Section 310.30  Institution of a Contested Case by the Department

 

a)         A contested case is instituted by the Department when a Complaint and notice are:

 

1)         deposited with the U.S. Postal Service by regular, certified or registered mail, postage prepaid, addressed to the licensee's last known address;

 

2)         or delivered to the licensee by personal service.

 

b)         A Complaint shall be in writing, be signed by the Director, and include a clear statement of the acts or omissions alleged to violate a statute or rule and citation of the statute or rule.

 

c)         A notice shall be in writing, shall contain the date, time, place and nature of the hearing to be held, shall refer to the Comptroller's Rules of Practice, and shall comply with the notice requirements of Section 310.80.

 

d)         In addition, prior to refusing to issue, revoking or suspending a license, the Comptroller shall institute a contested case as provided in this Section.

 

e)         Unless precluded by law, disposition may be made of any contested case by stipulation, agreed settlement, consent order, or default. [5 ILCS 100/10-25]

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.40  Institution of a Contested Case by Petitioner

 

a)         A contested case is instituted by a petitioner when a Petition for Hearing is mailed to the Comptroller, Attention:  Legal Department.

 

b)         In a case in which a petitioner is seeking restoration of a license that was revoked or suspended, the Petition for Hearing shall be in writing, signed by the petitioner, and shall set forth:

 

1)         The number of the certificate that was suspended or revoked;

 

2)         The docket number of the case;

 

3)         The date on which the suspension or revocation was ordered;

 

4)         Whether an order has been entered appointing a Receiver and, if so, whether that order has been appealed;

 

5)         Whether the order that suspended or revoked the license was appealed and, if so, whether a stay of the imposition of the Comptroller's order was granted by any reviewing court;

 

6)         All dates and types of employment held since the date of the Comptroller's order;

 

7)         Any arrests or convictions since the date of the Comptroller's order; and

 

8)         Date and disposition of any other petitions for restoration filed since the date of the Comptroller's order.

 

c)         In a case in which a petitioner seeks to contest a decision by the Comptroller to deny his or her application for licensure, the Petition for Hearing shall be in writing, signed by the petitioner, and shall state with specificity the particular reasons why the applicant believes that the action by the Comptroller to deny licensure was incorrect.

 

d)         Upon receipt by the Comptroller of a properly completed Petition for Hearing (eg., completed in accordance with this Section or Sections 310.30, 310.60 and 310.80), a case will be docketed and notice will be sent to the petitioner setting forth the date, time and place of hearing.

 

e)         Unless precluded by law, disposition may be made of any contested case by stipulation, agreed settlement, consent order, or default.  [5 ILCS 100/10-25]

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.50  Joinder

 

In the interest of the efficient disposition of related cases, the Comptroller may join cases relating to multiple licensees or petitioners without regard to whether the cases relate to the same license or licensed activity so long as the cases involve issues of law or fact which are common to the parties pursuant to the standards adopted under Section 2-404 of the Code of Civil Procedure.  The respondent may contest the decision to join cases by filing a motion pursuant to Section 310.210 of this Part.

 

Section 310.60  Form of Papers

 

All papers filed or submitted to the Department or the Comptroller in a contested case shall be typewritten, on 8½ by 11 inch white paper. The first page of each document shall set forth the names of the parties and the docket number assigned to the case by the Comptroller.  Petitions for Hearing which are filed before a docket number is assigned shall contain a space for entry of the assigned number.

 

Section 310.70  Service

 

a)         Service of any document may be by mail or by personal delivery.  Proof of service will be attached to the original of any document served.  In the absence of evidence to the contrary, the date shown on the proof of service shall be deemed the date of service.

 

b)         Service on the Comptroller, Director, or on the Department, is made by service on the Comptroller or Director, at the Chicago headquarters, or at the Springfield headquarters.

 

c)         Service of any document as provided in the above paragraph will include at least three copies of the documents served.

 

Section 310.80  Notice

 

a)         Notice shall include:

 

1)         A statement of the time, place and nature of the hearing;

 

2)         A statement of the legal authority and jurisdiction under which the hearing is held;

 

3)         Except where a more detailed statement is otherwise provided for by law, a short and plain statement of the matters asserted, the consequences of a failure to respond, and the official file or other reference number. [5 ILCS 100/10-25(a)(4)]

 

4)         The names and mailing addresses of the hearing officer, all parties, and all other persons to whom the Office of the Comptroller gives notice, unless otherwise confidential by law. [5 ILCS 100/10-25(a)(5)]

 

b)         The licensee will be given at least 10 days notice prior to the first date set for the preliminary hearing or hearings, as the case may be.  Once notice is given, it will thereafter be the responsibility of the licensee to become acquainted with subsequent hearing dates.

 

c)         Nothing in this Section will prevent the Comptroller from scheduling a hearing within 10 days, upon the agreement of the parties.

 

d)         Any contention that improper notice was given will be deemed waived unless it is raised by the licensee prior to argument on any other motion or, if no other motions are presented, prior to the commencement of opening statements.

 

e)         Proper notice is given when a notice is deposited with the U.S. Postal Service, by regular, certified or registered mail, postage prepaid, addressed to the licensee's last known address, or is delivered to the licensee by personal service.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.90  Prehearing Negotiations

 

The Department and the Respondent may stipulate to facts and may agree to enter written orders conditioned upon the Comptroller's acceptance.  The signature of the Comptroller shall signify consent to the agreement.  The signed agreement shall be considered the Conclusions of Law and Findings of Fact.  If the Comptroller rejects the agreement, the Respondent shall be entitled to a hearing on the merits.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.100  Representation

 

a)         A party may be represented by an attorney who is licensed in Illinois. Attorneys who appear in a representative capacity must file written notice of appearance setting forth:

 

1)         The name, address and telephone number of the attorney;

 

2)         The name and address of the party represented; and

 

3)         An affirmative statement indicating that the attorney is licensed in Illinois.

 

b)         An attorney may withdraw from employment as a representative only upon written notice to the Comptroller that states his or her specific reasons for withdrawal.

 

c)         Any individual may appear on his or her own behalf.

 

d)         Attorneys appearing before the Comptroller or hearing officer shall conform their conduct to Article VIII of the Illinois Supreme Court Rules (Illinois Rules of Professional Conduct of 2010). In the event there is behavior that substantially impairs the administration of the Acts or the conduct of the hearing, the Comptroller or hearing officer shall take the following actions in a progressive manner:

 

1)         Substitution of written argument in place of oral argument;

 

2)         Exclusion of an attorney from the proceeding;

 

3)         Suspension or revocation of an attorney's right to appear before the Comptroller or hearing officer.

 

e)         If any of the actions described in subsection (d) are taken by the Comptroller or hearing officer, it shall be done as a matter of record, and the Comptroller or hearing officer shall state for the record the specific reasons for that action.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.110  Failure to Appear

 

Failure to appear at the time and place set for hearing shall be deemed a waiver of the right to present evidence.  After presentation by the Department of an offer of proof that the licensee was given proper notice, the Comptroller shall enter an order or the hearing officer shall make its recommendation.  When a petitioner fails to appear, the Petition for Hearing shall be dismissed.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.120  Amendment, Withdrawal of Complaints and Petitions for Hearing

 

a)         The complaint may be amended at any time.  An amended Complaint may be filed in the same manner as a Complaint, or it may be presented to the Comptroller or hearing officer during the course of the hearing.  A continuance shall be granted whenever the amendment materially alters the Complaint, and when the licensee demonstrates that he or  she would otherwise be unable to properly prepare an Answer to the Amended Complaint or prepare his or her case.  "Materially altered" means the addition of a new issue of law or allegation of fact that may affect the decision to which the party has not had an opportunity to respond.  Continuances will be granted for no more than 30 days.

 

b)         A Complaint or Petition for Hearing may be withdrawn at any time prior to the hearing by the party who initiated it.  After a hearing has begun, a Complaint may be withdrawn only upon written notice to the Comptroller or hearing officer.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.130  Requirement of an Answer

 

a)         In all contested cases instituted by the Department, the licensee shall file an Answer within 10 days after the date on which the Complaint was filed.  The Answer shall be in writing, signed by the licensee or his or her representative, and shall contain a specific response to each allegation in the Complaint.  The response shall either admit or deny the allegation, or shall state that the licensee has insufficient information to admit or deny the allegation.

 

b)         Any Answer that states that the licensee has insufficient information to admit or deny the allegation shall be accompanied by an affidavit attesting to the truth of this assertion.

 

c)         On motion by the Department, the Comptroller or hearing officer will cause to be issued a notice to plead or be held in default.  If, within 15 days after issuance of the notice, the Respondent does not answer or otherwise file a responsive Pleading, the Respondent will be held in default.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.140  Discovery

 

a)         Discovery shall not be the subject of motions presented to the Comptroller or hearing officer, except when a motion is made alleging failure to comply with this provision, and requesting relief in the form of dismissal of the case, or recommendation to the Comptroller based on the pleadings without a hearing.

 

b)         Upon written request served on the opposing party, any party shall be entitled to:

 

1)         The name and address of any witness who may be called to testify;

 

2)         Copies of any document which may be offered as evidence; and

 

3)         A description of any other evidence which may be offered.

 

c)         The above information will be provided within ten days of service of a request.

 

d)         Whether or not a request is made, during discovery a licensee shall be entitled to any exculpatory evidence in the Comptroller's or the Department's possession.  Exculpatory evidence is any evidence which tends to support the licensee's position or to call into question the credibility of a Department witness; and

 

e)         Upon a written request served on the licensee, at any time after a Complaint is filed, or at any stage of the hearing, the licensee will be required to produce documents, books, records or other evidence which relate directly to conduct of the licensed business.

 

f)         Nothing in this Section shall prevent the parties in a contested case from agreeing to a mutual exchange of information which is more extensive than what is provided for herein.  Where the parties agree to the use of an evidence deposition, such agreement will be in writing, and will operate as a waiver of any objection not made during the deposition, except for an objection that the testimony of the witness is not relevant to the case.

 

g)         This provision will be construed to impose a continuing obligation upon the parties to exchange new information as it becomes available.

 

Section 310.150  Subpoenas

 

a)         The Comptroller will issue subpoenas for the attendance of witnesses or production of books, records, documents or other evidence.

 

b)         Any licensee or petitioner seeking issuance of a subpoena shall apply in writing to the Comptroller, setting forth facts that purport to demonstrate that the subpoena is relevant to the disputed matter and is required.  Upon refusal by the Comptroller to issue any subpoena, the licensee will be entitled to a hearing before the Comptroller or hearing officer, to be conducted as a matter of record.

 

c)         Service of subpoenas shall be as provided in 735 ILCS 5/2-1101 (Illinois Code of Civil Procedure).  Payment of witness fees and expenses shall be as provided in the Illinois Circuit Courts Act.  705 ILCS 35/4.3 (the Illlinois Circuit Courts Act).

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.160  Prehearing Conference

 

a)         After a case is instituted, upon the written motion of either party, or on his or her own motion, the Comptroller or the hearing officer shall direct the parties to attend a prehearing conference.  The prehearing conference may be conducted by telephone at the discretion of the hearing officer.

 

b)         Unless waived by the parties, the conference will be conducted as a matter of record.  Participation by the Director, the Comptroller or a hearing officer will not affect his or her rights to participate in a subsequent hearing on the matter.

 

c)         The purposes of the conference include:

 

1)         Simplification of issues;

 

2)         Limitation of issues;

 

3)         Negotiating admissions or stipulations;

 

4)         Limitation of witnesses or evidence;

 

5)         Exchange of exhibits; or

 

6)         Discussion of any other matter that may aid in efficient disposition of the case.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.170  Hearings

 

The sequence to be followed for all contested cases is as follows:

 

a)         Preliminary Hearing.  The preliminary hearing may be conducted by telephone at the discretion of the hearing officer.  The purpose is to set a date on which all parties expect to be prepared, and to rule on any preliminary motions that are presented.  This may be eliminated by agreement of the parties and the Comptroller or hearing officer.

 

b)         Prehearing Conference – Optional.  The purposes are set out in Section 310.160. The prehearing conference may be conducted by telephone at the discretion of the hearing officer.

 

c)         Hearings

 

1)         Preliminary matters – Motion, attempts to narrow issues or limit evidence.

 

2)         Opening Statements – The party bearing the burden of proof proceeds first.

 

3)         Case in Chief – Evidence and witnesses are presented by the party bearing the burden of proof.  As witnesses' testimony is completed, they are subject to cross-examination.

 

4)         Defense – Evidence and witnesses may be presented by the opposing parties.

 

5)         Closing Statements – The party bearing the burden of proof proceeds first, then the opposing party, then a final word by the party bearing the burden of proof.

 

6)         Hearing Officer Report and Recommendation – Described in Section 310.240.

 

d)         The location of the hearing will be determined by the Comptroller or hearing officer.  Requests to change the location will be decided by the Comptroller or the hearing officer, with consideration given to the locations of the parties and their abilities to travel.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.180  Hearing Officers

 

a)         In any contested case, the Comptroller may employ any attorney licensed to practice in Illinois to serve as hearing officer.  The hearing officer may be empowered to conduct the hearing, administer oaths, question witnesses, make rulings on motions and objections, or submit suggested Findings of Fact and Conclusions of Law to the Comptroller at the conclusion of the case. The hearing officer shall provide the Comptroller such legal counsel as the Comptroller may require in evaluating the Findings of Fact and Conclusions of Law and the recommendations for decision.

 

b)         It shall not be a bar to assignment as a hearing officer that the attorney is also an employee of the Comptroller.

 

c)         Any hearing officer shall not have direct involvement with the case or have an interest in the decision to be reached.  Mere familiarity with the facts shall not disqualify a hearing officer.  A hearing officer may be disqualified for bias or conflict of interest.  An adverse ruling, in and of itself, shall not constitute bias or conflict of interest.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.190  Burden of Proof

 

a)         The burden of proof rests with the Department in all cases instituted by the Department by the filing of a Complaint.  A recommendation for an order may be made by the hearing officer or an order entered by the Comptroller only when the Department establishes by a preponderance of the evidence that the allegations of the Complaint are true.

 

b)         The burden of proof in all cases instituted by the filing of a Petition for Hearing rests with the petitioner.  The petitioner must prove by a preponderance of the evidence that the license should be granted or restored, as the case may be.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.200  Documents

 

a)         Business records shall be admissible.  A business record is:

 

1)         Relevant;

 

2)         A memorandum, report, record or data compilation;

 

3)         Made by a person with first-hand knowledge of the facts;

 

4)         Made at or near the time of the facts;

 

5)         Made as part of the regular practice of the activity; and

 

6)         Kept in the course of regularly conducted activity.

 

b)         Any party may prove elements subsection (a)(3) through subsection (a)(6), above, by presentation of a sworn statement by an individual responsible for making or keeping such records.  Business records include medical reports and police reports.

 

c)         Any party seeking introduction of document will be allowed to offer a mechanical reproduction or carbon copy of the original without any showing that the original is unavailable, upon representation of the party or attorney that the copy is a fair and accurate copy of the original.

 

Section 310.210  Motions

 

a)         Motions will be made in writing, unless the Comptroller or hearing officer finds that oral motions would expedite the hearing and not interfere with the parties' presentation of their case.  Motions are limited to the following:

 

1)         To request dismissal of a Complaint, for failure to state facts which, if true, would form a sufficient basis for the action taken.

 

2)         To request sanctions in accordance with the Section of this Part dealing with Representation.

 

3)         To request sanctions in accordance with the Section of this Part dealing with Discovery.

 

4)         To request dismissal of a Petition for Hearing, for failure to comply with the Section of this Part dealing with Institution of a Contested Case by a Petitioner.

 

5)         To request dismissal of a Complaint where the Department's case has been concluded without sufficient evidence having been presented to form a basis for the action taken.

 

6)         To request a continuance, or extension of time to comply with any provision of this Part.

 

7)         To request an order granting a rehearing, or additional hearings.

 

8)         To request an order that the Comptroller or hearing officer reconsider its Findings of Fact, Conclusion of Law or Recommendation to the Comptroller or to request a new hearing or additional hearings.

 

9)         To request that the Comptroller or hearing officer deem a failure to file an Answer to be an admission of the truth of the allegations contained in the Complaint.

 

10)       To request employment of a hearing officer in a case where the Comptroller is presiding.

 

11)       To request that a hearing officer be excluded from the hearing or deliberations, for cause as specified in Section 310.180(c).

 

12)       To request that an Order be vacated or modified.

 

13)       To request a prehearing conference.

 

14)       To request separation of cases joined by the Department.

 

b)         When any motion is filed, the Comptroller or hearing officer is authorized to question either party to obtain information necessary to a fuller understanding of the issues presented.  Where facts are alleged as a basis for the request, which are not a part of the record in the case, an affidavit will be attached to the motion setting forth such facts.

 

Section 310.220  Evidence

 

a)         Irrelevant, immaterial, or unduly repetitious evidence shall be excluded. Except as otherwise provided in this Section, the rules of evidence and privilege as applied in civil cases in the circuit courts of this State shall be followed. Evidence not admissible under those rules of evidence may be admitted unless precluded by statute, if it is of a type commonly relied upon by reasonably prudent men in the conduct of their affairs. Objections to evidentiary offers may be made and shall be noted in the record. 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 Section, a party may conduct cross-examination required for a full and fair disclosure of the facts. Notice may be taken of matters of which the circuit courts of this State may take judicial notice. In addition, notice may be taken of generally recognized technical or scientific facts within the Office of the Comptroller's specialized knowledge. Parties shall be notified either before or during the hearing, or by reference in preliminary reports or otherwise, of the material noticed, including any staff memoranda or data, and they shall be afforded an opportunity to contest the material so noticed. The agency's experience, technical competence, and specialized knowledge may be utilized in the evaluation of the evidence. [5 ILCS 100/10-40]

 

b)         Hearsay is not admissible.  In addition to any other exceptions to the hearsay rule that exists in Illinois, a statement shall be admitted if it has circumstantial guarantees of trustworthiness and if the probative value of the statement outweighs any prejudice resulting from an inability to cross-examine the declarant.

 

c)         Statements that Are Not Hearsay

 

1)         Prior Statement by Witness.  The declarant testifies at the trial or hearing and is subject to cross-examination concerning the statement and the statement is:

 

A)        inconsistent with the declarant's testimony, and was given under oath subject to the penalty of perjury at a trial, hearing or other proceeding, or in a deposition;

 

B)        consistent with the declarant's testimony and is offered to rebut an express or implied charge against the declarant of recent fabrication or improper influence or motive; or

 

C)        one of identification of a person made after perceiving the person.

 

2)         Admission by Party-Opponent.  The statement is offered against a party and is:

 

A)        the party's own statement in either an individual or a representative capacity; 

 

B)        a statement of which the party has manifested an adoption or belief in its truth;

 

C)        a statement by a person authorized by the party to make a statement concerning the subject;

 

D)        a statement by the party's agent or servant concerning a matter within the scope of the party's agent or servant's agency or employment, made during the existence of the relationship; or

 

E)        a statement by a co-conspirator of a party during the course and in furtherance of the conspiracy.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.230  Adverse Witness

 

a)         Any party or witness may be called as an adverse witness.  In such a case, examination of the witness will be allowed as if under cross-examination.

 

b)         A witness called in good faith, whose testimony surprises the party calling the witness, can be examined as if under cross-examination, and the testimony of the witness may be impeached by prior statements.

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.231  Ex Parte Communications

 

a)         Except in the disposition of matters that the Office of the Comptroller is authorized by law to entertain or dispose of on an ex parte basis, Office of the Comptroller Department heads, employees and hearing officers shall not, after notice of hearing in a contested case or licensing to which the procedures of a contested case apply under the Act, communicate, directly or indirectly, in connection with any issue of fact, with any person or party, or in connection with any other issue with any party or the representative of any party, except upon notice and opportunity for all parties to participate.

 

b)         However, an Office of the Comptroller employee may communicate with other employees of the Office of the Comptroller, and an Office of the Comptroller employee or hearing officer may have the aid and advice of one or more personal assistants.

 

c)         An ex parte communication received by any Office of the Comptroller Department head, employee or hearing officer shall be made a part of the record of the pending matter, including all written communications, all written responses to the communications, and a memorandum stating the substance of all oral communications and all responses made and the identity of each person from whom the ex parte communication was received.

 

d)         Communications regarding matters of procedure and practice, such as the format of pleadings, number of copies required, manner of service, and status of proceedings, are not considered ex parte communications under this Section. [5 ILCS 100/10-60]

 

(Source:  Added at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.232  Stay of Contested Case Hearings for Military Service

 

a)         "Military Service" means any full-time training or duty, no matter how described under federal or State law, for which a service member is ordered to report by the President, Governor of a state, commonwealth, or territory of the United States, or other appropriate military authority.

 

"Service Member" means a resident of Illinois who is a member of any component of the U.S. Armed Forces or the National Guard of any state, the District of Columbia, a commonwealth, or a territory of the United States.

 

b)         In a contested case in which a named party is a service member who has entered military service, for a period of 14 days that follow the conclusion of military service, the administrative law judge shall, upon motion made by or on behalf of the service member, stay the hearing for a period of 90 days if the service member's ability to appear at the hearing is materially affected by his or her military service.

 

c)         In order to be eligible for the benefits granted to service members under this Section , a service member must demonstrate that his or her military service has been in excess of 29 consecutive days and has materially affected his or her ability to attend the hearing by submitting to the hearing officer a letter from the service member's commanding officer stating that the service member's military duty has prevented the service member from appearing at the hearing and that military leave has not been authorized. The service member must also provide the hearing officer with an approximate date of availability.

 

d)         Additional stays of the contested case hearing shall be permitted at the discretion of the hearing officer if all of the requirements of this Section are met.

 

e)         A violation of this Section constitutes a civil rights violation under the Illinois Human Rights Act [775 ILCS 5]. All proceeds from the collection of any civil penalty imposed under this subsection shall be deposited into the Illinois Military Family Relief Fund. [5 ILCS 100/10-63]

 

(Source:  Added at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.233  Expenses and Attorney's Fees

 

a)         In any contested case initiated by the Office of the Comptroller that does not proceed to court for judicial review and on any issue for which a court does not have jurisdiction to make an award of litigation expenses under Illinois Supreme Court Rule 137, any allegation made by the Office without reasonable cause and found to be untrue shall subject the Office to the payment of the reasonable expenses, including reasonable attorney's fees, actually incurred in defending against that allegation by the party against whom the case was initiated. A claimant may not recover litigation expenses when the parties have executed a settlement agreement that, while not stipulating liability or violation, requires the claimant to take correction action or pay a monetary sum.

 

b)         The claimant shall make a demand for litigation expenses to the Office. If the claimant is dissatisfied because of the Office's failure to make any award or because of the insufficiency of the Office's award, the claimant may petition the Court of Claims for the amount deemed owed. If allowed any recovery by the Court of Claims, the claimant shall also be entitled to reasonable attorney's fees and the reasonable expenses incurred in making a claim for the expenses incurred in the administrative action. The Court of Claims may reduce the amount of the litigation expenses to be awarded under this Section, or deny an award, to the extent that the claimant engaged in conduct during the course of the proceeding that unduly and unreasonably protracted the final resolution of the matter in controversy.

 

c)         In any case in which a party has any administrative rule invalidated by a court for any reason, including but not limited to the Office's exceeding its statutory authority or the Office's failure to follow statutory procedures in the adoption of the rule, the court shall award the party bringing the action the reasonable expenses of the litigation, including reasonable attorney's fees. [5 ILCS 100/10-55]

 

(Source:  Added at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.240  Reports of Hearings

 

a)         In every contested case conducted before a hearing officer, the hearing officer will file a written report that contains his or her Findings of Facts and Conclusions of Law with respect to the allegations contained in the Complaint or Petition for Hearing and his or her Recommendation to the Comptroller.

 

b)         In every contested case conducted before the Comptroller, separate Findings of Fact and Conclusions of Law shall be stated in a written report in support of the Order of the Comptroller.

 

c)         Decisions and Orders

 

1)         A final decision or order adverse to a party (other than the Office of the Comptroller) in a contested case shall be in writing or stated in the record. A final decision shall include Findings of Fact and Conclusions of Law, separately stated. Findings of Fact, if set forth in statutory language, shall be accompanied by a concise and explicit statement of the underlying facts supporting the findings. If, in accordance with this subsection (c)(1), a party submitted proposed Findings of Fact, the decision shall include a ruling upon each proposed finding. Parties or their agents appointed to receive service of process shall be notified either personally or by registered or certified mail of any decision or order. Upon request, a copy of the decision or order shall be delivered or mailed forthwith to each party and to his or her attorney of record.

 

2)         All orders shall specify whether they are final and subject to the Administrative Review Law [735 ILCS 5/Art. III]. Every final order shall contain a list of all parties of record to the case, including the name and address of the officer entering the order and the addresses of each party, as known to the officer, where the parties may be served with pleadings, notices, or service of process for any review or further proceedings. Every final order shall also state whether the rules of the Office of the Comptroller require any motion or request for reconsideration and cite the rule for the requirement.  [5 ILCS 100/10-50]

 

d)         The record in a contested case shall include the following:

 

1)         All pleadings (including all notices and responses to pleadings), motions, and rulings.

 

2)         All evidence received.

 

3)         A statement of matters officially noticed.

 

4)         Any offers of proof, objections, and rulings on offers of proof and objections.

 

5)         Any proposed findings and exceptions.

 

6)         Any decision, opinion, or report by the hearing officer.

 

7)         All memoranda or data submitted to the hearing officer in connection with the hearing officer's consideration of the case that are inconsistent with Section 310.170(d).

 

8)         Any communication prohibited by Section 310.170(d).  No such communication shall form the basis for any finding of fact.

 

e)         Oral proceedings or any part of those proceedings shall be recorded stenographically or by other means that will adequately insure the preservation of the testimony or oral proceedings and shall be transcribed on the request of any party.

 

f)         Findings of Fact shall be based exclusively on the evidence and on matters officially noticed. [5 ILCS 100/10-35]

 

(Source:  Amended at 42 Ill. Reg. 16010, effective August 1, 2018)

 

Section 310.250  Requests for Rehearing

 

a)         Where a rehearing, or additional hearings are requested, the request shall be in the form of a motion, and shall state with specificity the reasons for the request.  If it is alleged that new evidence is available which was not available at the time of the hearing, the affidavit shall describe the new evidence, and reasons why it was not available for use at the hearing.

 

b)         Where the hearing officer grants any motion which would dispose of the case, it shall first afford the parties an opportunity to cure the defects in pleading or proof, and the ruling shall be forwarded as a report of the hearing in accordance with Section 310.240.

 

Section 310.251  Waiver

 

Compliance with any or all of the provisions of these rules concerning contested cases may be waived by written stipulation of all parties. [5 ILCS 100/10-70]

 

(Source:  Added at 42 Ill. Reg. 16010, effective August 1, 2018)    

 

Section 310.260  Severability

 

If any Section, subdivision, sentence or clause of this Part shall be held by a court of competent jurisdiction to be invalid, such holding shall not affect the remaining parts thereof.