14 Ill. Adm. Code 176.805
Electronic Notarization System Provider Registration, Information Submitted for Registration, and Confidentiality of Certain Information
Section 176.805Â Electronic Notarization System Provider
Registration, Information Submitted for Registration, and Confidentiality of
Certain Information
a)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â The legal name of the
provider;
2)Â Â Â Â Â Â Â Â The type of business
organization of the provider;
3)Â Â Â Â Â Â Â Â The
mailing address, physical address, email address, and website address of the
provider;
4)Â Â Â Â Â Â Â Â The
name and phone number of a contact person for the provider;
5)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Copies
of publicly available policy and procedure manuals and training materials that
are used for training or usage in Illinois;
9)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â A
declaration that the system complies with the laws of the State of Illinois
governing electronic notarial acts.
d)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â The
Secretary of State will certify a system if it meets all of the following
requirements:
1)Â Â Â Â Â Â Â Â Provides
secure access to the system by two-factor verification or another secure means
that identifies the electronic notary public accessing the system;
2)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Provides
for uninterrupted, continuous, and simultaneous audio-video communication
between an electronic notary public and a principal;
4)Â Â Â Â Â Â Â Â Provides
audio-video communication with a video resolution and audio quality that
ensures that:
A)Â Â Â Â Â Â Â An
electronic notary public and a principal can see, hear, and communicate with
each other in real time; and
B)Â Â Â Â Â Â Â An
electronic notary public can match the appearance of a principal with the
credential presented by the principal;
5)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â 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)Â Â Â Â Â Â 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)Â Â Â Â Â Â Prevents
unauthorized access to:
A)Â Â Â Â Â Â Â An
audio-video communication between an electronic notary public and a principal;
B)Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Any
personally identifiable information used in a credential analysis, identity
proofing, or any other part of an audio-video communication, including without
limitation:
i)Â Â Â Â Â Â Â Â Â A
method of credential analysis and the output of that analysis;
ii)Â Â Â Â Â Â Â Â Any
credential presented to an electronic notary public;
iii)Â Â Â Â Â Â Â The
questions and answers used to conduct a dynamic knowledge-based authentication
assessment; and
iv)Â Â Â Â Â Â Â The
principal's birthdate, Social Security number, and other personally
identifiable information;
D)Â Â Â Â Â Â Â The
electronic document on which an electronic notarial act was performed; and
13)Â Â Â Â Â Â 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)Â Â Â Â Â Â Submits
the following plans:
A)Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â A
business continuity plan in the case of business interruptions that last longer
than two weeks; and
C)Â Â Â Â Â Â Â A business
termination and succession plan in the case of the termination of business by
the electronic notarization system provider.
f)Â Â Â Â Â Â Â Â 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.Â
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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Â 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.Â
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)Â Â Â Â Â Â Â Â Services
That Must Be Provided. After certification or recertification by the
Secretary, providers shall provide the following services and meet the
following requirements:
1)Â Â Â Â Â Â Â Â The
provider shall only allow the use of systems that have been authorized in
Illinois under this Section;
2)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Providers
must maintain records related to enrolled electronic notaries for 7 years after
the electronic notary disenrolls from the system.
10)Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Failure
to provide information, as requested, to the Secretary of State in a timely
manner;
2)Â Â Â Â Â Â Â Â Failure
to maintain liability insurance as required;
3)Â Â Â Â Â Â Â Â Failure to comply with
the duties and obligations contained in this Part;
4)Â Â Â Â Â Â Â Â Failure
to provide Illinois electronic notaries with correct information regarding the
requirements of this Section;
5)Â Â Â Â Â Â Â Â Failure
to report enrollments and disenrollments to the Secretary within seven days after
the enrollment or disenrollment;
6)Â Â Â Â Â Â Â Â Failure
to inform the Secretary of suspension or decertification from service in
another jurisdiction within 30 days;
7)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â Allowing
enrollment by a person that is not commissioned as an electronic notary in
Illinois;
9)Â Â Â Â Â Â Â Â Failure to meet any of
the requirements of the Act or this Subpart; and
10)Â Â Â Â Â Â Â Solicitation
of an Illinois electronic notary for any service or product other than the
system that has been certified.
11)Â Â Â Â Â Â Â Has
ceased operation as an electronic notarization system provider in the State of
Illinois.
n)Â Â Â Â Â Â Â Â 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.Â
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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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)Â Â Â Â Â Â Â Â 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.