Section 1435.10  General Provisions – Applicability

The Commission may conduct a proceeding known as an enforcement proceeding, when it has reason to believe that a person has committed an act which is a violation of the applicable statute; of any Commission rule, regulation, order, or requirement; or of any term, condition or limitation of a license or registration issued by the Commission.  The result of the operating practices proceeding may be the imposition of sanctions including, but not limited to, the suspension or revocation of the person's license or registration, issuance of a cease and desist order, the assessment of civil penalties, or a combination of sanctions.  The operating practices proceeding shall be governed, by the Commission's Rules of Practice, codified as 83 Ill. Adm. Code 200 (General Order 154).

(Source:  Amended at 10 Ill. Reg. 3820, effective February 10, 1986)

Section 1435.15  Settlement in Lieu of Formal Enforcement Proceeding

Prior to the institution of formal enforcement proceedings before the Illinois Commerce Commission ("Commission") a respondent shall be given the opportunity to settle, at an informal staff level, any controversy regarding the respondent's alleged illegal activity under the Illinois Commercial Transportation Law ("Law") (Ill. Rev. Stat. 1987, ch. 95½, pars. 18c-1101 et seq.).

a)         The Notice of Alleged Violation and Opportunity to Settle ("NAVOS") setting forth the alleged violations of the Law or rules of the Commission shall be served on the respondent and shall specify the procedure for the respondent to exercise his option to settle.  Included will be instructions to telephone or write to the specific Commission staff member assigned to the case to request and schedule a settlement conference if the respondent chooses to exercise the settlement option.  The respondent shall have 20 days from the date of service to exercise his option to settle.

b)         Monetary settlements specified in the NAVOS shall be based upon the minimum and maximum amounts set forth in Section 18c-1704(2) of the Law.

c)         An amount less than the minimum established in the NAVOS may be agreed upon between the staff of the Commission and the respondent during informal settlement discussions.  This lesser amount shall be incorporated in a stipulated settlement agreement which shall be presented to the Commission for approval or rejection pursuant to the provisions of Section 18c-1705 of the Law.

d)         Settlement amounts shall be determined upon consideration of the respondent's past compliance history, whether the violation(s) was the result of willful conduct or an incorrect, but colorable interpretation of the Law (e.g., misinterpretation of the commodity authority), his cooperation with authorities in the resolution of the dispute, and his willingness to comply with the Law and Commission rules, the type of violation, the amount of revenue realized from the unlawful activities, and the number of violations.

e)         If a settlement agreement is not reached, the matter will be set for hearing before a Commission Hearing Examiner (See 83 Ill. Adm. Code 200).

f)         The respondent's right to a hearing and his position at hearing will not be prejudiced in any way if settlement is not reached.

(Source:  Added at 13 Ill. Reg. 18859, effective November 15, 1989)

Section 1435.20  Initiation of Enforcement Proceeding

a)         An enforcement proceeding shall be initiated by the issuance of a Complaint which shall set forth the alleged violations of the Law.  The Complaint shall be served on the respondent by certified mail, return receipt requested, at the last address known to the Commission, or by personal service if the respondent is not licensed by the Commission and service by mail cannot be accomplished.

b)         The respondent shall have 20 days from the date of service of the Complaint to file a responsive pleading with the Commission.  Failure to respond within the specified time shall result in the matter being set for hearing.  Notice of the time, date and place for the hearing shall be mailed to the respondent.

c)         All matters set for hearing as a result of this Section shall be conducted in accordance with 83 Ill. Adm. Code 200 (Rules of Practice) and with the provisions of Section 18c-1704 of the Law.

d)         Respondent's failure to appear at a hearing or otherwise respond to a complaint shall constitute a waiver of the respondent's right to contest the alleged violation(s).  Commission staff shall present evidence in support of its allegations and the Commission is authorized, without further notice or hearing, to make findings and may forthwith order the imposition of sanctions including, where applicable, the assessment of a civil penalty.

(Source:  Amended at 13 Ill. Reg. 18859, effective November 15, 1989)

Section 1435.30  Service of Order

Service of orders shall be made by certified mail, return receipt requested.

Section 1435.40  Respondent's Reply – Failure to Appear at Hearing

Respondent's failure to appear at a hearing or otherwise respond to a citation shall constitute a waiver of the respondent's right to contest the alleged violation(s). Commission staff shall present evidence in support of its allegations and the Commission is authorized, without further notice or hearing, to make findings and may forthwith order the imposition of sanctions including, where applicable, the assessment of an appropriate civil penalty.

(Source:  Amended at 10 Ill. Reg. 3820, effective February 10, 1986)

Section 1435.50  Civil Penalties – Method of Payment

Whenever the Commission assesses a civil penalty under this Part:

a)         Payment of the civil penalty shall be made by certified or cashier's check, money order, or in installments by the foregoing means after execution of a promissory note containing an agreement for judgment.

b)         All remittances shall be made payable to the Illinois Commerce Commission and sent to Fiscal Control, Illinois Commerce Commission, 527 East Capitol Avenue, Springfield, Illinois 62706.

Section 1435.60  Commission Order After Hearing – Civil Penalties

If, within 30 days after the service of an order assessing a civil penalty, the respondent has failed to file a Petition for Reconsideration under Section 67 of the Illinois Public Utilities Act, as adopted by Section 18-900 of the Law, or otherwise fails to take a timely appeal, and has not followed the provisions of Section 1435.50 of this Part, the case shall be referred to the Attorney General with a request that an appropriate action to collect the penalty be brought in the applicable circuit court.