Section 1450.250  Case File Review Committee

a)         The Real Estate Case File Review Committee of the Real Estate Administration and Disciplinary Board, authorized by Sections 20-60(c) and 25-10 and 25-15(4) of the Act, shall be composed of at least 2 voting members of the Real Estate Administration and Disciplinary Board as appointed by the Assistant Director of Real Estate Professions with approval of the Board, the Assistant Director, an Investigation Supervisor and Chief of Prosecutions.

b)         The Case File Review Committee shall meet at least once every 2 months to exercise its functions and duties as set forth in subsection (c).  The Case File Review Committee members may take the actions listed in subsection (d) without meeting in person, but through other communication. The Case File Review Committee may meet concurrently with members of the regulatory staff or Board members of related professions, including, but not limited to Auctioneers, Land Sales, Time Share, Appraisal, Mortgage Brokers to discuss interrelated professional matters. The Case File Review Committee shall make every effort to consider expeditiously and take prompt action on each item on its agenda.

c)         A "complaint" means the initial claim or allegation made against a licensee which results in a preliminary investigation to determine whether or not a formal complaint shall be brought. "Case file" means a complaint has been made against a licensee that resulted in a preliminary inquiry and information has been sought pursuant to the Act and this Part in order to determine whether a formal complaint should be initiated and/or prosecution pursued.

d)         The Case File Review Committee shall have the following duties and functions:

1)         Shall recommend whether a case file be closed or refer the case file to Prosecutions for further review and action.

2)         May recommend that an Administrative Warning Letter be issued, with or without a compliance agreement that may include an administrative fee pursuant to Section 1450.95(h)(11), and the case file closed. A case file may be closed without an Administrative Warning Letter if the Case File Review Committee deems it appropriate.

3)         May recommend that cases of similar types of allegations be offered a standard disposition within a range recommended by the Board. A recommendation of an offer of standard disposition shall not restrict the Board from hearing an individual case at a hearing and issuing a recommendation based upon the individual facts and evidence in rebuttal, mitigation or aggravation in the individual matter.

4)         May expedite a case file to Prosecutions if, in the opinion of the Assistant Director of Real Estate Professions, Investigation Supervisor, or Chief of Prosecutions, the matter requires immediate attention. Case files requiring immediate attention may include, but are not limited to: conduct involving fraud, dishonesty, embezzlement, or unlicensed practice; actual or imminent harm or injury to a member of the public; reports of an escrow account shortage or discrepancies; or, refusal to provide escrow account records or related documents within the required time period.

5)         Shall report a summary of the actions of the Case File Review Committee at each Board meeting.

e)         In determining what action to take or whether to proceed with a formal complaint, investigation and prosecution of a case file, the Case File Review Committee shall consider factors including, but not limited to:

1)         the effect on the public's health, safety and welfare;

2)         any indication of fraud;

3)         commingling or embezzlement;

4)         evidence of escrow account shortages or discrepancies;

5)         refusal to provide escrow account records or related documents within the required time period; or

6)         prosecutorial merit.

f)          Disqualification of a Case File Review Committee member:

1)         A Case File Review Committee member shall be recused from consideration of a case file when a conflict of interest or prejudice would prevent that Committee member from being fair and impartial.

2)         Participation in the initial stages of the handling of a case file, including participation on the Case File Review Committee and in informal conferences, shall not bar a Case File Review Committee member from later participating in decision making relating to that case file as a formal complaint or prosecution.

g)         Meetings of the Case File Review Committee are an exception to the Open Meetings Act and shall be closed to the public, in accordance with 5 ILCS 120/2(c)(15).

(Source:  Amended at 30 Ill. Reg. 11075, effective June 8, 2006)