TITLE 68: PROFESSIONS AND OCCUPATIONS
CHAPTER VIII: DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION
SUBCHAPTER b: PROFESSIONS AND OCCUPATIONS
PART 1450 REAL ESTATE LICENSE ACT OF 2000
SECTION 1450.930 CASE FILE REVIEW COMMITTEE
Section 1450.930 Case File Review Committee
a) The Department and the Board may appoint a Case File Review Committee that shall be composed of at least 2 voting members of the Board, the Real Estate Coordinator, the Real Estate Chief of Investigations and the Real Estate Chief of Prosecutions or their designees. The Case File Review Committee members may take action set forth in this Section in person or through other means of communication.
b) The Case File Review Committee may exercise the following duties and responsibilities:
1) Recommend whether a case file be closed or refer the case file to Investigations or Prosecutions for further review and action.
2) 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 nor shall a prior recommendation of standard disposition restrict the Case File Review Committee from recommending a different disposition in individual cases;
3) Review reports and files submitted to the Case File Review Committee;
4) Request and review any investigation or prosecution files that the Department may have closed; and
5) Meet, concurrently or independently on an as needed basis and at the discretion of the Department, with members of the regulatory staff or Board members of related professions, including but not limited to auctioneers, appraisal, community association managers, home inspectors, mortgage loan originators or mortgage brokers, to discuss interrelated professional matters as needed.
c) The Division shall prepare a monthly report to be presented to the Case File Review Committee indicating the following information:
1) Number of investigation case files closed;
2) Number of prosecution case files closed;
3) Number of pending case files in the Division's Investigation Unit;
4) Number of pending case files in the Division's Prosecution Unit;
5) Number of reports and copies of any reports received from any peer review advisors used by the Division during the preceding month.
d) The Case File Review Committee shall report a summary of its actions and findings at each Board meeting.
e) The Case File Review Committee in determining what action to recommend or take or whether to recommend that the Division proceed with a formal complaint, investigation and/or prosecution of a case file, 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) any indication of 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 the appearance of a conflict of interest, or prejudice would prevent that Case File Review 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.
g) Any 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).
h) Nothing is this Section shall require the Department to utilize the services of the Case File Review Committee to close any case file; however, the Department shall be required, as set forth in this Section, to advise the Case File Review Committee of such actions that are taken by the Department.
(Source: Amended at 43 Ill. Reg. 1975, effective January 25, 2019)