing locations simultaneously, the party withdraws from the
hearing or an order of default is entered. The party will be required to
submit another filing fee before another hearing will be scheduled.
3) When
a hearing is continued, the party requesting the hearing will not be required
to submit another filing fee.
4) When
the party requesting a hearing withdraws or defaults, the party will be
required to submit another filing fee before another hearing will be scheduled.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1050 MOTIONS
Section 176.1050 Motions
a) Form
of Motions. All motions must be made in writing and must set forth the relief
or order sought and must be filed with the Department of Administrative
Hearings at the earliest time to be considered by the hearing officer. Motions
may be hand delivered or sent by regular mail, courier, or facsimile
transmission. Motions must be sent to the hearing location designated in the
notice of hearing and are considered received on the date that they are
file-stamped by Department of Administrative Hearings personnel. Motions based
on information that does not appear on the record must be supported by an affidavit.
Motions may be presented by a party to obtain appropriate relief, such as dismissing
the proceedings, adding necessary parties, or extending time to comply with an
order.
b) Motions
to Correct or Reconsider. The Department will not consider motions to correct
a material misstatement of fact or to reconsider a decision made or an Order
entered in a formal hearing. The proper avenue for relief is to file a
complaint under the Administrative Review Law. [735 ILCS 5/Art. III]
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1060 FORM OF DOCUMENTS FILED - ORIGINAL DOCUMENTS REQUIRED
Section 176.1060 Form of Documents Filed − Original
Documents Required
a) Form
of Papers
1) All
papers filed in any proceeding must:
A) be
clearly written or typewritten;
B) contain
a caption showing the title of the proceeding with a case number:
C) be
signed or verified by the party filing the papers or that party's authorized
representative or attorney; and
D) contain
the party's address, telephone number, website, and email address, if
available.
2) An
original and one copy shall be filed by each party, except as provided in
subsection (b).
b) Original
Documents Required. If a document submitted under this Part has not been
previously submitted to the Department of Administrative Hearings, only the
original document will be accepted or admitted into evidence. "Original
document" means bearing the original signature of the petitioner or author
of the document, as applicable. Documents that are composed or created solely to
submit to the Secretary of State at a formal hearing must be submitted as
originals.
c) Documents
Sent by Facsimile or Electronic Transmission. Documents that must be submitted
as an original but are instead sent by facsimile or electronic transmission
will be accepted at the time of the hearing. However, the originals of the
documents must be submitted at a later date. The hearing officer will grant
leave to submit the originals within not more than 14 calendar days after the
hearing. The hearing officer will determine the specific number of days within
which the petitioner is allowed to submit the original, based on the individual
circumstances of each case.
d) Failure
to Submit. The petitioner's failure to submit an original document as required
in this Section will not in and of itself constitute, under any circumstance,
the sole basis for denying relief.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1070 CONDUCT OF FORMAL HEARINGS
Section 176.1070 Conduct of Formal Hearings
a) All
hearings conducted in any proceeding will be open to the public.
b) Every
hearing will be presided over by a hearing officer duly appointed by the
Secretary. The hearing officer will have the authority to conduct the hearing,
rule on all motions, administer oaths, subpoena witnesses or documents at the
request of any party, examine witnesses, and rule upon the admissibility of
testimony and evidence. The Secretary may also appoint a representative to
appear and participate in the hearing on the Secretary's behalf. Before
evidence is taken, the petitioner or respondent may request disqualification of
the hearing officer by making a motion for disqualification on the record that
states the specific grounds upon which it is alleged that the hearing officer
cannot provide a fair and impartial hearing. The hearing officer will rule
upon the motion. If the motion is denied, the hearing will proceed, or the
petitioner may withdraw from the hearing. If the motion is granted, the case will
be transferred to another hearing officer for a hearing on the same day if
possible. If it is not possible to schedule a hearing on the same day, the
Secretary will assign another hearing officer, who will schedule a new hearing
date.
c) Depositions and
Interrogatories
1) Upon
order of the hearing officer, for good cause shown, and upon reasonable notice
to other parties, any party, including the Department, may take, at its own
expense, the testimony of any party or person by deposition upon oral
examination or written questions for the purpose of discovery or for use as
evidence in the action in a contested case (for example, when the witness is
not available because of distance, time, cost to the party using the testimony,
sickness, infirmity, imprisonment, the witness being out of state, or similar
factors). The notice, order, or stipulation to take a deposition must specify
whether the deposition is to be a discovery deposition or an evidence
deposition. In the absence of specification, a deposition is a discovery
deposition only. If both discovery and evidence depositions are desired of the
same witness, they must be taken separately, unless the parties stipulate
otherwise or the hearing officer orders otherwise upon notice and motion. The
deposition must be taken in the manner provided by law for discovery and
evidence depositions in civil actions in the Circuit Courts of Illinois.
2) Any
party may direct written interrogatories to any other party. Interrogatories
must be restricted to the subject matter of the case to avoid undue detail and
the imposition of any unnecessary burden or expense on the answering party.
Sworn answers or objections to interrogatories directed to the Index Department
or the Secretary of State may be made by a designated agent, including the
Department's counsel, who shall furnish such information as is available.
Written interrogatories must be served on the opposing party not later than 15
business days before the hearing. Objections to questions or refusals to
answer will be heard as motions at the hearing before the hearing officer, who will
rule on the objection or refusal. Answers shall be sworn. If an answer to an
interrogatory can be obtained from documents in the possession or control of
the party on whom the interrogatories are served, it is a sufficient answer to
specify the documents and make them available to the inquiring party to inspect
and copy at the asking party's expense. This subsection (c)(2) does not apply
to objections or refusals to answer interrogatories.
d) Rules
of Evidence. The technical rules of evidence shall not apply. Any relevant
evidence may be admitted if it is the sort of evidence relied upon by
reasonably prudent people in the conduct of their affairs. The existence of
any common law or statutory exclusionary rule that might make improper the
admission of the evidence over objections in civil or criminal actions shall
not be a bar to the admissibility of otherwise relevant evidence. The rules of
privilege shall be followed to the same extent that they are now or may be
recognized in later civil actions. Irrelevant, immaterial, or unduly
repetitious evidence may be excluded upon objection. Objections to evidentiary
offers may be made and will be noted in the record and ruled upon by the
hearing officer. Any party may make an offer of proof following an adverse
evidentiary ruling. Subject to these requirements, when a hearing will be
expedited and the interests of the parties will not be prejudiced, any part of
the evidence may be received in written form. Subject to the evidentiary
requirements of this subsection, a party may conduct cross-examination required
for a full and fair disclosure of the facts.
e) List
of Witnesses and Bill of Particulars. Upon written request made at least 10
business days before the hearing, a party shall furnish to the other parties a
list of the names and addresses of prospective witnesses or written answers to
a written demand for a bill of particulars.
f) Inspection
of Documents and Interview of Parties
1) Any
party or its representatives shall have the right, upon the filing of a written
motion with proper proof of service, to inspect any relevant document in the
possession of or under the control of any other party before the formal
hearing. The inspection of documents shall occur at the location the formal
hearing is scheduled.
2) Any
party may file a written motion seeking to interview parties or persons having
knowledge of relevant facts, subject to any statutory or constitutional
privileges. Upon order of the hearing officer, for good cause shown, and upon
reasonable notice to other parties, any party, including the Department of
Administrative Hearings, may interview at its own expense, parties or persons
having knowledge of relevant facts. Interviews of persons and inspection of
documents shall be at times and places reasonable for the persons and the
custodian of the document.
g) Admissions.
A party may serve on any other party a written request for the admission by
the latter of the truth of any specified relevant fact in the request or for
the admission of the genuineness of any relevant documents described in the
request. Copies of the documents shall be served with the request unless
copies have already been furnished.
h) Right
to Call Witnesses, Cross-Examine, Subpoena Documents and Introduce Exhibits.
Each party shall have the right to request the subpoena of witnesses, to call
and examine witnesses, to introduce exhibits, and to cross-examine witnesses on
any matter relevant to the issues even if that matter was not covered in the
direct examination. Applications to the hearing officer assigned to the case
for subpoenas duces tecum must specify the books, papers and documents desired
to be produced.
i) Pre-hearing
Conference. At the request of any party or upon the hearing officer's own
motion, the hearing officer may call a pre-hearing conference. At the
conference, the parties or their representatives shall appear as the hearing
officer directs. Matters that may be considered at a pre-hearing conference
include, but are not limited to:
1) The
simplification of the issues;
2) Amendments
to the grounds for action;
3) The
possibility of obtaining admissions, stipulations of fact, and documents that
will avoid unnecessary proof;
4) The
limitation of the number of expert witnesses; and
5) Any
other matters that may aid in the disposition of the contested case.
j) Order
from Pre-hearing Conference. After a pre-hearing conference, the hearing
officer will enter an order reciting any action taken, any agreements made by
the parties as to any of the matters considered, and the issues to be heard.
k) Oath. Testimony shall
be taken only on oath or affirmation.
l) Stipulations.
Parties may agree by stipulation upon any facts involved in the hearing. The
facts stipulated shall be considered as evidence in the hearing.
m) Official
Notice. The hearing officer may take official notice of past hearings and of
any matter of which the Circuit Courts of Illinois may take judicial notice.
In addition, official notice may be taken of generally recognized technical or
scientific facts with the Department's specialized knowledge. Parties will be
notified either before or during the hearing, or by reference in preliminary
reports or otherwise, of the material noticed, including staff memoranda and
data, and they will be given an opportunity to contest the material so noticed.
The Department's and the hearing officer's experience, technical competence,
and specialized knowledge may be used in the evaluation of the evidence.
n) Rights
of Parties. Each party shall have the right to rebut the evidence against that
party, to appear in person, and to be represented by counsel. If a party does
not testify on its own behalf, it may be called by the Secretary of State's
representative and examined as if under cross-examination.
o) Opening
and Closing Statements. Upon the opening of the hearing, the hearing officer will
allow the parties to make opening statements. Opening statements may not be
made at any other time, except at the discretion of the hearing officer. Upon
the close of the hearing, each party may make a closing statement orally, by
written brief, or both, at the discretion of the hearing officer, incorporating
arguments of fact and law. A written brief may be required when the hearing
officer determines that the facts and issues are complicated and the parties
must plead their cases in writing for the record.
p) Exhibits.
All exhibits must be clearly marked for identification and admitted into
evidence by the hearing officer.
q) Cross-examination
of Witnesses. In the hearing of any case, any party may call any other party
or its agent as an adverse witness and examine that witness as if under
cross-examination. The adverse party calling for the examination is not bound
by the testimony of the adverse witness, but may rebut the testimony given and
impeach the witness by proof of prior inconsistent statements. If the hearing
officer determines that a witness is hostile or unwilling, the witness may be
examined by the party calling the witness as if under cross-examination. The
party calling an occurrence witness may, upon showing that the party called the
witness in good faith but is surprised by the testimony, impeach the witness by
proof of prior inconsistent statements.
r) Burden
of Proof. The general burden of proof is upon the petitioner for any relief in
a hearing. The standard of proof is the preponderance of the evidence.
s) Interpreters
and the Deaf and Hard of Hearing. The Secretary will provide, upon prior
written request, an interpreter for parties who are deaf or hard of hearing and
wish to testify. Providing a language interpreter, however, is the
responsibility of the petitioner or respondent.
t) Report of Proceedings
and Obtaining a Copy of Record
1) The
Department of Administrative Hearings will, at its expense, have present at
each formal hearing an electronic or digital recording device or a qualified
court reporter to make a permanent and complete report of the proceedings,
including evidence admitted or tendered and not admitted, testimony, offers of
proof, objections, remarks of the hearing officer and of the parties and their
representatives, and all rulings of the hearing officer.
2) Upon
written request and at the party's own expense, any party may obtain a copy of
the report of proceedings from the court reporter or the electronic device from
the Department of Administrative Hearings. The party must pay $25 to the
Secretary of State, in advance, to cover the cost of making an electronic or
digital copy and mailing.
u) Motions to Continue and
Withdraw and Leave to Submit Original Documents
1) Motions
to Continue by a Petitioner or Respondent and Grounds. Hearings before the
Department of Administrative Hearings will be continued only pursuant to a
motion that complies with Section 176.1050 and is filed on or before the date
of the hearing, made over the telephone before or on the date of the hearing,
or made in person on the day of the hearing. The movant shall set forth the
grounds for the motion, which are limited to unforeseen, unavoidable, or
uncontrollable circumstances, such as an Act of God, the recent discovery of
new evidence, the sudden illness or death of the movant, a member of the movant's
immediate family, or the movant's legal counsel, or if the movant can
demonstrate some other real and compelling need for additional time. A Motion
to Continue may be supported by evidence that tends to prove the grounds
alleged, including sworn testimony taken at a motion hearing on the day of the
hearing. The inability to obtain transportation to the hearing site or a party's
failure or inability to obtain the documentation required to fulfill the
minimum requirements to be issued relief are not circumstances that justify
continuing a hearing.
2) Continued
to a Date Certain. A formal hearing will not be continued "generally".
A continuance, if granted, will state a date certain on which the hearing shall
reconvene. If the petitioner is not prepared to go forward after the first
continuance, a request to withdraw must be submitted or an Order of Default
shall be entered.
A) Written
Motions to Continue filed at least 15 days before the date of the hearing
specified in the Notice of Hearing or notice of a continued hearing date will
be given priority in rescheduling over motions filed or made less than 15 days before
the date of the hearing or made on the date of the hearing. The Department
will rule upon Motions to Continue filed at least 15 days before the date of
the hearing and, when possible, notify the movant of its ruling before the date
of the hearing. If the motion is denied, the movant must appear at and proceed
with the hearing or withdraw from the hearing or an Order of Default shall be
entered.
B) Motions
to Continue made by telephone less than 15 days before the date of the hearing
specified in the Notice of Hearing or notice of a continued hearing date must
also be filed in writing and received or postmarked no more than 5 days after
the date of the hearing to be considered. A Motion to Continue made in writing
less than 15 days before the date of the hearing specified in the Notice of
Hearing or notice of a continued hearing date must be received and postmarked
no more than 5 days after the date of the hearing. The Department of
Administrative Hearings cannot assure the movant that it will rule upon these
motions before the date of the hearing.
C) It is
the responsibility of the movant to inform the Department of Administrative
Hearings, in the Motion to Continue or during a telephone conversation, what
course of action the movant wishes to take if the motion is denied (either to
appear and proceed with the hearing, withdraw, or default). In all cases, it
is also the responsibility of a movant who has not been notified of the
Department's ruling to contact the Department of Administrative Hearings on or
before the day of the hearing to determine whether the hearing officer has
ruled on the motion. A movant's failure to appear after a Motion to Continue
is denied will result in the entry of an Order of Default.
3) Motions
Made by the Secretary or the Index Department. The Department may also make or
file a Motion to Continue for unforeseen, unavoidable, or uncontrollable
circumstances, such as an Act of God, the recent discovery of new evidence, the
sudden illness or death of the hearing officer, the attorney representing the
Secretary of State, a witness, or a member of the immediate family of one of
these entities, or if the Department can demonstrate some other real and
compelling need for additional time.
4) Motions
to Withdraw. Except as provided in this subsection (u)(4), a petitioner may
withdraw from a hearing for any reason. A Motion to Withdraw made in person or
by telephone on or before the day of the hearing must be followed up with a
written motion that is received no more than 10 days after the date of the
hearing. A Motion to Withdraw made in writing must be received or postmarked not
more than 10 days after the date of the hearing. Failure to do so will result
in an Order of Default. Once a petitioner is placed under oath, a request to
withdraw from a hearing that, in the hearing officer's judgment, is based upon
surprise evidence presented or adverse evidence shall not be granted. Upon
withdrawal, the requested relief will not be considered and the petition is
dismissed. Should the petitioner request another hearing, it must be done in
writing and it will be treated as any other request for a hearing.
5) Motions
for Leave to Submit Original Document. As provided in this subsection (u), the
petitioner may request leave to submit original documents if the petitioner
proceeds with the hearing, offering copies of documents when originals are
required. The hearing shall be completed and the petitioner shall be granted
leave to submit the original documents.
6) Attorney's
Appearance on File. A Motion to Continue or Withdraw made by any attorney on
behalf of a petitioner or respondent will not be considered unless the attorney
has filed a written notice of appearance as provided in Section 176.1010.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1080 ORDERS, NOTIFICATIONS, AND TIME LIMITS ON OBTAINING RELIEF
Section 176.1080 Orders, Notifications, and Time Limits
on Obtaining Relief
a) The
Department shall prepare a written order for all final determinations, which
shall include the Findings of Fact, Conclusions of Law, Recommendations of the hearing
officer, and the Order of the Secretary.
b) The
hearing officer shall prepare the Findings of Fact, Conclusions of Law, and
Recommendations to the Secretary. The Findings of Fact and Conclusions of Law
must be stated separately.
c) The
Order of the Secretary shall be the decision of the Office of the Secretary of
State upon the application for relief.
d) The
Department of Administrative Hearings shall notify all parties or their agents
personally, by facsimile, regular mail, or electronic transmission, of the
Findings of Fact, Conclusions of Law, Recommendations, and the Order. If it is
the Order of the Secretary to grant the petitioner relief, then the Department
of Administrative Hearings will also provide instructions on what steps the
petitioner must take to obtain the relief. The failure to follow and complete
these instructions will result in the denial of relief.
e) An
Order of Default will be entered against the petitioner or respondent who fails
to appear for a hearing at the scheduled time and has failed to request or been
granted a continuance under Section 176.1070(u).
f) Orders
resulting from formal hearings are final administrative orders within the
meaning of the Administrative Review Law [735 ILCS 5/Art. III].
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1090 RECORD OF HEARINGS
Section 176.1090 Record of Hearings
a) The record of the
hearing in a contested case shall include:
1) All
pleadings (including all pre-hearing and post-hearing notices and responses
thereto, admissions, stipulations of facts, motions, and rulings thereon);
2) All
documentary evidence;
3) A
statement of matters officially noticed;
4) A
transcript of the proceedings;
5) The
Findings of Fact, Conclusions of Law, and Recommendations of the hearing
officer; and
6) The
Order of the Secretary of State, which shall constitute a final administrative
decision within the provisions of the Illinois Administrative Review Law [735
ILCS 5/Art. III].
b) The
record will be certified by the hearing officer or the Director of
Administrative Hearings upon any complaint for administrative review. The
Department will prepare an index of the record, with each page of the record
numbered in sequence.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.1095 INVALIDITY
Section 176.1095 Invalidity
If any portion of this Subpart shall be held by a court of
competent jurisdiction to be invalid, that holding shall not affect the
remaining portions.
(Source: Added at 47 Ill. Reg. 8640,
effective June 5, 2023)
Section 176.ILLUSTRATION A: Nonresident Notary Public Affidavit of Applicant
| TITLE 14: COMMERCE
SUBTITLE A: REGULATION OF BUSINESS
CHAPTER I: SECRETARY OF STATE
PART 176
NOTARY PUBLIC RECORDS
SECTION 176.ILLUSTRATION A: NONRESIDENT NOTARY PUBLIC AFFIDAVIT OF APPLICANT
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