Section 980.160  Sources for Determining Responsibility

To determine an A/E's responsibility, CDB may utilize information obtained from one or more of the following sources.  In evaluating the information, greater consideration shall be given to the A/E's most recent projects and projects with CDB.

a)         A/E prequalification application form.

1)         A/E applications shall require at a minimum:

A)        Completed application form;

B)        The disclosure of the name of each key person associated with the firm, and their respective percentage of ownership;

C)        Work experience relevant to the type of practice and profile codes requested;

D)        Copies of the individual licenses for sole ownership firms transacting business under the individual's real name and applicable professional design firm registration with the Department of Professional Regulation for all firms;

E)        Certification of compliance with statutory requirements;

F)         Work history reference checks.  References obtained may be verified and documented by the following methods:

i)          Telephone reference checks; or

ii)         Reference questionnaire; and

G)        CDB work history, if CDB projects have been awarded.

2)         Application updates

The A/E shall have an affirmative duty to update significant information within 10 days after occurrence.  Failure to disclose as required may lead to action on prequalification.  (See Section 980.310(c).)  Significant changes, of which CDB shall be notified, include, but are not limited to:

A)        Change of entity corporate structure, including sole owners, partnerships, and federal employee identification number;

B)        Change of name;

C)        Change of address;

D)        Change or loss of personnel in areas that may affect the types of professional practice or profile codes that may have been granted;

E)        Minority/Female owned firm status;

F)         Change or initiation of hearing in licensure or registration status with the Department of Professional Regulation;

G)        Loss of Secretary of State "good standing" status;

H)        Filing of bankruptcy;

I)         Filing of formal criminal charges against the firm or its officers, owners or employees;

J)         Suspension or debarment by another governmental agency; and

K)        Contract terminations.

b)         Satisfactory CDB work history

CDB may review documentation of the A/E's current and past work and performance history, including adherence to CDB's rules, resolutions, and procedures.  Such documentation includes, but is not limited to, performance evaluations prepared by CDB, user agencies, or contractors.

c)         Other governmental entities

CDB may conduct history reference checks by contacting Federal, State or local governmental entities.

d)         Other sources

In order to determine responsibility, CDB may conduct reference checks or gather relevant information from any other source, which may include, but is not limited to:

1)         Financial institutions;

2)         Periodicals;

3)         Newspapers;

4)         Court records;

5)         Dun and Bradstreet reports;

6)         Audited financial statements;

7)         Any type of public record.

e)         Previous employment history

For any newly organized firm or a firm with a limited work history, CDB may conduct individual performance reference checks on any or all personnel.

f)         Additional information

CDB may request additional information from the A/E at any time.

(Source:  Amended at 25 Ill. Reg. 10759, effective August 10, 2001)