Section 125.5  Applicability

This Subpart A shall apply to the practices and procedures of the State Board of Elections, and all proceedings conducted by the Board under Subpart A.  This Part is not intended to apply to State Electoral Board hearings, or to proceedings under Subpart B of this Part (closed preliminary hearings) where any provisions of Subpart B makes a more specific or contradictory provision to anything contained in Subpart A.

(Source:  Amended at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.10  Definitions

As used in this Part, the following terms shall have the meanings specified:

"Article 9" means Article 9 of the Election Code (campaign disclosures, contributions and expenditures).

"Board" means the State Board of Elections.

"Complainant" means a party initiating a proceeding under Article 9 by the filing of a complaint.

"Election Code" or "Code" means 10 ILCS 5.

"File", "Filed" or "Filing" means, with respect to reports, statements and documents required to be filed with the State Board of Elections:

delivery to the principal office of the State Board of Elections, Springfield, Illinois by the close of business of the prescribed filing date;

delivery to the permanent branch office of the State Board of Elections, Chicago, Illinois, by the close of business of the prescribed filing date;

deposit with the United States Postal Service, postage prepaid, in sufficient time so that the mailed documents will arrive by the close of business of the prescribed filing date;

delivery by e-mail or facsimile if permitted elsewhere within Title 26 of the Illinois Administrative Code; or

for filings under Code Section 9-28, electronic filing.

"General Counsel" means the person designated and appointed as General Counsel of the Board, or any individual acting in the General Counsel's stead in the event of:

a vacancy in the position of General Counsel; or

the absence, incapacity or unavailability of the General Counsel.

"Hearing Officer" means a person duly qualified and designated to conduct hearings under Code Section 9-19 and when applicable, Section 125.90 of this Part.

"Party" means an individual, trust, partnership, committee, corporation, association, public or private organization or group of persons of any character, or any governmental agency, entitled or required to participate in any hearing or proceeding.

"Respondent" means a party against whom a complaint is directed.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.15  Board Offices and Business Hours

a)         The principal office of the State Board of Elections is located at Springfield, Illinois, and shall be open each day, except Saturdays, Sundays and State legal holidays, from 8:00 a.m. to 4:30 p.m.

b)         The permanent branch office of the State Board of Elections is located at Chicago, Illinois and shall be open each day, except Saturdays, Sundays and State legal holidays, from 8:30 a.m. to 5:00 p.m.

c)         When the last day for the filing of nominating petitions and/or objections to nominating petitions as required by the Election Code is a Saturday, Sunday or holiday, Board offices shall remain open from 8:30 a.m. to 5:00 p.m. on that day.

d)         On the day of any election, or at any other time, the offices of the Board may be kept open any additional time the Board deems necessary to carry out its duties.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.20  Documents Pertaining to Hearings

a)         All documents, including but not limited to complaints, notices and motions, permitted or required to be filed with the Board in connection with any proceeding before the Board shall be filed with the Division of Campaign Disclosure. That Division shall forward all filings to the office of the General Counsel within one business day.

b)         All documents permitted or required to be filed with the Division of Campaign Disclosure may be filed:

1)         by personal delivery to the Board's principal office located in Springfield, Illinois or the Board's permanent branch office located in Chicago, Illinois;

2)         by mail, postage prepaid with the United States Postal Service, addressed to the Division of Campaign Disclosure at the Board's principal office or permanent branch office in Chicago; or

3)         by e-mail or facsimile transmission, if agreed to by all parties.

c)         All documents filed by mail shall be deemed filed as of the date and time the documents are actually received by the Division of Campaign Disclosure. If that office customarily and regularly utilizes a time-date stamp for the recording of the receipt of documents, the time and date stamp impression affixed to any filed document shall be prima facie evidence that the document was filed on the date and at the time shown by the stamp.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.30  Form of Documents

a)         All documents filed with the Division of Campaign Disclosure shall be stamped or printed with the docket number and the title of the proceeding in connection with which they are filed.  Upon the filing of a complaint, the Division of Campaign Disclosure shall assign a docket number to the complaint and proceeding, and all documents thereafter filed pertaining to that particular complaint or proceeding shall include the docket number first assigned.  All paper submission must be on plain white paper.

b)         Each document shall be signed by the party filing or by the party's authorized representative or attorney.  The first document filed by a party in any proceeding shall bear the address and telephone number of the party or of the party's attorney or representative and the designation of the address shall be deemed to be consent by the filing party to have a copy of all documents filed or to be filed later served upon the party at the designated address. Providing an e-mail address is not required but is strongly preferred. Service by e-mail is permitted only with express consent of all parties.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.40  Service of Documents

Except as provided in Section 125.240, whenever this Part requires any document to be served upon a party or other person, service shall be complete when the document is served by abode service as provided in the Civil Practice Law [735 ILCS 5/2-203(a)], in person upon the party or his or her attorney or designated representative, or deposited for mailing with the United States Postal Service, postage prepaid, registered or certified, addressed to the party at his or her last known address, or by e-mail, if agreed to by all parties.

(Source:  Amended at 39 Ill. Reg. 8117, effective May 19, 2015)

Section 125.50  Computation of Time

Computation of any period of time expressed in days and prescribed by this Part shall begin with the first day following the day on which the act or event initiating the period of time occurs, and shall run until the end of the last day, or the next following business day if the last day is a Saturday, Sunday or State legal holiday.  Computations of any period of time expressed in hours and prescribed by this Part shall begin 60 minutes after the act or event initiating the period of time occurs, and shall run until the end of the last 60-minute period; provided, however, that all 60-minute periods falling within a Saturday, Sunday or State legal holiday shall be excluded in computing the period of time.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.55  Time of Notices

Whenever this Part requires a notice to be given within a period of time, that requirement shall be construed to mean that notice shall be received by the party entitled to the notice; provided however, that evidence that notice was dispatched by means reasonably calculated to be received by the prescribed date shall be prima facie proof that notice was timely received by the party entitled to the notice.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.60  Appearances

a)         Any person entitled to participate in Board proceedings may appear as follows:

1)         A natural person may appear in his or her own behalf or by an attorney at law licensed and registered to practice in the State of Illinois, or both;

2)         A business, unincorporated association or nonprofit or government organization may appear by any bona fide officer, employee or representative, or may be represented by an attorney licensed and registered to practice in the State of Illinois, or both.

b)         The Board is not authorized to permit attorneys not licensed in the State of Illinois to appear in its proceedings. However, attorneys licensed in states other than Illinois may apply to the Illinois Supreme Court for the right to practice before the Board. The title of the pleading should be "Motion to Appear Pro Hac Vice Before an Administrative Agency" and should be directed to the Clerk of the Illinois Supreme Court. The moving attorney must provide written confirmation of his or her successful admission to the Board's Hearing Officer prior to entering an appearance in any Board proceeding.

c)         An attorney appearing in a representative capacity shall file a written notice of appearance with the Board, together with proof of service on all parties or their respective attorneys.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.70  Non-legal Assistance

Any party involved in any proceeding conducted pursuant to this Part shall have the right to the presence and participation of additional persons, in addition to, or instead of, an attorney, in order to provide technical assistance and consultation.  The Hearing Officer may, at his or her discretion, restrict the number of additional persons who may attend and participate in the proceedings.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.75  Parties

a)         The person initiating a proceeding shall be designated the complainant.  Any adverse party shall be designated the respondent.

b)         Misnomer of a party is not a ground for dismissal, but the name of any party may be corrected at any time.

c)         If a complete determination of a controversy cannot be had without the presence of other parties, the Board may direct them to be brought in.  If a person not a party has an interest the order may affect, the Board, on its own initiative or on application, may direct the person to be made a party.  Service of process and subsequent pleadings shall be had as directed by the Board.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.80  Answer

Any respondent may file a written answer to a complaint prior to, or at the time of, any proceeding or hearing, but shall not be required to file an answer.  The failure to file an answer shall not be deemed an admission of any allegation in the complaint nor a consent to the requested relief.  An answer may include affirmative defenses and jurisdictional objections.  An answer shall be filed with the Hearing Officer, and at least one copy of the same shall be signed by the respondent or his or her attorney and shall contain evidence of service as provided in this Subpart.  At least one copy of the answer shall be served upon all other parties to the proceeding, in accordance with Section 125.40, and the General Counsel.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.90  Qualifications of Hearing Officer

Whenever possible a person appointed Hearing Officer for an adjudicatory proceeding conducted pursuant to this Part shall be a licensed attorney.  Unless all parties to the proceeding so stipulate, the Hearing Officer who conducted the closed preliminary hearing shall not conduct the public hearing. Closed preliminary hearings are deemed non-adjudicatory by this Part and by Section 125.245.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.95  Authority of Hearing Officer

The Hearing Officer has the authority to conduct and preside over an adjudicatory hearing, to take all necessary action to avoid delay, to maintain order, to ensure compliance with all notice requirements, and to ensure the development of a clear and complete record.  He or she shall have all powers necessary to conduct a fair and impartial hearing, including, but not limited to, the power to:

a)         Administer oaths and affirmations;

b)         Regulate the course of hearings, set the time and place for continued hearings, fix times for filing of documents, provide for the taking of testimony by depositions if necessary, and in general conduct the proceedings according to recognized principles of administrative law and the provisions of this Part;

c)         Examine witnesses and direct witnesses to testify, limit the number of times any witness may testify, limit repetitious or cumulative testimony, and set reasonable limits on the amount of time each witness may testify;

d)         Rule upon offers of proof and receive relevant evidence;

e)         Direct parties to appear and confer for the settlement or simplification of issues, and otherwise conduct pre-hearing conferences;

f)         Dispose of procedural requests or similar matters;

g)         Issue orders relating to pre-hearing discovery to the extent authorized by and permitted under this Part;

h)         In connection with a public hearing on a complaint, render proposed Findings of Fact and Conclusions of Law and make recommendations for a final order of the Board;

i)          Enter any order that further carries out the purpose of this Part;

j)          Issue subpoenas and rule upon objections to subpoenas and discovery orders;

k)         Consider and rule upon all motions presented in the course of the proceedings.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.100  Disqualification of Hearing Officer

Any party to a hearing may file a timely written request for disqualification of a Hearing Officer, setting forth the nature of the personal bias, prejudice or other disqualification of the presiding Hearing Officer, and the Hearing Officer shall be disqualified.  When a Hearing Officer is disqualified, or it becomes impractical for him or her to continue, another presiding Hearing Officer shall be appointed in the manner provided for initial appointment, unless it is further shown that substantial bias or prejudice will result from the appointment.  A Hearing Officer may at any time voluntarily disqualify himself or herself.  A request for disqualification shall be considered timely if made within 3 days after receipt of the notice of the appointment of the Hearing Officer by the party requesting the disqualification and at least 24 hours prior to the commencement of the hearing or pre-hearing conference. However, in the case of a complaint filed within 60 days preceding the date of an election in reference to which the complaint is filed, the request shall be considered timely only if verbal notice of the request is given to the General Counsel within 8 hours after the requesting party has received telegraphic or telephonic notice of the appointment of the Hearing Officer.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.110  Motions

a)         Unless made orally on the record during a hearing, or unless the Hearing Officer directs otherwise, motions shall be in writing and accompanied by any affidavits or other matters relied upon.  The original copy of all motions shall be served upon the Hearing Officer and copies shall be served upon all other parties to the proceeding and the General Counsel.  In addition, motions may also be submitted by e-mail, if agreed to by all parties.

b)         A party may file a response in support of or in opposition to a motion within such time as the Hearing Officer directs.  If no response is filed, the parties shall not be deemed to have waived objections to the motion. Service of a response shall be the same as provided in subsection (a).

c)         No oral argument will be heard on a motion unless the Hearing Officer directs otherwise.

d)         The Hearing Officer shall rule upon all motions, except that he or she shall have no authority to make a recommendation to the Board to dismiss or decide a hearing on the merits, without granting all parties to the proceeding a right to be heard and to establish a record.

e)         Unless otherwise ordered by the Board, the filing of a motion shall not stay the proceeding or extend the time for the performance of any act.

f)         A party may participate in the proceedings without waiving any jurisdictional objection.

(Source:  Amended at 39 Ill. Reg. 8117, effective May 19, 2015)

Section 125.115  Consolidation and Severance of Claims:  Additional Parties

In the interest of convenience and expeditious and complete determination of claims, the Hearing Officer or the Board may consolidate or sever adjudicative claims involving any number of parties, and may order additional parties to be brought in pursuant to the provisions of Section 125.75(c).

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.120  Amendments

Complaints may be amended under any of the following circumstances:

a)         to correct any technical defects;

b)         to conform to the evidence presented at the hearing;

c)         to conform to new matters that arise at the hearing if it appears from the original and amended pleadings that the cause of action asserted in the amended pleading grew out of the same transaction or occurrence,  or arose from or relate to the same disclosure period set forth in the original pleading.  For the purpose of preserving the cause of action under those conditions, an amendment adding a person as a respondent relates back to the date of the filing of the original pleading so amended.

Section 125.130  Intervention

a)         Upon timely written application, the Hearing Officer may permit any person to intervene in a proceeding, subject to the necessity for conducting an orderly and expeditious hearing, when either of the following conditions is met:

1)         the applicant is so situated that he or she may be adversely affected by a final order of the Board; or

2)         an applicant's claim or defense and the adjudicative proceeding have a question of law or fact in common.

b)         A petition for intervention shall be filed with the Hearing Officer and a copy shall be served on each party and upon the General Counsel prior to the date set for hearing of the matters set forth in the complaint.  The Hearing Officer may permit intervention only upon good cause shown for the delay.  The Hearing Officer may grant continuances of the hearing as justice may require.

c)         An intervenor shall have all the rights of an original party, except that the Hearing Officer may, in his or her order allowing intervention, provide that the applicant shall be bound by orders previously entered, the applicant shall not raise issues that might more properly have been raised at an earlier stage of the proceeding, the applicant shall not raise new issues or add new parties, or in other respects the applicant shall not interfere with the control of the hearing, as justice and the avoidance of undue delay may require.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.135  Pre-hearing Conferences

a)         Upon notice by the Hearing Officer in any proceeding or upon request by any party, the Hearing Officer may direct parties or their attorneys to appear at a specified time and place for a conference, either during or prior to any hearing, for the following purposes:

1)         formulation and simplification of issues;

2)         necessity or desirability of amending the pleadings for the purpose of clarification, amplification or limitation;

3)         possibility of stipulations concerning the admissibility of evidence;

4)         limitation of the number of witnesses;

5)         propriety of prior mutual exchange between or among the parties of prepared testimony and exhibits; and

6)         other matters as may aid in the simplification of the evidence and disposition of the proceeding.

b)         In exercising his or her discretion to direct parties to appear for a conference, the Hearing Officer shall give due consideration to the time requirements of Section 9-21 of the Election Code.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.140  Settlement Pursuant to Conferences

At any time upon suggestion of the Hearing Officer or upon request of any party, an opportunity shall be afforded all parties to dispose of the case by written stipulation, agreed settlement or consent order, unless otherwise precluded by law.  Any stipulation, agreed settlement, or consent order shall be submitted in writing to the Board and shall become effective only if approved by the Board.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.150  Record of Conferences

A record of any conference held pursuant to Section 125.140 shall be kept only if all parties to the proceeding request such a record.  If a request is made, the record of the conference shall be deemed a part of the record of the hearing.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.160  Continuances

a)         A hearing may be continued for good cause by the Hearing Officer upon his or her own motion or upon motion of a party to the hearing after due consideration of any time limitations imposed by the Election Code or by this Part. Notice of any postponement or continuance shall be given to all parties within a reasonable time in advance of the previously scheduled hearing date.  All parties involved in a hearing shall attempt to avoid undue delay caused by repetitive continuances so that the hearing may be resolved expeditiously.

b)         For good cause, and only if pursuant to a written stipulation among all parties, a hearing may be continued for a period of time in excess of the time limits set forth in Section 9-21 of the Election Code; provided, however:

1)         No continuance, or series of continuances, may total more than 45 days;

2)         If the complaint was filed within 60 days preceding the date of an election, in no event shall the continuance extend beyond 2 days prior to the date of the election.

c)         Any request for a continuance, the reasons for a continuance, and any written stipulation shall be made part of the hearing record.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.170  Order of Proceedings

The following shall be the order of all proceedings held, pursuant to Subpart C of this Part, subject to modification by the Hearing Officer for good cause:

a)         Presentation, argument and disposition of motions preliminary to a hearing on the merits of the matters raised in the complaint or answer;

b)         presentation of opening statements;

c)         complainant's case;

d)         respondent's case;

e)         complainant's case in rebuttal;

f)         statements from interested citizens, if authorized by the Hearing Officer;

g)         complainant's closing statement, which may include legal argument;

h)         respondent's closing statement, which may include legal argument; and

i)          ruling on any reserved motions.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.175  Failure of Party to Appear

Failure of a party to appear on the date set for hearing or failure to proceed as ordered by the Hearing Officer shall not deter the hearing from proceeding unless the Hearing Officer, for good cause, orders a continuance.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.180  Evidence

a)         Except with respect to matters of privilege, the rules of evidence as applied in civil cases in courts of this State shall not be strictly applied to hearings under this Part.  Admissibility of evidence shall be liberally interpreted in order to present all matters that are or may be relevant to the issues affecting the parties.

b)         The Hearing Officer shall exclude immaterial, irrelevant and repetitious evidence.

c)         When the admissibility of disputed evidence depends upon an arguable interpretation of substantive law, the Hearing Officer shall admit that evidence.

d)         A party may conduct examinations or cross-examinations without rigid adherence to formal rules of evidence, provided the examination or cross-examination can be shown to be necessary and pertinent to a full and fair disclosure of the subject matters of the hearing.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.185  Official Notice

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 agency'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.

Section 125.190  Examination of Adverse Party or Agent

Upon the hearing of an adjudicatory action, any party to the action or any person for whose immediate benefit the action is prosecuted or defended, or the officers, directors or managing agents of any party to the action, may be called and examined, as if under cross-examination, at the instance of any adverse party.  The party calling for the examination may rebut the testimony given by countertestimony and may impeach the witness by proof of prior inconsistent statements.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.192  Participation by Board Members and Staff

a)         Any Board member or staff member of the Board may be designated by the Board to participate in hearings conducted under this Part and may interrogate witnesses, raise points of law and have all rights of an interested party.  The Board member or staff member shall not have the authority to rule on objections, motions or petitions, overrule the Hearing Officer during the hearing, or otherwise usurp the authority of the Hearing Officer conferred under this Part.

b)         The Board or staff members shall not be subject to any rule or motion adopted during the hearing excluding witnesses, but shall be permitted to participate in all hearings as a representative of the Board even if also a witness.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.195  Hostile Witnesses

If the Hearing Officer in an adjudicatory hearing determines that a witness is hostile or unwilling, the witness may be examined by the party calling the witness as if under cross-examination.  The party calling a witness, upon a showing that he or she called the witness in good faith and is surprised by the witness' testimony, may impeach the witness by proof of prior inconsistent statements.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.197  Admission of Business Records in Evidence

Any writing or record, whether in the form of any entry in a book or otherwise, made as a memorandum or record of any act, transaction, occurrence or event, except as otherwise privileged, shall be admissible as evidence of the act, transaction, occurrence or event, if made in the regular course of any business, and if it was the regular course of the business to make the memorandum or record at the time of the act, transaction, occurrence or event or within a reasonable time afterwards. All other circumstances of the making of the writing or record, including lack of personal knowledge by the entrant or maker, may be shown to affect its weight, but shall not affect its admissibility.  The term "business", as used in this Section, includes business, profession, occupation and calling of every kind, and shall specifically include campaigns for nomination or election or campaigns in support of or opposition to any referendum or question of public policy.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.199  Compelling Appearance at Hearing

The appearance at an adjudicatory hearing of a party or a person who is an officer, director or employee of a party may be required by serving the party with a notice designating the person who is required to appear.  If the party or person is a non-resident of the State, the Hearing Officer shall provide by order terms and conditions in connection with his or her appearance at the hearing as are just, including payment of his or her reasonable expenses.  The notice also may require production at the hearing of documents or tangible things.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.210  Applicability

The rules in this Subpart shall apply to closed preliminary hearings conducted pursuant to Section 9-21 of the Election Code.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.220  Commencement of Proceeding

A proceeding to adjudicate an alleged violation of Title 9 of the Election Code shall be commenced by the filing of a complaint in accordance with Section 125.20.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.230  Form of Complaint

All complaints shall conform to Section 125.30, and shall contain the following:

a)         The complaint shall be directed to and state the name of the person, candidate, or the chairman or treasurer of a political committee against whom the complaint is directed. In the case of a complaint alleging a violation of Code Section 9-35(d) or (e), the complaint shall be directed to and state the name of the registered agent or chief executive officer of the business entity against which the complaint is directed;

b)         The complaint shall state the provisions of the Election Code or rules that are alleged to have been violated;

c)         The complaint shall state the time, place and nature of the alleged offense; and

d)         The complaint shall be verified, dated and signed by the complainant, in substantially the following manner:

Verification

"I declare that this complaint (including any accompanying schedules and statements) has been examined by me and to the best of my knowledge and belief is a true and correct complaint as required by Article 9 of the Election Code.  I understand that the penalty for willfully filing a false complaint shall be a fine not to exceed $500 or imprisonment in a penal institution other than the penitentiary not to exceed six months, or both fine and imprisonment."

(Source:  Amended at 49 Ill. Reg. 8953, effective June 27, 2025)

Section 125.235  Board Members as Complainants

a)         Nothing in this Part shall prohibit a member of the Board from filing a complaint in his or her individual capacity.

b)         After filing the complaint, the complaining member shall decline to be present at or participate in any Board decision affecting the complaint or the proceedings pertaining to the complaint.

c)         In all other respects, the provisions of this Part shall apply to situations in which a member of the Board is a complainant.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.240  Service of Complaint

a)         If a complaint is filed within 60 days prior to the date of an election in reference to which the complaint is filed, the complainant shall serve a copy of the complaint upon all respondents prior to the time of filing, and the complaint filed with the Division of Campaign Disclosure shall have attached to it proof of service, consisting of any one of the following:

1)         a written acknowledgment signed by the person served;

2)         in case of service by personal delivery, an affidavit of the person who made delivery; or

3)         abode service in accordance with Article II of the Code of Civil Procedure [735 ILCS 5].

b)         In all other cases, service shall conform to Section 125.40.

c)         When a complainant has attempted to serve a respondent who is no longer residing at their last known address, proof of service shall be complete when the complainant has filed an affidavit indicating that a diligent effort has been made to locate the respondent but that effort has been unsuccessful and the respondent's whereabouts are unknown.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.245  Appointment of Hearing Officer − Order of Closed Preliminary Hearing

a)         Complaints may be filed by Board members, Board staff, or private persons in accordance with Code Section 9-20.

b)         In accordance with the time constraints stated in Code Section 9-21, the Director of the Division of Campaign Disclosure shall appoint a Hearing Officer, who shall be a licensed attorney or a Board employee of the classification Election Specialist III or higher, who possesses at least two years experience as an Election Specialist of any rating, and the Director of the Division of Campaign Disclosure shall enter an order directing a closed preliminary hearing be held on the complaint, designating the time and place of the hearing.

c)         The Hearing Officer may be the Director of the Division of Campaign Disclosure or any person designated by the Director of the Division of Campaign Disclosure.

d)         A copy of the order shall be served on the complainant, if different from the Board or its staff, and upon the respondent. The order shall have attached a copy of the complaint.

e)         The order shall contain a recitation that the respondent may be represented by counsel at the closed preliminary hearing.

(Source:  Amended at 42 Ill. Reg. 5004, effective February 28, 2018)

Section 125.250  Time of Preliminary Hearing (Repealed)

(Source:  Repealed at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.252  Scope of Preliminary Hearing – Procedures – Evidence

The closed preliminary hearing is not an adjudication, but shall be an inquiry to elicit evidence on whether the complaint was filed on justifiable grounds and has some basis in fact and law.

a)         The closed preliminary hearing shall be conducted by the Hearing Officer.

b)         The Hearing Officer shall record the proceedings and make a copy of the recording available to either party upon request.  A party may record the proceedings by employing his or her own court reporter or otherwise recording the hearing.

c)         The closed preliminary hearing need not be strictly adversarial in nature.

1)         Any person offering evidence, written or oral, shall affirm to the Hearing Officer that his or her evidence is true to the best of his or her information and belief;

2)         Evidence may be submitted in narrative form;

3)         The Hearing Officer shall not be bound to follow rules of evidence acceptable in an Illinois court of record, but may admit and rely upon for his or her recommendation evidence or information of a type commonly relied upon by reasonably prudent men in the conduct of their affairs, as provided by Section 10-40(a) of the Illinois Administrative Procedure Act [5 ILCS 100/10-40(a)];

4)         The complainant bears the burden of introducing evidence or information sufficient under subsection (c)(3) for the Board to conclude that the complaint has been filed on justifiable grounds;

5)         The complainant will ordinarily present evidence or information supporting the complaint first in order. The complainant will present his or her case first, except when convenience to the Hearing Officer or the respondent requires the respondent to proceed first. The consent, in such cases, of the complainant will be required. The respondent may then present any information or evidence; and

6)         The Hearing Officer may ask the complainant or respondent any questions relevant to the charges of the complaint. Any question is relevant if it has the possibility of eliciting an answer that tends to make the ultimate fact of justifiable grounds more or less likely.

d)         At the close of the hearing, the Hearing Officer shall summarize the content of the hearing and his or her conclusions concerning the evidence and information represented and draft a recommendation to the Board addressing whether the complaint was filed on justifiable grounds. The Hearing Officer shall also attach to the recommendation any documents tendered to the Board during the hearing, and submit his or her recommendation to the Board for their consideration. The Hearing Officer shall send a copy to the General Counsel, as well as to the complainant and the respondent and their designated representatives.

e)         The Hearing Officer shall have no authority to rule on any questions of law raised by the complainant or respondent, but shall note in the recommendation all such matters for the Board's disposition.

f)         At any time before the Hearing Officer submits the recommendation, the complainant and respondent may settle the matters between them, subject to the approval of the Board. If the Board or a member of its staff is the complainant, the Hearing Officer shall have the authority to enter into a stipulation for settlement pursuant to Section 125.254, subject to Board approval.

g)         No additional evidence shall be considered by the Hearing Officer after the conclusion of the closed preliminary hearing.

(Source:  Amended at 42 Ill. Reg. 5004, effective February 28, 2018)

Section 125.253  Responsibilities of the General Counsel

a)         Upon receipt of a copy of the recommendation of the Hearing Officer, the General Counsel shall:

1)         Review the recommendation for questions of law and evidence;

2)         Offer remarks and recommendations on all matters of law noted in the recommendation;

3)         Comment upon matters of evidence when that comment would assist the Board in understanding the recommendation of the Hearing Officer, or the recommendation is against the manifest weight of the evidence or otherwise subject to dispute; and

4)         Transmit remarks and recommendations to the Board in accordance with the time constraints stated in Code Section 9-21.

b)         If no question of law or fact requires the General Counsel's comment or recommendation, he or she shall so note without further remark.

(Source:  Amended at 42 Ill. Reg. 5004, effective February 28, 2018)

Section 125.254  Stipulated Settlement

a)         Whenever a closed preliminary hearing is conducted, the parties shall be afforded an opportunity to come into compliance with any applicable requirement of the Election Code or any rule of the Board and to dispose of all matters in dispute by written stipulation or agreed order approved by the Board. However, if the committee has previously failed to comply with the requirements of the Election Code or rule, any stipulation or agreed order must be submitted to the Board and shall not be effective unless approved by the Board. Repeated failures to comply with the Code or rules shall entitle the Board to reject any proposed stipulation or agreed order and to direct that a complaint be filed. "Repeated failures" means more than one.

b)         Any written stipulation or agreed order issued pursuant to this Section shall include a provision known as the "Standing Order" provision, as referred to in Section 125.420, requiring that all subsequent reports, statements or filings required by Article 9 be made within the time limits set forth in Article 9, and that any failure or refusal to comply with filing deadlines will result in the imposition of the civil penalties stated in Section 125.425. Any Standing Order provision shall remain in effect for a period of 12 months from the date of the final order, stipulation or agreed order.

c)         Any person who fails or refuses to comply with the terms of a Standing Order provision shall be notified by the Board, by service as set forth in Section 125.425, that the Board will issue an order imposing a civil penalty in accordance with the schedule set forth in this Part. The person shall be afforded an opportunity to appear at the next regularly scheduled or special Board meeting and to show cause why the civil penalty shall not be imposed. For purposes of this subsection (b), cause shall consist of proof that the report was submitted on time, as evidenced by a date stamp on the received document or other evidence submitted to the Board.

d)         Any civil penalties imposed pursuant to this Section may be enforced and collected in accordance with Section 125.430.

e)         In approving any stipulation or agreed order under this Part, the Board shall consider, but not be limited to, any evidence offered and noted by the Hearing Officer of the following factors:

1)         A party's history of compliance with the Election Code or rules of the Board;

2)         Any evidence of respondent's ignorance of a material fact that led to the conduct that was the source of the complaint;

3)         The degree of cooperation exhibited by the respondent with Board staff or the Hearing Officer; and

4)         Factors in mitigation or factors in aggravation of the circumstances complained of in the complaint.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.255  Transcript of Preliminary Hearing (Repealed)

(Source:  Repealed at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.260  Report of Hearing Examiner (Repealed)

(Source:  Repealed at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.262  Board Determination

a)         After the submission of the recommendations of the Hearing Officer, and the recommendations of the General Counsel, if any, the Board will determine whether the complaint was filed on justifiable grounds. The Board will order a public hearing to be conducted in accordance with Subpart C if the Board determines that the complaint was filed on justifiable grounds, and if the respondent:

1)         disputes that it violated Article 9;

2)         is unwilling to take action necessary to correct any violation; or

3)         is unwilling to refrain from the conduct giving rise to the violation.

b)         If permissible under the Open Meetings Act [5 ILCS 120] the Board may consider and discuss the Hearing Officer's recommendation through a teleconference begun in open session and continued in executive session in lieu of an in-person meeting, and that consideration and discussion shall be deemed part of the closed preliminary hearing process. Any action on the Hearing Officer's recommendations must be taken in open session or, if taken as part of the teleconference, that portion of the teleconference shall be broadcast over a speaker phone or other similar device at both the permanent and branch offices of the Board. That portion of the broadcast call shall be open to the media and public.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.265  Judicial Review

Judicial review of a final order of the Board entered or effected pursuant to Section 125.262 shall be in accordance with Section 9-22 of the Election Code.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.270  Record of Preliminary Hearing on Appeal Administrative Review

Upon appeal from a final order of the Board dismissing a complaint following a closed preliminary hearing, the recording of the preliminary hearing and documentary evidence received during the preliminary hearing, together with the recommendation of the Hearing Officer, the recommendation of the General Counsel, if any, and the final order of the Board, shall constitute the record on administrative review pursuant to the Administrative Review Law [735 ILCS 5/Art. III]. A party that has caused a verbatim transcript of the closed preliminary hearing to be made may, at that party's election, submit that transcript for inclusion in the record on administrative review. Legal counsel for the Board shall be instructed to seek leave of the Court to file the record on administrative review "in camera" with the Court having jurisdiction over the review. Any public inspection or release may be subject to order of that Court.  Before the record is filed, the Hearing Officer shall notify the parties that the record has been prepared, shall receive corrections from any parties, shall examine the record for accuracy, and then shall certify that it is a true and accurate record of the hearing.

(Source:  Amended at 42 Ill. Reg. 5004, effective February 28, 2018)

Section 125.272  Order of Public Hearing

a)         In the event that the Board orders a public hearing more than 60 days before the election in reference to which the complaint is filed, the Board will appoint a Hearing Officer to conduct a public hearing on the complaint and shall immediately serve upon all parties a written Notice of Appointment of the Hearing Officer, stating the name, business address and telephone number of the Hearing Officer, together with a copy of the Board's order after the closed preliminary hearing.

b)         In the event that the Board orders a public hearing within 60 days preceding the date of an election in reference to which the complaint is filed, the Board may appoint a Hearing Officer if time and resources permit. The Director of the Campaign Disclosure Division also shall promptly give notice via telephone, e-mail, or facsimile of the appointment of a Hearing Officer to all parties and that notice shall be deemed supplementary to the written Notice of Appointment.

c)         If a Hearing Officer is appointed, the Hearing Officer shall, in accordance with the time constraints stated in Code Section 9-21, designate a time and place for the public hearing and shall serve a written Notice of Hearing upon all parties, stating the time and place of the hearing. If the complaint is filed within 60 days preceding the date of an election in reference to which the complaint is filed, the Hearing Officer also shall promptly give telephonic notice of the hearing to all parties, which shall be deemed supplementary to the written Notice of Hearings. If the public hearing is scheduled before the Board without appointment of a Hearing Officer, the Notice of Hearing shall be prepared and served by the General Counsel.

d)         The Notice of Hearing shall contain a statement that the respondents have the right to be represented by legal counsel in any proceeding conducted by the State Board of Elections, including public hearing proceedings.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.275  Time and Conduct of Public Hearing (Repealed)

(Source:  Repealed at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.310  Applicability

This Subpart applies to all public adjudicative hearings ordered by the Board.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.320  Initiation of Hearing

a)         Hearings conducted pursuant to Subpart C shall be initiated once the Board has determined that a complaint alleging a violation of Article 9 has been filed upon justifiable grounds and further determines that a hearing is necessary under Section 125.262(a).

b)         Hearings may also be initiated when, in the exercise of its discretion, the Board determines there are reasonable grounds to believe that a violation of any other election law may have occurred.

c)         The Board may determine that any adjudicative hearing shall be held before the Board.  In the absence of that determination, an adjudicative hearing shall be conducted by a Hearing Officer.

d)         Any hearing before the Board shall be conducted in the same manner as provided for the calling and conduct of hearings by a Hearing Officer, except that, after the conclusion of a hearing, the Board shall issue its final order without the necessity of written comment from the General Counsel.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.330  Appointment of Hearing Officer

In all public adjudicative hearings to be conducted by a Hearing Officer, the General Counsel shall appoint the Hearing Officer and shall serve notice of the appointment upon all parties in accordance with Section 125.40. The notice shall state the name, office address, and telephone number of the person appointed as Hearing Officer.  The General Counsel shall also provide to the parties telephonic or telegraphic notice of the appointment of a Hearing Officer as the circumstances of the proceeding may warrant.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.340  Notice of Hearing

In adjudicative hearings, the Hearing Officer shall, after receipt of notification of appointment, designate a time and place for the public hearing, within any time limits as may be prescribed by law.  The Hearing Officer shall serve notice of the time and place of hearing upon all parties in accordance with Section 125.40.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.350  Discovery Procedures

a)         Discovery procedures may be ordered by the Hearing Officer upon the written request of any party, or upon the Hearing Officer's own motion, when necessary to expedite the proceedings, to ensure a clear and concise record, to ensure a fair opportunity to prepare for the hearing, or to avoid surprise at the hearing, and when the allowance of discovery procedures will not interfere with or impair the time requirements applicable to the proceeding.

1)         Discovery may consist of the following:

A)        production of documents or things;

B)        depositions;

C)        written interrogatories; and

D)        requests for admissions of fact.

2)         The Hearing Officer may restrict or deny discovery when necessary to prevent undue delay or harassment.

b)         The Hearing Officer shall order the following discovery upon written request of any party:

1)         a list of witnesses who are known to the party and who have personal knowledge of relevant facts;

2)         a list of any expert witnesses who may be called at the hearing, which shall be submitted to all parties prior to the hearing.

c)         Any person, including a party, who is deposed, interrogated or required to submit documents or things under this Part may be examined regarding any matter, not privileged, that is relevant to the subject matter of the pending case or that may lead to the discovery of relevant information.

d)         Except as otherwise provided, all depositions and written interrogatories taken pursuant to this Section shall be for purposes of discovery only. The depositions and interrogatories may be used for purposes of impeachment, as admissions, or as any affidavit could be used. Upon application to the Hearing Officer, either before or after the taking of the deposition or the filing of written interrogatories and upon a showing that at the time of the hearing the party deposed or interrogated will not be available due to death, age, sickness, infirmity, absence from the country or other exceptional circumstances, the Hearing Officer may order that the deposition or interrogatories be used as evidence in the hearing.

e)         Transcription and certification of a deposition shall be pursuant to Illinois Supreme Court Rule 207.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.360  Subpoenas

a)         Upon application to the Hearing Officer by any party, or upon the request of the Hearing Officer, the General Counsel may issue a subpoena in the name of the Board for attendance at a deposition or hearing, which may include a command to produce books, papers, documents or tangible things designated in the subpoena and reasonably necessary to resolution of the matter under consideration, subject to the limitations on discovery prescribed by Section 125.350. The Hearing Officer, upon motion, and in any event at or before the time specified in the subpoena for compliance, may quash or modify the subpoena if it is unreasonable or oppressive.

b)         Every subpoena shall state the title of the action and shall command each person to whom it is directed:

1)         to attend and give testimony at the time and place specified; and/or

2)         to produce books, papers, documents or tangible things designated in the subpoena at the time and place specified.

c)         A subpoena duces tecum may be limited to the production of documents and not require personal attendance of the person to whom it is directed.

d)         The party requesting the issuance of a subpoena shall tender with the request a check reimbursing the witness for the round trip cost of travel between the witness' place of residence and the place where his or her presence is requested. Reimbursement shall be equal to that provided by statute for civil costs in the Circuit Courts of Illinois.

e)         On written request of the Hearing Officer or party requesting issuance of the subpoena, the General Counsel may request an order from the Board to enforce the subpoena in Circuit Court.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.370  Transcript of Proceedings

All proceedings at public hearings shall be recorded by a certified court reporter but need not be transcribed unless requested by a party, who shall pay for the transcription of the portion requested, except as otherwise provided by the Board or by law.  Any transcript will be retained through and including the time allotted for appeal, rehearing or other manner of review prior to final deposition as provided by the Board or by law. Before the transcript is filed, the Hearing Officer shall notify the parties that the transcript has been produced, shall receive corrections from any person, shall examine the transcript for accuracy, and, within a reasonable time, shall certify that it is a true and correct transcript of the hearing.  Only after that certification may the transcript be made available for public inspection.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.380  Official Record

The transcript and the record offered in connection with the hearing shall constitute the official record.  The record in a public hearing shall include:

a)         pre-hearing records, if any;

b)         all pleadings (including all complaints, answers, notices, motions, briefs and rulings);

c)         evidence received;

d)         a statement of matters officially noticed;

e)         offers of proof, objections and rulings;

f)         Findings of fact, Conclusions of Law and Recommendations of the Hearing Officer.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.390  Briefs and Oral Argument

The parties may submit written briefs to the Hearing Officer or the Board, as the case may be, within 5 days after the close of the hearing, or within such other time as is consistent with the responsibility for decision as required by law.  Upon request at the time of submission of briefs or on its own motion, the Board or the Hearing Officer may permit oral argument by the parties.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.410  Hearing Officer's Report

Upon the conclusion of the hearing held pursuant to Subpart C, the Hearing Officer shall issue a written report that shall include findings of fact, conclusions of law,  and recommendations.  This report shall be prepared as soon as possible after the conclusion of the public hearing and shall be transmitted to the Board, with a copy to the General Counsel.

a)         Findings of Fact shall be based exclusively on the evidence presented at the hearing, including any matters officially noticed.  Conclusions of law and recommendations shall be based upon a consideration of the record as a whole.

b)         The General Counsel, after receipt of the Hearing Officer's report, shall promptly submit comments or opinion on the Hearing Officer's report to the Board.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.420  Order of the Board; Civil Penalties

a)         In addition to any complaint disposed of by written stipulation, agreed settlement or consent order pursuant to Code Section 9-21, the Board will review the reports submitted by the Hearing Officer and the General Counsel, and any objections, briefs or memoranda filed by any party to the hearing, and shall issue its final order within the time specified in Code Section 9-21.  If the hearing was extended by stipulation or order of the Hearing Officer pursuant to Section 125.160, then the Board decision shall be issued:

1)         within 3 business days after the Hearing Officer's report, if the complaint was filed within 60 days prior to an election and related to that election; or

2)         within 60 days after the Hearing Officer's report in all other instances.

A)        Oral argument before the Board prior to issuance of a final order or approval of a written stipulation, agreed settlement or consent order shall be permitted at the Board's discretion.

B)        Evidence that was not proffered at the public hearing will be considered only if the proponent of the evidence demonstrates that the evidence was unavailable at the time of the public hearing, or if the Board determines, in its discretion, that evidence in the form of supplemental testimony prior to issuance of a final order or approval of a written stipulation, agreed settlement of consent order will provide undiscovered relevant testimony.

C)        If permissible under the Open Meetings Act [5 ILCS 120] the Board may consider, discuss and take final action on any final order, written stipulation, agreed settlement or consent order through a teleconference in lieu of an in-person meeting. Notice shall be given to the media in advance of the teleconference.  The call shall be broadcast over speaker phone or other similar device at both the permanent and branch offices of the Board and the broadcast shall be open to the media and public.  The entire conference shall also be recorded by a certified court reporter.

b)         Whenever the Board determines a person to be in violation of any provision of Article 9 or any regulation adopted under Article 9, the final order, written stipulation, agreed settlement or consent order shall direct that person to cease or correct the violation or otherwise comply with Article 9 or the regulation within such time as the Board may specify, but not within less than 15 business days.

c)         The Board will also notify the person, as part of its final order, written stipulation, agreed settlement or consent order that it will impose a civil penalty, not to exceed $5,000, on any person who fails or refuses to comply with the final order, written stipulation, agreed settlement or consent order within the time specified by the Board. The procedure for assessment and the amount of civil penalties shall be as set out in Section 125.425 of this Part.

d)         Standing Orders

1)         Any final order, written stipulation, agreed settlement or consent order issued that determines Article 9 was violated shall include a provision, referred to as a "Standing Order" provision, requiring that all subsequent reports, statements or filings required by Article 9, during the period the Standing Order provision is in effect, must be made within the time limits set forth in Article 9, and that any failure or refusal to comply with those filing deadlines shall result in the imposition of civil penalties by the Board in an amount not to exceed $5,000.

2)         Any Standing Order shall remain in effect for a period of 12 months from the date of the final order, stipulation or agreed order.  This Standing Order provision shall not apply to final orders rendered for delinquent filings under Code Section 9-10.

e)         In addition to, or in lieu of, the imposition of a civil penalty, the Board's order may also direct that violations of the Election Code, any rule adopted under the Code, or any order issued by the Board, be reported to the Attorney General and the appropriate State's Attorney whenever there appears to be any evidence to suggest that there has been a willful failure to file or willful filing of false or incomplete information required by the Election Code and such willful failure to file or willful filing of false and incomplete information may possibly constitute a criminal violation of the Election Code pursuant to Code Section 9-26.

f)         The Board's order imposing a civil penalty shall become effective immediately upon execution of the final order or as otherwise specified in the order, the Election Code or other rule of the Board.

g)         All parties to the proceeding shall be notified promptly of any and all orders. Exact copies of an order shall be personally delivered or mailed by certified or registered mail to each attorney of record unless the attorney has consented to service by e-mail or facsimile.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.425  Civil Penalty Assessments

a)         A report required to be filed within a specified time pursuant to Code Section 9‑10 is delinquent if not received by the Board on or before the due date. Reports received via U.S. mail are deemed received by the Board as of the date stamped by Board staff on the documents submitted.

b)         If a report is or continues to be delinquent, it is subject to a civil penalty as set out in subsection (d).

c)         When a report required by Code Section 9-10(b) is delinquent, the Board will provide the committee a notice of delinquency. For all violations of Code Section 9-10, within 365 days of the violation, the Board will send by first class mail a notice of violation to the chair and the treasurer of each delinquent political committee with an order assessing a civil penalty calculated in accord with subsection (d). The notice of violation and order shall also be sent by certified mail to that committee's address. The notice of violation shall state that the Board has issued a civil penalty that will be final unless the committee shows cause during an appeal in accord with subsection (g) why the penalty should not be assessed.

d)         The Board will calculate the civil penalty for delinquent filings under Code Section 9-10 and subsection (c) of this Section as follows:

1)         If the committee's total receipts, total expenditures, and balance remaining at the end of the reporting period for which the delinquent report was due are each $10,000 or less, the political committee will be assessed a fine of $10 per business day for the first violation, $25 per business day for the second violation, $50 per business day for the third violation, and $75 per business day for the fourth and each subsequent violation, to a maximum of $250 for the first violation, $500 for the second violation, $1,000 for the third violation, and $1,500 for the fourth and each subsequent violation.

2)         If the committee's total receipts, total expenditures, or balance remaining at the end of the reporting period for which the delinquent report was due exceeds $10,000,  the political committee will be assessed a fine of $20 per business day for the first violation, $50 per business day for the second violation, $100 per business day for the third violation, and $150 for the fourth and each subsequent violation, to a maximum of $500 for the first violation, $1,000 for the second violation, $2,000 for the third violation, and $3,000 for the fourth and each subsequent violation.

3)         For the purposes of subsection (d)(1)-(2):

A)        calculation of a committee's total receipts shall include in-kind contributions in addition to monetary contributions; and

B)        calculation of a committee's balance remaining at the end of the reporting period shall include the value of any investments held by the committee.

4)         If the delinquent filing is a quarterly report, the Board will assess a civil penalty even if a committee has no receipts or expenditures to disclose on the quarterly report. No civil penalty shall be assessed against a committee if the quarterly report is mailed and postmarked at least 3 days prior to the filing deadline unless the committee has been previously notified by the Board it must file its reports electronically under Code Section 9-28.

5)         If the report at issue is a Schedule A-1 (report of contributions of $1,000 or more), a civil penalty for a violation of Code Section 9-10(c) may not exceed the amount of the contribution.

6)         If the report at issue is a Schedule B-1 (report of independent expenditures of $1,000 or more), a civil penalty for a violation of Code Section 9-10(e) may not exceed the amount of the independent expenditure.

e)         The Board will calculate other civil penalties as follows:

1)         If the delinquently filed report is a Statement of Organization (Form D-1), the Board will assess a civil penalty of $50 for each business day that the report remains unfiled after its due date. The penalties shall not exceed $5,000.

2)         If a committee receives a contribution or transfer in violation of Code Section 9-8.5, the civil penalty will be calculated as 150% of the amount of the contribution or transfer that exceeded the contribution limitations, except that if in the Board's opinion the violation was committed inadvertently or negligently, the civil penalty will be reduced to 10% of the calculated civil penalty for a first violation and 50% of the calculated civil penalty for a second violation.

3)         If an independent expenditure committee makes a contribution in violation of Code Section 9-8.6(d), the Board will assess a fine equal to the amount of any contributions received in excess of the contribution limits for that particular contributor, during the two years preceding the date of the first contribution made in violation of the Act during a given quarterly reporting period.

f)         In addition to the civil penalties provided for in Code Section 9-10(g), a committee or organization required to report under the Election Code may, for violations of provisions of Article 9 of the Election Code other than delinquent filing, be assessed a civil penalty under the provisions of Code Section 9-23 and this subsection (f). The Board will calculate civil penalties in accordance with subsections (d) and (e). A committee that violates both Code Section 9-10 and an order of the Board may be liable for separate penalties for each violation. In cases of alleged violation of an order of the Board brought under the provisions of Code Section 9-23, the Board will mail to each committee or organization alleged to be in violation of a Board order notice of a proposed civil penalty calculated in accord with the terms of this Part, which proposed penalty shall become effective without further proceedings unless the committee or organization receiving the notice appeals the proposed civil penalty.

g)         Appeals. A political committee assessed a civil penalty under Code Sections 9-3, 9-8.15, 9-8.5, 9-8.6, 9-8.10, or 9-10 or that has received notice of a proposed civil penalty for violation of a Board order under Code Section 9-23 may:

1)         submit, within 30 calendar days after the mailing of the assessment notice, a request for waiver of appearance and either a written notice of appeal, if submitted by an attorney for the committee, or an appeal affidavit, if submitted by the candidate, chair, or treasurer of the committee, in the form provided by the Board. The notice of appeal or appeal affidavit must state with specificity the reasons for the late filing or violation of the Board order, as the case may be, to show why a civil penalty should not be assessed. Any basis for appeal not stated in the notice of appeal or appeal affidavit may be deemed waived. An appeal affidavit shall either be in writing, made under oath and upon penalty of perjury sworn to before a notary public or any person authorized to administer oaths, or be made pursuant to Section 1-109 of the Code of Civil Procedure [735 ILCS 5]. A Committee submitting a waiver of appearance must submit all evidence supporting its appeal with its notice of appeal or appeal affidavit; or

2)         submit, within 30 calendar days after the mailing of the assessment notice, a request for hearing and either a written notice of appeal, if submitted by an attorney for the committee, or an appeal affidavit, if submitted by the candidate, chair, or treasurer of the committee, in the form provided by the Board, stating with specificity the reasons for the late filing or violation of the Board order, as the case may be, to show why a civil penalty should not be assessed. Any basis for appeal not stated in the notice of appeal or appeal affidavit may be deemed waived. An appeal affidavit shall either be in writing, made under oath and upon penalty of perjury sworn to before a notary public or any person authorized to administer oaths, or be made pursuant to Section 1-109 of the Code of Civil Procedure; or

3)         pay, within 30 days after the mailing of the assessment notice, the civil penalty assessed. If notice of appeal or appeal affidavit is filed, with or without waiver of appearance, the civil penalty shall not be due until the appeal is determined by the Board.

4)         to be considered timely, an appeal must either be received by the Board within 30 calendar days after the date on the assessment notice or mailed to the Board and postmarked within 30 calendar days after the date on the assessment notice. If the envelope containing an appeal is received after the 30 day period and lacks a postmark, or if the postmark is illegible, the appeal shall not be considered timely filed and will be returned to the sender, if possible.

h)         An appeal filed pursuant to subsection (g)(1) or (g)(2) by the political committee shall be assigned to a Hearing Officer, who will provide notice and a hearing to the committee, if requested, or if the Hearing Officer determines a hearing is necessary to understand the applicable facts. A Hearing Officer may seek clarification or supporting evidence from the committee regarding the basis for appeal, provided such clarification or evidence is limited and specific to the scope of the defense contained within the notice of appeal or appeal affidavit. Upon the conclusion of the hearing, the Hearing Officer shall issue a written report that includes findings of fact, conclusions of law, and a recommendation whether or not to grant the appeal. If the committee waived its right to hearing, and no hearing was held, the Hearing Officer's report, findings of fact, conclusions of law, and recommendation shall be based solely upon the notice of appeal or appeal affidavit and any supplementary evidence simultaneously submitted with it.

i)          The standard of review for an appeal filed pursuant to subsection (g)(1) or (g)(2) is whether the committee has demonstrated by a preponderance of the evidence that the assessment was in error. Error may be shown by proving the committee did not violate Article 9, the Board's assessment was incorrect, an affirmative defense is applicable, or other meritorious basis exists to grant the appeal.

j)          Post-Appeal Hearing Defense or Evidence

1)         Any defense and any accompanying evidence upon which the appeal is based that is presented to the Board following an appeal hearing, either by personal appearance before or a written appeal submitted to a Hearing Officer, shall be limited to the defense and evidence that was presented at the appeal hearing. The defense and evidence shall include, but not be limited to, interpretation of statute and rules, consideration of written or oral testimony tendered at the appeal hearing and consideration of documentary evidence tendered at the hearing.

2)         Any defense and accompanying evidence that was not known, and could not reasonably be expected to have been known, by the respondent at the time of the appeal hearing may be presented to the Board. The Board may, upon motion or on its own motion, remand the defense and evidence back to the original Hearing Officer, or may submit it to a new Hearing Officer for consideration. If an issue exists as to the applicability of this exception, the Board will rule upon the issue immediately after presentation of the disputed defense and evidence. The respondent in the case shall be given an opportunity to demonstrate to the Board that the disputed defense and evidence was not known at the time of the appeal hearing and the respondent should not have been expected to have been aware of the defense and evidence at the time of the appeal hearing.

3)         Nothing in this Part shall be construed to prevent the respondent from being represented by counsel at the presentation before the Board when the counsel did not represent the respondent at the appeal hearing. Counsel shall be licensed to practice law in the State of Illinois as required by Section 125.60.

k)         In addition to deciding whether to grant the appeal using the standard in subsection (i), the Board will consider the following factors in determining whether to waive or reduce a fine:

1)         Whether the committee made an attempt to disclose the contribution, and any attempts made to correct the violation;

2)         Whether the violation was inadvertent, knowing, or intentional;

3)         Whether the violation is attributed to a clerical or computer error;

4)         The amount of the contribution or total contributions in the report;

5)         Whether the violation arose from a discrepancy between the date the contribution was reported and the date the contribution was received by a political committee;

6)         The number of days the report was submitted late; and

7)         Any prior violations, including past violations of any committee composed of the one or more of the same officers, or for the same purpose or for the support of the candidacy of the same person, irrespective of office, as the committee currently being assessed a civil penalty.

l)          If a political committee or organization required to report under the provisions of Article 9 that is subject to a civil penalty fails, within the time required, to make payment in full of the assessed civil penalty, then the Board will work with the Attorney General to proceed with efforts at collection pursuant to the Illinois State Collection Act of 1986 [30 ILCS 210]. The Board will not hear an appeal of a civil penalty imposed for delinquent filing or the violation of a Board order if neither a request for waiver of appearance and notice of appeal or appeal affidavit nor a request for hearing and notice of appeal or appeal affidavit is filed within the time required. If notice of appeal or appeal affidavit is received and is not accompanied by either a request for hearing or waiver of appearance, a hearing may be scheduled at the Hearing Officer's discretion.

m)        Notwithstanding any provision of this Section to the contrary, the Board will stay the enforcement of any civil penalty in cases of first time violation of a filing deadline. If a committee that has not violated Code Section 9-10 in more than two years is assessed a penalty for multiple Schedule A-1 violations that the committee confirms were part of a single deposit, the violations may be stayed. The stay shall continue only so long as no subsequent violations of Article 9 or of Board orders occur. Violation of Article 9 or a Board order will cause the civil penalty otherwise stayed to become due and may expose the committee or organization to further liability in accord with this Section.

n)         For the purpose of this Section, second and subsequent violations are deemed to occur with reference to the time the first violation occurred, not when a hearing, if any is required, concerning the first violation is held. The Board may consider two or more allegations of violations at the same hearing, treating the first as an initial violation and the remaining as subsequent violations, imposing appropriate civil penalties for each. For the purposes of this Section, a violation is considered to have occurred on the first day a report is delinquent (see subsection (a)).

o)         Notwithstanding any other provision of this Section:

1)         if an active political committee or organization violates Code Section 9-10 no more than once during a two year period, it shall, after two years have lapsed following the violation date, be considered as never having violated Code Section 9-10. For a single violation, the two year period begins to run with the date of the violation. If an active political committee or organization is assessed more than one civil penalty and has paid all assessed civil penalties, it shall be considered for assessment purposes as not having violated Code Section 9-10 if it is assessed no other civil penalty during a two year period following receipt of payment by the Board;

2)         if a committee or organization is assessed a single penalty under Code Section 9-10 and subsequently files a final report pursuant to Code Section 9-5 or has filed a final report pursuant to Code Section 9-5 prior to the assessment, during the two year period beginning with the date of the violation, any successor committee or organization shall be considered, for assessment purposes, as not having violated Code Section 9-10 if it is assessed no other penalty;

3)         if a committee or organization is assessed more than one penalty under Code Section 9-10 and subsequently files a final report pursuant to Code Section 9-5 or has filed a final report pursuant to Code Section 9-5 prior to the assessment, and the political committee or organization has not paid the civil penalties, any successor committee or organization that subsequently pays all civil penalties due shall be considered as never having violated Code Section 9-10 if, for two years from the date of receipt of payment by the Board, the successor committee or organization is assessed no other civil penalty;

4)         if a committee or organization is assessed more than one penalty under Code Section 9-10 and subsequently files a final report pursuant to Code Section 9-5 or has filed a final report pursuant to Code Section 9-5 prior to the assessment, and the political committee or organization has not paid the civil penalties, the two year period shall begin with the date of the final Board order, unless the final report is filed subsequent to the date of the final Board order, in which case the two year period shall begin with the date the final report is received by the Board. If no successor committee is formed during that period, the committee shall be considered for assessment purposes as not having violated Code Section 9-10.

p)         Upon notice by the Hearing Officer or upon request by any party, the Hearing Officer may direct parties or their attorneys to appear at a specified time and place for a conference, either during or prior to any hearing, for purposes including, but not limited to:

1)        the formulation and simplification of issues;

2)        the necessity or desirability of amending the assessment notice for the purpose of clarification or correction;

3)        the possibility of stipulations concerning material facts;

4)        the limitations of the number of witnesses;

5)        other matters as may aid in the simplification of evidence and the disposition of the proceeding.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.430  Enforcement Actions in the Circuit Court

a)         Whenever the Board, pursuant to Code Sections 9-21 and 9-23, has issued an order directing a person determined by the Board to be in violation of Article 9 or any rule or regulation adopted under that statute to cease or correct a violation or otherwise comply with Article 9, and the Board imposes a civil penalty for failure or refusal to comply with its order within the specified time, the Board will work with the Attorney General to enforce the civil penalty by filing with the Circuit Court a petition for an order to enforce collection of the penalty.

b)         The Board may also petition the Circuit Court to issue an order compelling compliance with an order issued by the Board, or to restrain or prohibit a person who is engaging or has engaged in acts or practices that constitute a violation of any provisions of Article 9 from engaging in those acts or practices.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.440  Reconsideration

Any party affected by a final order of the Board, may file a written motion to reconsider. The motion shall set forth in specific detail the grounds alleged for reconsideration and must be filed with the Board not later than 21 days after the effective date of the Board's order.

a)         A Motion to Reconsider a Final Board Order imposing a civil penalty for a delinquently filed report or reports, when the respondent failed to timely file an appeal of the penalty, must state the reasons the respondent failed to submit an appeal in a timely manner and the basis for the appeal itself. Motions that fail to state these reasons and basis will be denied by the Board as failing to state adequate grounds for reconsideration of the final Board order.

b)         Evidence not submitted by the respondent prior to the entry of the final order of the Board may be considered only at the Board's discretion.

c)         Oral argument shall be permitted on the motion only at the Board's discretion. Failure of a committee to appear before the Board when the matter is scheduled for consideration waives the right of the party to make oral argument before the Board.

d)         The Board may grant a Motion to Reconsider a Final Board Order imposing a civil penalty for a delinquently filed report or reports only if the Board determines that the reasons the respondent failed to submit an appeal in a timely matter are outside the control of the respondent or otherwise extraordinary, and the basis for the appeal is meritorious. The Board may grant a Motion to Reconsider a Final Board Order in other instances if reconsideration is necessary to correct an error of fact or law.

e)         If permissible under the Open Meetings Act [5 ILCS 120] the Board may consider, discuss and take action upon the motion through a teleconference in lieu of an in-person meeting. Notice shall be given to the media in advance of the teleconference, the call shall be broadcast over a speaker phone or other similar device at both the permanent and branch offices of the Board, and the broadcast shall be open to the media and public. The entire teleconference shall also be recorded by a certified court reporter.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.445  Public Database of Founded Complaints

The public database of founded complaints required under Section 9-23.5 of the Election Code applies only to complaints that have been determined by the Board to have been filed upon justifiable grounds.  The database shall not include complaints that, upon completion of a closed preliminary hearing, were determined by the Board not to have been filed upon justifiable grounds. The searchable database of founded complaints shall include, but not be limited to: case number, complainant, respondent, date the complaint was filed, Section of the Code alleged to be violated, date of public hearing, final board action and date of imposition of a penalty for violation of final board action, if any.

(Source:  Added at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.450  Settlement of Civil Penalties

a)         If a civil penalty assessment imposed under Code Section 9-10 for delinquent filings represents an undue hardship for a committee, or the committee otherwise lacks the funds or the ability to raise funds to pay the assessment, the committee may submit a settlement offer to the Board using a form available on the Campaign Disclosure portion of the Board's website, or it may convey a settlement offer orally when the committee's case is called at a hearing before a Hearing Officer or the Board.

b)         At its discretion, the Board may hear oral argument prior to ruling upon a settlement offer.

c)         When determining whether to waive or reduce a fine, the Board will consider:

1)         Whether the political committee made an attempt to disclose the contribution and any attempts made to correct the violation;

2)         Whether the violation was inadvertent, knowing, or intentional;

3)         Whether the violation is attributed to a clerical or computer error;

4)         The amount of the contribution or total contributions in the report;

5)         Whether the violation arose from a discrepancy between the date the contribution was reported and the date the contribution was received by a political committee;

6)         The number of days the report was submitted late; and

7)         Any prior violations.

d)         If the Board determines that a waiver or reduction of the fine is appropriate under subsection (c), factors to consider in determining the amount of an appropriate settlement include, but are not limited to:

1)         The percentage of the fine offered in settlement, with preference given to an offer of at least 50% of the amount owed;

2)         The committee’s average receipts over the most recent four quarters;

3)         Whether the committee has a current balance sufficient to pay the fine;

4)         The ratio of the fine to the committee's average fund balance or average total cash receipts to the penalty amount;

5)         The prospective fundraising ability of the committee;

6)         The type of contribution at issue (cash v. in kind contribution);

7)         The committee's past filing history;

8)         Whether the committee provided an explanation why it is unable to raise enough funds to pay the total assessment;

9)         Whether the committee's treasurer completed the training required by 26 Ill. Adm. Code 100.190;

10)        Whether the delinquent report resulting in a civil penalty assessment was due within the 60 day period before an election; and

11)        Whether the committee has filed a final report.

e)         The Board will not accept a settlement for civil assessments resulting from a Board finding of willfulness in connection with a delinquent filing.

f)         Unless otherwise ordered by the Board, a settlement offer approved by the Board shall be paid within 30 days. Failure to pay within the required time shall result in automatic reinstatement of the original civil assessment amount.

(Source:  Added at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.510  Applicability (Repealed)

(Source:  Repealed at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.520  Staff Review and Enforcement of Reporting Requirements

Prior to filing a written complaint pursuant to Code Section 9-20, the State Board of Elections, through its staff, will:

a)         Notify in writing each political committee that has failed to file a required report, or whose report is incorrect, incomplete, inaccurate or otherwise not in compliance with the law. Notification for failure to file a quarterly report shall be sent to all established political committees required to file that report. Notification of any violation of Code Section 9-10 shall be provided to the political committee no later than 365 days after the date of the violation.

b)         The written notice required by subsection (a) shall be given by personal service or First Class mail. With respect to documents required that have been filed, the notice shall specify to the extent possible the deficiencies claimed in the reports.

c)         The notice must also set a time, place and date for a pre-complaint conference to be held in accordance with Section 125.530. The conference will be afforded to any political committee or its chair or treasurer, or to any other person affected, prior to a complaint being filed by or on behalf of the Board.

d)         For good cause shown, the Director of the Division of Campaign Disclosure of the Board may extend the time for compliance for an additional 30 days after the date of the pre-complaint conference. No further extensions of time shall be given without express Board approval, and in those cases in which the reporting committee is subject to a "Standing Order" provision as provided in Section 125.420, no extensions of time shall be given.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.530  Compliance Conference

Whenever a compliance conference is conducted, the parties shall be afforded an opportunity to come into compliance with any applicable requirement of the Election Code or any rule of the Board and to dispose of all matters in dispute by written stipulation or agreed order.  However, if the campaign committee has previously failed to comply with the requirements of the Election Code or any rule of the Board, any stipulation or agreed order must be submitted to the Board and shall not be effective unless approved by the Board.  Repeated failures to comply with the Election Code or rules of the Board shall entitle the Board to reject any proposed stipulation or agreed order and to direct that a complaint be filed.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.540  Staff Initiated Complaint (Repealed)

(Source:  Repealed at 14 Ill. Reg. 10832, effective June 22, 1990)

Section 125.550  Investigations, Inquiries or Hearings

The Board, or General Counsel with prior consent of the Chairman and Vice Chairman, may undertake other investigations or inquiries as may be reasonable or necessary concerning any matter covered by the Act.  Once an investigation or inquiry has been so undertaken, the General Counsel shall have the authority to hire factfinders or investigators or to carry out other directions the Board may give.  Subpoenas may be issued upon vote by the Board in order to carry out the investigation, inquiry or hearing.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.610  Applicability

This Subpart shall apply to all rulemaking and other non-adjudicative hearings and procedures except for closed preliminary hearings under Subpart B of this Part.  Hearings conducted pursuant to this Subpart shall be deemed in the nature of legislative hearings.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.620  Adoption of Rules

Whenever the Board proposes to adopt, amend or repeal a rule, the Board shall conduct a public hearing if it determines that this would be the most efficient way to facilitate public comment on the rulemaking or if the agency receives a request for a public hearing within the first 14 days after publication of the notice of proposed rulemaking in the Illinois Register from 25 interested persons, an association representing at least 100 interested persons, the Governor, the Joint Committee on Administrative Rules, or a unit of local government that may be affected [5 ILCS 100/5-40].  In all cases, the Board shall accept from interested persons all written comments pertaining to the rulemaking that are submitted during the 45 day First Notice period. If the Board finds that an emergency requires adoption of a rule, it shall proceed without prior notice or hearing, or upon any abbreviated notice and hearing that it finds practicable, to adopt an emergency rule that shall be effective for a period of up to 150 days.

a)         Revision of Proposed Rules.  After any rulemaking hearing and prior to submission of Second Notice to JCAR, the Board may revise the proposed rules in response to suggestions made at the hearing and written submissions received prior or subsequent to the hearing, without conducting a further hearing on the revisions.

b)         Notice of Final Rule.  Any person heard on the original proposal, who has given his or her name and address to the Board, shall be given notice of the Board's final action.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.630  Rulemaking Hearings

The Board may either:

a)         hold rulemaking hearings itself; or

b)         designate a subcommittee of the Board, a member of the Board's staff, or a Hearing Officer to hold such a hearing.  Pursuant to Section 125.60(b), whenever possible, any person designated as a Hearing Officer shall be a licensed attorney in the State of Illinois.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.640  Notice of Hearing

a)         Notice of Hearing shall be given at least 10 days prior to the date of the hearing:

1)         By posting the Notice on the State Board of Elections website;

2)         By posting the Notice at the principal and permanent branch offices of the State Board of Elections; and

3)         If the Board determines necessary, by public advertisement in a newspaper of general circulation in Chicago or Springfield, depending on where the hearing is to take place.

b)         The Board shall make available copies of any proposed rules and supporting statements, if any, at the time the hearing date on proposed rules is announced.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.650  Conduct of the Hearing

The hearing shall be conducted in such manner so as to insure a fair hearing, to avoid delay, to maintain order, and to ensure development of a clear and complete record.  The hearing may provide for:

a)         the prior submission of testimony and exhibits in writing;

b)         the examination of witnesses under oath;

c)         a limitation on the amount of time each witness may testify; and

d)         restriction or elimination of merely cumulative testimony.

Section 125.660  Examination of Witness

Examination of witnesses by any member of the Board, by counsel to the Board or by a Hearing Officer shall be permitted.  Examination by any other person shall be permitted in the discretion of the party conducting the hearing.  Repetitious examination may be limited.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.670  Record

All testimony shall be recorded either stenographically or by electronic recording.  The transcript, all written testimony, all exhibits offered in connection with the hearing, and all written submissions shall constitute the record.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.680  Report of Hearing

If a hearing is conducted by a member of the Board's staff, or by a Hearing Officer, a written report shall be submitted to the Board at its next regularly scheduled meeting.  This report shall also be included in the submission of the proposed rulemaking to the Joint Committee on Administrative Rules (JCAR).  The report shall summarize the record and shall include such other comments, suggestions, conclusions or recommendations as the party preparing the report deems necessary.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.710  Advisory Opinions

a)         Request and Scope

1)         An advisory opinion may be requested from the State Board of Elections by any of the following:

A)        a member of the Board;

B)        any candidate for public office or the chairman or treasurer of any campaign committee that is, or may be, required to file any campaign disclosure reports.

2)         Advisory opinions under this Subpart shall be limited to issues pertaining to Section 9-8.10 of the Code.

b)         The request must be submitted in writing to the General Counsel and shall set forth the specific facts, activity or transaction that the requesting party is undertaking, or intends to undertake, and the specific issues  on which the requesting party seeks an advisory opinion.

1)         Requests presenting general questions of interpretation, hypothetical questions, or matters relating to activities of third parties shall not qualify as requests for an advisory opinion.

2)         Issuance of any advisory opinion shall at all times be discretionary with the Board.

c)         The General Counsel shall review all requests for advisory opinions and, if the General Counsel determines that the request is incomplete or does not otherwise qualify under subsection (b), he or she shall, within 14 days after the receipt of the request, notify the requesting party and specify any deficiencies in the request.  The requesting party may appeal any determination by the General Counsel directly to the Board.

d)         If the General Counsel determines that the request may qualify for an advisory opinion, or if the Board overrules the determination by the General Counsel under subsection (c), the request shall be referred to the Campaign Disclosure Division of the State Board of Elections for review and written comment.  The written comment shall be directed to the General Counsel, and the General Counsel shall in turn review and provide written comment on the request to the Board.  The General Counsel shall also advise the party making the request for opinion that the request has been submitted to the Board.

e)         Board Determination

1)         Within 60 days after a request is received that qualifies for an advisory opinion, the Board shall issue to the requesting party either:

A)        a written advisory opinion; or

B)        a statement that the Board declines to issue an advisory opinion.

2)         An advisory opinion shall be issued only upon the affirmative vote of 5 members of the Board.

f)         An advisory opinion rendered by the Board may be relied upon by:

1)         the requesting party;

2)         any person involved in the specific transaction or activity with respect to which the advisory opinion is rendered; and

3)         any person involved in any specific transaction or activity that is indistinguishable in all its material aspects from the transaction or activity with respect to which the advisory opinion is rendered.

g)         Nothing contained in this Section shall preclude the distribution by the Board or any of its staff of information consistent with the Election Code, any prior opinions of the Board, and any relevant federal or state case law.

h)         A copy of each advisory opinion shall be sent to the requesting partyand to any legal representatives of the requesting party.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.720  Reconsideration of Advisory Opinion

a)         The Board may reconsider an advisory opinion previously issued if the circumstances under which the opinion was issued have changed and either:

1)         The requesting party submits a written request for reconsideration within 30 calendar days after receipt of the opinion and, upon the motion of a member of the Board who voted with the majority that originally approved the opinion, the Board adopts the motion to reconsider by the affirmative vote of 5 members; or

2)         Upon motion of a member of the Board who voted with the majority that originally adopted the advisory opinion, the Board adopts the motion to reconsider by an affirmative vote of 5 members.

b)         Adoption of a motion to reconsider vacates the advisory opinion to which it relates.  The advisory opinion shall cease to be effective:

1)         With respect to the party requesting the opinion, when written notice of the adoption of the motion to reconsider is given to that party;

2)         With respect to all other persons who might claim that the opinion applies to them pursuant to Section 125.710(f)(2), upon adoption of the motion to reconsider by the Board.

c)         In the event an advisory opinion is reconsidered, action taken in good faith and in reliance upon the opinion prior to its reconsideration shall estop the Board from claiming any violation of Section 9-8.10 of the Election Code or of any rules or regulations of the Board to which the advisory opinion applied.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.730  Public Availability of Advisory Opinions

a)         When issued, each advisory opinion shall be made public and shall be sent by mail or personal delivery to the requesting party.

b)         A copy of all advisory opinions shall be kept on file and shall be made available for public inspection through the Office of the General Counsel in both the Chicago and Springfield offices.  Opinions will be available for inspection during normal working hours.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.740  Conflict Between this Part and the IAPA

In the event of any conflict between this Part and the Illinois Administrative Procedure Act [5 ILCS 100], the provisions of the Illinois Administrative Procedure Act shall control.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.810  Ex Parte Communications

a)         Except in the disposition of matters they are authorized by law to entertain or dispose of on an ex parte basis, members of the Board, employees of the Board and Hearing Officers shall not, after the commencement of any proceeding pursuant to Article 9 or this Part, communicate, directly or indirectly with any party in connection with any pending issue except upon notice and opportunity for all parties to participate. If a party contacts an employee of the Board or the Hearing Officer without notice and an opportunity for the remaining parties to participate, and the party specifically references a pending complaint, the employee or Hearing Officer may provide only the time and place of the next hearing and contact information for the Hearing Officer and remaining parties, and shall instruct the party that future communications regarding the matter must include all parties.

b)         With respect to any complaint filed pursuant to Subpart B, the prohibition provided for in subsection (a) shall commence with the filing of the complaint.

c)         Nothing in this Section shall prohibit Board staff or Board members from communicating with each other, or a Hearing Officer or Board member from communicating with employees of the Board, to obtain their aid and advice on technical matters that fall within the area of expertise of the employee consulted.

d)         Ex parte communications may also be governed by Section 5-50 of the State Officials and Employees Ethics Act [5 ILCS 430].

e)         The Board may institute sanctions against any violator of this Section as it may deem appropriate and authorized by law.

(Source:  Amended at 47 Ill. Reg. 5503, effective March 30, 2023)

Section 125.820  Effective Date (Repealed)

(Source:  Repealed at 35 Ill. Reg. 2351, effective February 4, 2011)

Section 125.830  Interpretation

The use of the masculine shall include the feminine or neuter where appropriate; the use of the singular shall include the plural where necessary.  Whenever the word "shall" is used it shall be considered mandatory.  The use of "may" is deemed permissive.

Section 125.840  Severability

The rules promulgated in this Part are severable and the invalidity or unenforceability of one or more shall not affect the validity of any other rule that may be given independent effect or application.

(Source:  Amended at 35 Ill. Reg. 2351, effective February 4, 2011)