AUTHORITY: Implementing and authorized by Section 10-101 of the Public Utilities Act [220 ILCS 5/10-101], Section 18c-1202 of the Illinois Commercial Transportation Law [625 ILCS 5/18c-1202], Section 18a-200 of the Illinois Commercial Relocation of Trespassing Vehicles Law [625 ILCS 5/18a-200], Section 10 of the Electric Supplier Act [220 ILCS 30/10], and Section 25-101 of the Electronic Commerce Security Act [5 ILCS 175/25-101].

SOURCE: Filed and effective January 15, 1960; codified at 8 Ill. Reg. 18459; old rules repealed and new Part adopted at 9 Ill. Reg. 5627, effective April 15, 1985; emergency amendments at 10 Ill. Reg. 1277, effective January 1, 1986, for a maximum of 150 days; amended at 10 Ill. Reg. 10481, effective May 30, 1986; amended at 18 Ill. Reg. 7748, effective May 15, 1994; amended at 20 Ill. Reg. 10607, effective August 15, 1996; emergency amendment at 24 Ill. Reg. 7903, effective May 22, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 16019, effective October 15, 2000; amended at 32 Ill. Reg. 14497, effective September 1, 2008; amended at 35 Ill. Reg. 6327, effective April 1, 2011; amended at 38 Ill. Reg. 22706, effective November 21, 2014; amended at 43 Ill. Reg. 7217, effective June 17, 2019.

SUBPART A: GENERAL PROVISIONS

 

Section 200.10  Procedure Governed

 

a)         This Part governs practice and procedure before the Illinois Commerce Commission in docketed proceedings, other than those before Commission employee boards, arising out of any law which confers jurisdiction on the Commission.

 

b)         This Part does not apply to informal proceedings and activities including but not limited to inquiries conducted pursuant to notices of inquiry.

 

Section 200.20  Construction of This Part

 

This Part shall not be construed to abrogate, modify or limit any rights, privileges or immunities granted or protected by the Constitution or laws of the State of Illinois or the United States.

 

Section 200.25  Standards for Discretion

 

All Commission discretion under this Part shall be exercised so as to accomplish the goals set forth in the remainder of this Section.

 

a)         Integrity of the fact-finding process – The principal goal of the hearing process is to assemble a complete factual record to serve as basis for a correct and legally sustainable decision.

 

b)         Fairness – Persons appearing in and affected by Commission proceedings must be treated fairly.  To this end, parties which do not act diligently and in good faith shall be treated in such a manner as to negate any disadvantage or prejudice experienced by other parties.

 

c)         Expedition – Proceedings must be brought to a conclusion as swiftly as is possible in keeping with the other goals of the hearing process.

 

d)         Convenience – The hearing process should be tailored where practicable to accommodate the parties, staff witnesses, the Hearing Examiner and the Commission itself.

 

e)         Cost-effectiveness – Minimization of costs incurred by the Commission, and by both public and private parties, should be sought.

 

(Source:  Added at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.30  Deviation from This Part

 

To the extent permitted by law, any provision of this Part may be waived, suspended or modified by the Commission, for good cause shown, either upon its own motion or upon motion by any person.

 

Section 200.40  Definitions

 

Unless otherwise defined, the following terms as used in this Part shall have the following meanings:

 

            "Commission" means the Illinois Commerce Commission.

 

            "Commissioner" means a member of the Commission.

 

            "Complainant" means a person who complains to the Commission by formal written complaint of any acts or things done or omitted to be done in violation, or claimed to be in violation, of the jurisdictional acts or of any order or rule of the Commission.

 

            "Contested case" means any proceeding, not including rate making, rulemaking, quasi-legislative, informational or similar proceedings, where individual legal rights, duties or privileges of a party are required by law to be determined by the Commission after an opportunity for a hearing. [5 ILCS 100/1-30] With respect to proceedings under the Public Utilities Act, however, complaint cases initiated pursuant to any section of that Act, investigative proceedings and ratemaking cases shall be considered "contested cases" [220 ILCS 5/10-101].

 

            "e-Docket" means a Web based electronic filing system that allows electronic filing, management, and access to electronic records that make up case files.

 

            "Electronic" includes electrical, digital, magnetic, optical, electromagnetic, or any other form of technology that entails capabilities similar to these technologies. [220 ILCS 5/3-122]

 

            "Electronic document" means a pleading or a document transmitted by electronic means to the Commission with an electronic signature attached.

 

            "Electronic record" means a record generated, communicated, received, or stored by electronic means for use in an information system or for transmission from one information system to another. [5 ILCS 175/5-105]

 

            "Electronic signature" means a signature in electronic form issued by the Commission pursuant to Section 200.1020 and consisting of a user I.D. and password attached to or logically associated with an electronic document.

 

            "E-mail address" means a destination, commonly expressed as a string of characters, to which electronic mail may be sent or delivered. [815 ILCS 511/5]

 

            "Hearing Examiner" means an employee of the Commission, or a Commissioner, designated by the Commission to conduct hearings and take evidence, who shall have additional powers as are provided by the Electric Supplier Act [220 ILCS 30], the Illinois Commercial Relocation of Trespassing Motor Vehicles Law [625 ILCS 5/Ch. 18A], the Illinois Commercial Transportation Law [625 ILCS 5/Ch. 18C], the Public Utilities Act [220 ILCS 5] and the Illinois Administrative Procedure Act [5 ILCS 100].

 

            "ICTL" means the Illinois Commercial Transportation Law [625 ILCS 5/Ch. 18C].

 

            "Intervenor" means a person who, upon written petition, is permitted to intervene in any proceeding before the Commission; provided that, in the case of any inquiry, investigation or hearing under the Public Utilities Act on any matter relating to rates or other charges or services within any city, such city may become a party to the proceeding and an intervenor by filing with the Commission a written appearance of its attorney or authorized representative.

 

            "License."  A license includes the whole or part of any permit, certificate, approval, registration or similar type of permission required by law.  [5 ILCS 100/1-35]

 

            "Licensing Proceeding" means the Commission process respecting the grant, denial, renewal, revocation, suspension, annulment, withdrawal or amendment of a license, when required by law to be preceded by notice and opportunity for hearing [5 ILCS 100/1-40 and 10-65].

 

            "Non-party participant" means a person who either through testimony or a statement comments on any matter pending before the Commission.  A non-party participant is not an "Intervenor" and does not have the rights of an Intervenor.  A person need not file a petition to become a non-party participant but must comply with those procedures established by the Hearing Examiner.

 

            "Party" means any person who initiates a Commission proceeding by filing an application, complaint or petition with the Commission, or who is named as a respondent, or who is allowed by the Commission or by statute to intervene in a proceeding. Such a party to a proceeding before the Commission may be an applicant, complainant, intervenor, petitioner or respondent. Staff witnesses are not parties but shall have the specific rights and duties enumerated in this Part.

 

            "Person" means any individual, partnership, corporation, governmental body or unincorporated association.

 

            "Petitioner" or "Applicant" means a party who by written petition or application applies for or seeks relief under any provisions of the jurisdictional acts or any order or rule of the Commission and who is not otherwise designated in this Section.

 

            "Pleading" means any application, complaint, motion, petition or answer filed in writing with the Commission in a formal proceeding.

 

            "Public Utilities Act" means the Public Utilities Act [220 ILCS 5].

 

            "Respondent" means a party against whom a complaint or petition is filed, or a party who, by reason of interest in the subject matter of a petition or application or the relief sought therein, is made a respondent, or a party to whom an order is directed by the Commission initiating a proceeding, including public utilities, telecommunications carriers and carriers under the ICTL which have filed tariff schedules that are suspended for investigation by the Commission.

 

            "Staff" or "Commission Staff" means individuals employed by the Commission.  For purposes of this Part, a Hearing Examiner is not considered a member of the Commission Staff.

 

            "Staff witness" means a member of the Commission staff, excluding counsel, who testifies or enters an appearance in a particular proceeding before the Commission.  Except for staff witnesses, this definition shall not limit the utilization of Commission staff as technical advisors to the Hearing Examiner or Commission.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.50  Office

 

The principal office of the Commission shall be located in Springfield, Illinois.  All offices of the Commission shall be open from 8:30 a.m. to 5:00 p.m. each day except Saturday, Sunday and legal holidays and such other days that shall be declared by appropriate authority.  The Commission shall also maintain an office in Chicago, Illinois, and may, in accordance with law, establish such other offices as may be deemed necessary.

 

Section 200.60  Open Meetings

 

a)         The Commission shall comply with the provisions of the Open Meetings Act [5 ILCS 120].

 

b)         Emergency meetings may be called by the Chairman or a majority of the Commission.  Nothing in this Part shall prohibit the Commission from conducting meetings partially or wholly by means of telecommunications.

 

c)         The agenda for each regular meeting shall be posted at the Commission's principal office in Springfield, in an area easily accessible to the public, at the earliest practicable date but in no event less than 48 hours prior to the scheduled meeting.  Whenever practicable, similar posting of the agenda shall be made in the Commission's offices in Chicago and on the Commission's Web site (http://www.icc.illinois.gov).  A supplemental agenda of matters added subsequent to the initial agenda shall be posted when practicable.  Agendas for regular meetings are for information only.  Inclusion of an item on the agenda shall not require the Commission to consider it.  Notices and agendas may be obtained from the Chief Clerk's office in Springfield and Chicago.

 

d)         Participation in meetings is generally limited to Commissioners, Hearing Examiners, and Commission Staff other than Staff witnesses.  Except where precluded by Section 200.710, others may participate in Commission meetings as prescribed in 2 Ill. Adm. Code 1700.10 or on invitation of the Commission.  The Commission shall take those actions necessary to permit its deliberations to be conducted in an orderly manner.

 

(Source:  Amended at 32 Ill. Reg. 14497, effective September 1, 2008)

 

Section 200.70   Submission of Paper Documents

 

a)         Unless filed through the e-Docket system pursuant to Subpart F, all formal written communications and documents to be filed with or submitted to the Commission shall be addressed to:  The Chief Clerk, Illinois Commerce Commission, 527 East Capitol Avenue, Springfield, Illinois 62701.  Petitions, complaints and other filings that initiate a proceeding or petitions for interlocutory review shall be deemed to be officially filed or submitted only when received at the principal office of the Commission. The Chief Clerk is the official custodian of all Commission records.  Unless the Public Utilities Act or other applicable statute specifically provides otherwise, or the Hearing Examiner specifically provides otherwise in the interest of a fair hearing, all other formal written communications and documents shall be deemed officially filed or submitted either when received at the principal office of the Commission or:

 

1)         if transmitted through the United States mail, shall be deemed filed with or received by the Commission on the date shown by the post office cancellation mark stamped upon the envelope or other wrapper containing it.  If transmitted by a private express courier service, shall be deemed filed with or received by the Commission upon delivery to the courier service;

 

2)         if mailed or deposited with a private express courier service but not received by the Commission or if received but without a cancellation mark or with the cancellation mark illegible or erroneous, shall be deemed filed with or received by the Commission on the date it was sent or deposited, provided a Proof of Filing by certificate of attorney, acknowledgment of receipt, or affidavit is provided to the Commission showing that the writing was deposited, properly addressed, in the United States mail or with a private express courier service on or before the date on which it was required or authorized to be filed.  In cases in which the writing was mailed or deposited with a private express courier service but not received, the sender must also file with the Commission a duplicate writing, within 10 days after notification is given to the person claiming to have sent the writing, of nonreceipt of the writing;

 

3)         if a writing is sent by United States registered mail, certified mail or certificate of mailing, a record authenticated by the United States Postal Service of such registration, certification or certificate shall be considered competent evidence that the writing was mailed.  The date of registration, certification or certificate shall be deemed the postmarked date.

 

b)         In an emergency, upon affidavit specifying the emergency and affirming that no person will be prejudiced, the Chief Clerk or his/her designated representative shall authorize filing in the Chicago office of the Commission.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.80  Computation of Time

 

The time within which an act is to be done as provided in any rule or order promulgated by the Commission shall be computed by excluding the first day and including the last, unless the last day is Saturday or Sunday or is a holiday as defined or fixed in any statute now or hereafter in force in this State, and then it shall also be excluded.  If the day succeeding such Saturday, Sunday or holiday is also a holiday or a Saturday or Sunday then such succeeding day shall also be excluded. [5 ILCS 70/1.11]

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.90  Appearances

 

a)         Any party may appear by an attorney at law authorized to practice in the State of Illinois; attorneys licensed in another state, territory or commonwealth of the United States, in the District of Columbia, or in a foreign country shall be allowed to appear before the Commission as provided in Supreme Court Rule 707.  An attorney appearing pursuant to Supreme Court Rule 707 shall file the statement described in Supreme Court Rule 707(d) as a part of the attorney's entry of appearance, along with proof of service as required by Section 200.150(b), or Section 200.1050(a), if applicable. b)        A natural person may appear in his or her own behalf.

 

c)         A corporation or association may appear by any bona fide officer, employee or representative. Only persons admitted to practice as attorneys shall represent others in proceedings before this Commission in any matter involving the exercise of legal skill or knowledge.

 

d)         When Staff witnesses are represented by an attorney, their appearance shall be made by their attorney or attorneys.  All Commission Staff witnesses not represented by counsel, who speak at any hearing, shall enter an appearance.

 

e)         All persons appearing in proceedings before the Commission shall conform to the standards of conduct of attorneys before the courts of Illinois.  These standards are set forth in the Illinois Rules of Professional Conduct of 2010 (Ill. S. Ct. Rules, Art. VIII).  If any person does not conform to such standards, the Hearing Examiner may decline to permit such person to appear in any proceeding.

 

(Source:  Amended at 38 Ill. Reg. 22706, effective November 21, 2014)

 

Section 200.95  Class Actions Prohibited

 

Because the Commission does not have statutory authority to entertain class actions, no such actions shall be filed or maintained before the Commission.

SUBPART B: FORM, FILING AND SERVICE OF PLEADINGS

 

Section 200.100  Contents of Pleadings and Documents

 

All pleadings and documents in proceedings before the Commission to which a docket number has been assigned shall display the docket number.  Pleadings initiating a new proceeding shall leave a space for the docket number.  All pleadings shall also include the following information

 

a)         The full name, address, telephone number, and, unless the party has no facsimile number or e-mail address either directly or through its attorney, facsimile number and e-mail address of the person or the representative of the person filing the pleadings.  A party, in its first pleading in a proceeding, shall state whether it agrees to accept service by electronic means as provided for in Section 200.1050.  A party later may agree, or may revoke its agreement, to accept electronic service, provided that the party shall file and serve a notice of the later agreement or revocation.

 

b)         A plain and concise statement of any facts upon which the pleadings are based.

 

c)         The specific relief sought, which may be in the alternative, including the statutory authority or rule and regulation upon which such relief is sought.

 

d)         If an attorney licensed in another state, territory or commonwealth of the United States, in the District of Columbia, or in a foreign country files a pleading initiating a new proceeding, the pleading shall be accompanied by the statement described in Supreme Court Rule 707(d).

 

(Source:  Amended at 38 Ill. Reg. 22706, effective November 21, 2014)

 

Section 200.110  Forms of Pleadings and Documents

 

a)         All pleadings and documents filed with the Commission shall be typewritten or printed on white paper 8½ inches by 11 inches or capable of being printed on white paper 8½ inches by 11 inches and shall have inside text margins of not less than one inch. An optional heading consisting of the docket number and document title shall be placed in the upper right-hand corner and have a top margin of not less than ¾ inch. Page numbers shall be centered and have a bottom margin of not less than ½ inch.  Line numbers shall have a left-hand margin of not less than ½ inch. All exhibits of a documentary character shall, whenever practical, conform to these requirements of size and margin.  The impression shall be on one side of the paper only and shall be double spaced; footnotes may be single spaced and quotations may be single spaced and indented.

 

b)         All pleadings or other documents shall be composed in either Arial or Times New Roman font, black type on white background.  The text of pleadings or documents shall be at least 12-point.  Footnotes shall be at least 10-point. Other material not in the body of the text, such as financial data schedules and exhibits, shall be at least 8-point.  All exhibits of a documentary character shall, whenever practical, conform to these requirements.  Persons filing a formal complaint pursuant to Section 200.170 using the complaint form provided by the Commission may complete the form in handwriting.

 

c)         Reproductions may be by any process, providing that all copies are clear and permanently legible.

 

d)         Testimony prepared for the purpose of being entered into evidence shall include line numbers on the left-hand side of each page of text.  Testimony shall include continuous line numbers.  Schedules, attachments, and exhibits of a numerical or documentary nature shall, whenever practical, conform to these requirements.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.120  Copies of Pleadings

 

a)         For dockets initiated before January 1, 2000, pleadings shall be filed with the Chief Clerk in one paper original and two paper copies, unless otherwise specified in this Part.

 

b)         For dockets initiated after January 1, 2000, only one original shall be filed.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.130  Signature and Verification

 

The original of every pleading filed with the Commission shall be signed by the party filing the same or by an officer, agent or attorney therefor, provided that petitions filed under Section 7-102 of the Public Utilities Act [220 ILCS 5/7-102] shall be signed by the persons specified in that Section. The contents of all formal complaints, petitions, applications, petitions to intervene, supplemental formal complaints and supplemental petitions shall be verified by the filing party before a notary public.  Alternatively, any party may certify, in the manner provided by Section 1-109 of the Code of Civil Procedure [735 ILCS 5/1-109], any document that requires verification.

 

(Source:  Amended at 43 Ill. Reg. 7217, effective June 17, 2019)

 

Section 200.140  Amendments

 

Amendments to pleadings may be allowed by the Hearing Examiner or the Commission upon motion at any time during the pendency of the proceeding on such terms as shall be just and reasonable.

 

Section 200.150  Service

 

a)         Formal complaints will be served by the Commission only.

 

b)         Petitions, applications, answers, intervening petitions, supplemental complaints and petitions, amendments to pleadings, written motions, responses, replies, notices, suggested findings of fact and conclusions of law, exceptions to Hearing Examiners' proposed orders, briefs, drafts or suggested forms of order, applications for further hearing, petitions for rehearing, and similar documents shall be filed with the Chief Clerk of the Commission and shall be served by the person filing same upon all parties to the proceeding and upon Staff and the Hearing Examiner, if any, and, when filed, shall be accompanied by proof of service upon all parties.  In addition, any person filing a petition under Section 8-406 of the Public Utilities Act [220 ILCS 5/8-406] for a certificate of public convenience and necessity to serve as a water or sewer public utility shall serve a written copy of the petition on each municipality which is located partly or wholly within the area proposed to be certificated, or whose corporate boundary lies within 1½ miles of such area.

 

c)         Service of paper documents.  Except as otherwise provided in this Subpart, Subpart F, or by the Commission or the Hearing Examiner, service of paper documents shall be made by delivering in person or by depositing in the United States mail, properly addressed with first class postage prepaid, or by depositing with a private express courier service, properly addressed with charges prepaid or payment arrangements made, one copy to each person entitled thereto.  Service by mail is effective upon mailing; service by a private express courier service is effective upon delivery to the private express courier service. Service of petitions for interlocutory review shall be effective upon receipt by the party served.  When Staff witnesses or any party or parties have appeared by an attorney, service upon the attorney shall be deemed service upon such persons.  Notices under the ICTL shall be served as provided in Sections 18c-1801 and 18c-1802 of that statute [625 ILCS 5/18c-1801 and 18c-1802].  Service is effective on a public utility, telecommunications carrier, carrier under the ICTL or other entity regulated by the Commission, if mailed to the last address on file with the Commission.  Except as otherwise provided by the Commission or the Hearing Examiner, whenever Staff or a party has the right or is required to do some act within a prescribed period after the service of a notice or other document upon Staff or the party, and the notice or other document is served upon Staff or the party by mail, four days shall be added to the prescribed period.

 

d)         Proof of service of any paper document shall be by certificate of attorney, acknowledgement of receipt, or affidavit, except that proof of service on the Commission is made pursuant to Section 200.70.

 

e)         In any proceeding involving more than four parties, the Chief Clerk shall prepare and disseminate to all parties a service list showing the name of each party and the names and addresses of each party's representatives entitled to service.  Unless a party was unable to include an e-mail address pursuant to Section 200.100, 200.170, 200.200, or 200.540, service lists shall show the e-mail addresses of each party's representatives.  Parties shall be required to update their service lists to insure the inclusion of all parties during the course of the proceeding.  Updated service lists may be obtained from the Chief Clerk's office.

 

f)         In any application, petition, or complaint that initiates a "Contested Case" or a "Licensing Proceeding" as defined in Section 200.40, the Commission shall serve notice.  The notice shall provide:

 

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

 

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

 

3)         A reference to the particular Sections of the substantive and procedural statutes and rules involved;

 

4)         Except where a more detailed statement is otherwise provided for by law, a short and plain statement of the matters asserted, the consequences of a failure to respond, and the official file or other reference number;

 

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

 

6)         A copy of the complaint, in proceedings initiated under Section 10-108 of the Public Utilities Act [220 ILCS 5/10-108]

 

g)         The Commission shall serve the notice provided by subsection (f) by personal delivery or by mailing the notice in the United States mail in a sealed envelope with postage prepaid. The Commission may also serve, by electronic means, the notice provided for in subsection (f), provided that the subject line of the electronic message states "OFFICIAL COMMISSION NOTICE OF CASE OR PROCEEDING".  Notice of any additional hearings or other notices mailed by the Commission shall be by regular United States mail or as otherwise provided by the Hearing Examiner.

 

h)         A person filing an application under Section 8-406 of the Public Utilities Act for a Certificate of Public Convenience and Necessity to construct facilities upon or across privately owned tracts of land, or filing under Section 8-503 of that Act [220 ILCS 5/8-503], shall include with the application when filed with the Commission a list containing the name and address of each owner of record of the land as disclosed by the records of the tax collector of the county in which the land is located, as of not more than 30 days prior to the filing of the application.  The Commission shall notify the owners of record of the time and place scheduled for the initial hearing upon the application.  The foregoing provisions for notice to owners of record shall not be deemed jurisdictional and the omission of the name and address of an owner of record from the list or lack of notice shall in no way invalidate a subsequent order of the Commission relating to the application.

 

i)          When a person files an application under Section 8-503 or 8-406 of the Public Utilities Act, the requirements of subsection (h) above shall apply only if the application requests a certificate of authority to construct particular facilities at specified locations and shall apply only with respect to the construction.

 

j)          When a person files an application under both Section 8-406 of the Public Utilities Act and under the Gas Storage Act [220 ILCS 15], the utility's compliance with the notice requirements of the Gas Storage Act will be deemed to be in compliance with the requirements set forth in subsection (h) above.

 

k)         Persons filing applications under the ICTL that are subject to the service and notice requirements of Section 18c-4201 of that Law [625 ILCS 5/18c-4201] shall comply with the requirements of that Section and the rules of the Commission issued under that Section.

 

l)          Persons filing applications under the Illinois Commercial Relocation of Trespassing Vehicles Law who are subject to the service and notice requirement of Section 18a-400(c) of that Law [625 ILCS 5/18a-400(c)] shall comply with the requirements of that Section and the rules of the Commission issued under that Section.

 

m)        Persons subject to the Electric Supplier Act [220 ILCS 30] shall comply with any and all service and notice requirements under that Act.

 

n)         The Commission or the Hearing Examiner may require notice in addition to that set forth in this Section.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.160  Informal Complaints

 

An informal complaint may be presented orally or in writing and shall contain a concise statement of the facts involved, the specific relief requested, and the name, address and telephone number of the complaining person and each person against whom complaint is made.  Such complaints will not be docketed and will not initiate a formal proceeding.  The Commission acting through its staff will investigate and attempt to resolve informal complaints without formal action.  The presentation of an informal complaint shall be without prejudice to the right to file a formal complaint.  Nothing in this Section shall prohibit the Commission from proceeding on its own motion on the basis of an informal complaint.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.170  Formal Complaints

 

A formal complaint shall be in writing and verified, and an original complaint shall be filed with the Commission, together with as many additional copies as there are parties complained against, and shall set forth the following:

 

a)         The name, address, telephone number, and, unless the complainant has no facsimile number or e-mail address either directly or through its attorney, facsimile number and e-mail address of each complainant and the complainant's attorney, if any.  A complainant, in the complaint, shall state whether it agrees to accept service by electronic means as provided for in Section 200.1050.  A complainant later may agree, or may revoke its agreement, to accept electronic service, provided that the complainant shall file and serve a notice of the later agreement or revocation.

 

b)         The name and address of each respondent.

 

c)         A plain and concise statement of the nature of each complainant's interest and the acts or things done or omitted to be done in violation, or claimed to be in violation, of any statute, or of any order or rule of the Commission.

 

d)         If the complainant alleges a violation of 83 Ill. Adm. Code 280 or 735, the complaint shall contain a Statement of Compliance with 83 Ill. Adm. Code 280.170 or 83 Ill. Adm. Code 735.200, whichever is applicable.

 

e)         The particular relief desired.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.180  Answers

 

a)         Whenever the Hearing Examiner issues a ruling that a complaint provides a clear statement on the subject matter, scope of complaint, and basis thereof, answers to formal complaints shall be filed with the Commission within 21 days after the date on which the Commission serves notice of the Hearing Examiner's ruling upon the respondent, unless otherwise ordered.  If any respondent fails to file an answer, when required under this Section, allegations of fact as to the respondent will be considered admitted.  If respondent does not file an answer when no filing requirement exists, issue as to the respondent will be considered joined.  Answers shall contain an explicit admission or denial of each allegation of the pleading to which they relate and a concise statement of the nature of any defense.

 

b)         Answers to formal applications and petitions shall be filed with the Commission within 21 days after the date on which the applications or petitions are served upon the respondent, unless otherwise ordered.  If any respondent fails to file an answer, issues as to the respondent will be considered joined.  Answers shall contain an explicit admission or denial of each allegation of the pleading to which they relate and a concise statement of the nature of the defense.

 

c)         The original of an answer to a verified pleading shall be verified.

 

d)         Answers to petitions for intervention and to amended or supplemental pleadings need not be made unless the party so elects; and, in case answers are not made, the issue will be considered joined.  Such answers, if made, shall conform to the requirements of subsections (b) and (c) of this Section, however, such answers shall be filed within 14 days, unless otherwise prescribed by the Hearing Examiner.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.185  Satisfaction of Complaint

 

If a respondent satisfies a formal complaint during the pendency of the proceeding, a stipulation signed by all parties or those parties for whom the complaint was satisfied requesting the dismissal of the complaint shall be filed with the Commission. If made at a hearing, such stipulation may be oral.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.190  Motions

 

a)         Motions may be presented requesting a more sufficient pleading, a bill of particulars, the striking of irrelevant, immaterial, scurrilous or unethical matter, the addition of necessary parties, the dismissal of the proceeding for want of jurisdiction or want of prosecution, the quashing of a subpoena, the postponement of an effective date of an order, the extension of time for compliance with an order or such other relief or order as may be appropriate.

 

b)         Motions may be presented requesting the Hearing Examiner's direction concerning prehearing submissions and procedures as provided in Section 200.310 of this Part.

 

c)         Motions, unless made during a hearing, shall be made in writing, shall set forth the relief or order sought and shall be filed and served as provided in Section 200.150(b), (c), and (d) of this Part.  Motions based on matter which does not appear of record shall be supported by affidavit.

 

d)         Relief pending disposition of a proceeding, including interim relief, may be requested by motion.

 

e)         Unless otherwise specified by the Hearing Examiner, responses to motions shall be filed and served within 14 days after service of the motion and replies to responses shall be filed and served within 7 days after service of the responses.

 

f)         When the Commission grants a contested motion to dismiss a proceeding, in whole or in part, the Commission shall issue an order presenting its rationale for the grant.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.200  Intervention

 

a)         Petitions to intervene shall contain:

 

1)         The name, address, telephone number, and, unless the petitioner has no facsimile number or e-mail address either directly or through its attorney, facsimile number and e-mail address of the petitioner seeking leave to intervene;

 

2)         A plain and concise statement of the nature of the petitioner's interest;

 

3)         A prayer for leave to intervene and be treated as a party to the proceeding;

 

4)         If affirmative relief is sought, specific prayers for that relief, which may be in the alternative;

 

5)         A statement as to whether the petitioner agrees to accept service by electronic means as provided for in Section 200.1050.  A petitioner later may agree, or may revoke its agreement, to accept electronic service, provided that the petitioner shall file and serve a notice of the later agreement or revocation.

 

b)         While a petition for leave to intervene is pending, the Hearing Examiner, in his or her discretion, may permit the petitioner to participate in the proceeding.

 

c)         Petitions to intervene shall be granted or denied by the Hearing Examiner, subject to Section 200.520.

 

d)         In order to promote efficiency, the Hearing Examiner may require parties to state whether they will be active  or not active in the proceeding.  If a party fails to respond in the manner designated by the Hearing Examiner within 14 days, the party shall be deemed to be a non-active party.  Active parties shall not be required to serve non-active parties with copies of testimony, data requests, pleadings and briefs.  However, non-active parties shall be entitled to receive notices and orders served by the Commission.  A party may change its designation at any time in the proceeding by filing a notice with the Chief Clerk and serving all parties.  If a non-active party has changed its status to active, upon receipt of the notice from the party, all other active parties shall serve that party with all subsequently filed testimony, pleadings and briefs.  A party's change in status shall not serve as the basis for delay or a modification of the procedural schedule in the case.

 

e)         Except for good cause shown, an intervenor shall accept the status of the record as the same exists at the time of the beginning of that person's intervention.  Subject to Section 200.850, any intervenor shall be allowed to comment in briefs and oral arguments on any matter addressed in the proceeding, whether before or after his intervention; and such intervenor shall be bound by rulings and orders theretofore entered.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.210  Petition for Rulemaking

 

Any interested person may petition the Commission requesting the promulgation, amendment or repeal of a rule.  Each petition shall set forth the petitioner's interest in the subject matter, the specific rule, amendment or repeal requested and the reasons therefor.  Within 30 days after receipt of the petition, the Commission either shall deny the petition in writing, stating its reasons for denial, or shall initiate rule making proceedings either by publishing a notice of proposed rulemaking in the Illinois Register or by commencing hearings.  Petitions for rulemaking not acted upon within 30 days will be considered denied.

 

Section 200.220  Declaratory Rulings

 

a)         When requested by the affected person, the Commission may in its sole discretion issue a declaratory ruling with respect to:

 

1)         the applicability of any statutory provision enforced by the Commission or of any Commission rule to the person(s) requesting a declaratory ruling; and

 

2)         whether the person's compliance with a federal rule will be accepted as compliance with a similar Commission rule.

 

b)         A request for a declaratory ruling:

 

1)         shall be captioned as such and shall contain a complete statement of the facts and grounds prompting the request, including a full disclosure of the requester's interest; a clear, concise statement of the controversy or uncertainty that is the subject of the request; the requester's proposed resolution of that controversy or uncertainty; and citations to any statutes, rules, orders or other authorities involved; and

 

2)         may be filed by itself or in conjunction with a complaint, petition, application or other pleading seeking other relief.

 

c)         The Commission may in its sole discretion direct that a request for a declaratory ruling be served on any person the Commission deems may be affected by the request.

 

d)         The requester(s) shall make available for the Commission's use the originals, or, if so directed, certified or verified copies, of all books, papers, and documents that may be required.  Failure to do so may be grounds for declining to issue a declaratory ruling.

 

e)         Responses, if any, to a request for declaratory ruling shall:

 

1)         be filed with the Commission within 21 days after the date on which the request was filed with the Commission or within such other time as the Commission directs; and

 

2)         be served upon the requester.

 

f)         Replies to responses may be filed with the Commission within 14 days after service, or within such other time as the Commission directs.

 

g)         All requests, responses and replies containing allegations of fact must be supported by affidavit or verified.

 

h)         The Commission may in its sole discretion dispose of a request for a declaratory ruling solely on the basis of the written submissions filed before it.

 

i)          Declaratory rulings shall not be appealable.

 

j)          The Commission may, pursuant to Section 10-113 of the Public Utilities Act [220 ILCS 5/10-113] and after notice to the affected person, revoke or revise its declaratory ruling.  However, a person whose request for a declaratory ruling has been granted by the Commission and who has relied in good faith on the declaratory ruling shall not thereafter be fined, sanctioned or otherwise penalized by the Commission as a result of such reliance.

 

k)         The Commission shall maintain as a public record in its Springfield office and make available for public inspection and copying any declaratory rulings.  The Commission shall delete trade secrets or other confidential information from the ruling before making it available for public inspection.

 

l)          With regard to a request filed under subsection(a)(2) of this Section, if the Commission determines that compliance with the federal rule:

 

1)         would not satisfy the purposes or relevant provisions of the State law involved, the Commission shall state the reasons for the determination in its declaratory ruling;

 

2)         would satisfy the purposes and relevant provisions of the State law involved but would not satisfy the relevant provisions of the Commission rule involved, the Commission shall so inform the requester and the Joint Committee on Administrative Rules, and the Commission may initiate a rulemaking proceeding in accordance with Section 5-35 of the Illinois Administrative Procedure Act [5 ILCS 100/5-35] to consider revising its rule to accept compliance with the federal rule as compliance with the relevant provisions of the State law; and

 

3)         would satisfy the purposes and relevant provisions of the State law and the Commission rule involved, the Commission shall state in its declaratory ruling that compliance with the federal rule constitutes compliance with the State rule and shall specify any necessary terms and conditions.

 

(Source:  Added at 20 Ill. Reg. 10607, effective August 15, 1996)

SUBPART C: PREHEARING PROCEDURE AND DISCOVERY

 

Section 200.300  Prehearing Conferences

 

a)         The Hearing Examiner, on his or her own motion, upon motion by any party or staff witness, or when directed by the Commission, shall with reasonable written notice request all parties and staff witnesses to attend a prehearing conference when it appears that any of the goals set forth in subsections (a)(1) through (a)(7) of this Section can be attained. Such a conference shall be held for the purpose of formulating issues and considering:

 

1)         Simplification of issues;

 

2)         Amendments to the pleadings;

 

3)         The development of docket-specific discovery schedules and procedures to facilitate the prompt and efficient resolution of the proceeding;

 

4)         The possibility of obtaining admissions of fact and of the genuineness of documents which will avoid unnecessary proof;

 

5)         Limitations on the number of witnesses;

 

6)         The procedure at the hearing; and

 

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

 

b)         Except where the Illinois Administrative Procedure Act [5 ILCS 100] provides otherwise, the Hearing Examiner may on his or her own motion, on motion of any party or staff witness, or when directed by the Commission, with written notice to all parties and Staff witnesses, initiate an informal discussion whenever it appears that a mechanism less formal than a hearing might be useful in resolving any issue in a proceeding.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.310  Other Prehearing Submissions

 

The Hearing Examiner may at any time on his or her own initiative, or on motion of any party or Staff, consider the need for, and request as appropriate on a case by case basis:

 

a)         prehearing briefs on specified issues;

 

b)         prehearing oral presentations on specified issues; and/or

 

c)         the submission of prehearing draft orders or statements outlining the issues in dispute and key facts, and identifying the applicable statutes, rules, orders, or other authorities.

 

(Source:  Added at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.320  Facts Disclosed Privileged

 

Facts disclosed in the course of the prehearing conference are privileged and, except by agreement, shall not be used against participating parties either before the Commission or elsewhere unless fully substantiated by other evidence.

 

Section 200.330  Recordation and Order

 

Action taken at the prehearing conference shall be recorded in a ruling by the Hearing Examiner, unless the parties and staff witnesses, if any, enter into a written stipulation as to such matters, or agree to a statement thereof made on the record by the Examiner.

 

Section 200.335  Application of Discovery Rules Contained in Sections 200.340 through 200.430

 

a)         Except as otherwise specified in this Section, the provisions of Sections 200.340 through 200.430 of this Part shall apply fully to all proceedings before the Commission.  In proceedings under the ICTL, subsection (b) of this Section shall control in the event of a conflict between this Section and the remaining Sections of this Subpart.

 

b)         Special discovery provisions applicable to proceedings under Section 18c-2105 of the ICTL [625 ILCS 5/18c-2105].

 

1)         Discovery Generally.  Any party may utilize written interrogatories, depositions, requests for discovery or inspection of documents or property and other discovery tools commonly utilized in civil actions in the circuit courts in the State of Illinois in the manner contemplated by the Code of Civil Procedure and the Rules of the Supreme Court of Illinois; except that discovery must be completed by the 30th day after the party filed its petition for leave to intervene, unless the period of discovery is extended by agreement of the parties or by the Commission.  The Chairman or a hearing examiner may, at any time, on his own motion or at the request of a party, issue such rulings denying, limiting, conditioning, or regulating discovery as justice requires, and may supervise all or part of any discovery procedure.  Parties to proceedings before the Commission are encouraged to clarify and resolve issues where possible through the use of pre-hearing discovery. However, discovery order should be calculated to lessen the time and expense required to reach an informed resolution of the issues.

 

2)         Subpoenas.  The Chairman or a hearing examiner may, for good cause, issue a subpoena directing a person to appear and testify, and to produce records, documents, or other papers, at a time and place set forth in the subpoena, in connection with a proceeding before the Commission.  Service of the subpoena shall be in the same manner as a subpoena issued by a court.  The Commission may, on its own motion or the motion of a person served with a subpoena, quash the subpoena, in whole or in part.

 

3)         Appeal from Discovery and Subpoenas.  A person served with a discovery request or subpoena may appeal such interlocutory matter to the Commission.  Such appeals shall set forth grounds for seeking to quash or limit the scope of the discovery or subpoena, as well as the specific relief sought, and must be filed within 10 days after service of the discovery or subpoena.  If discovery is stayed by the Commission, the person served shall be excused from compliance with the discovery order or subpoena until a decision on its appeal is made by the Commission.

 

4)         Assessment and Payment of Discovery Costs.  The Commission may assess the costs of discovery, including fees for witness attendance and travel, against the party by which discovery was requested.  Where a subpoena is issued on the Commission's own motion, fees for witness attendance and travel shall be paid by the Commission on request.  Witness fees shall be the same as for a circuit court proceeding.  Deposits to insure payment of costs and fees may be required.

 

5)         Enforcement of Discovery Procedures.  The Commission may, where a person has failed to comply with or permit discovery authorized hereunder, determine any or all issues within the scope of the discovery or subpoena adverse to such person without further evidence.  The Commission may, in addition, assess civil penalties under Article VII of Sub-chapter 1 of the ICTL for such violator for contempt and may assess the costs of enforcement, both before the Commission and before the court, against the violator.

 

c)         Each data request propounded by a party or Staff shall be served on all other active parties and the Staff in that docket.  Responses to data requests shall only be served on those parties or Staff that have requested such responses.  Data requests and responses thereto shall not be served on the Hearing Examiner or filed with the Chief Clerk.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.340  Policy on Discovery

 

It is the policy of the Commission to obtain full disclosure of all relevant and material facts to a proceeding.  Further, it is the policy of the Commission to encourage voluntary exchange by the parties and staff witnesses of all relevant and material facts to a proceeding through the use of requests for documents and information.  Formal discovery by means such as depositions and subpoenas is discouraged unless less formal procedures have proved to be unsuccessful.  It is the policy of the Commission not to permit requests for information, depositions, or other discovery whose primary effect is harassment or which will delay the proceeding in a manner which prejudices any party or the Commission, or which will disrupt the proceeding.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.345  Discovery by Staff Witnesses

 

Formal discovery by staff witnesses shall be allowed upon motion to the Hearing Examiner or the Commission.  If granted, said discovery is deemed to be on the Commission's own motion.

 

Section 200.350  Reasonable Attempts to Resolve Differences Required

 

Every motion to compel formal discovery or to invoke Section 200.370 shall incorporate a statement showing that consultation and reasonable attempts to resolve differences have failed.

 

Section 200.360  Depositions and Other Discovery Procedures

 

a)         The Commission, any Commissioner, the Hearing Examiner or any party may, in any investigation or hearing before the Commission, cause the deposition of witnesses residing within or without Illinois to be taken in the manner prescribed by law for like depositions in civil actions in the courts of Illinois and to that end may compel the attendance of witnesses and the production of papers, books, accounts and documents. [220 ILCS 5/10-106] Except under special circumstances and for good cause shown, no deposition may be taken except upon 14 days prior notice to all parties and staff witnesses.

 

b)         Payment of witness and mileage fees shall be as provided by Section 10-106 of the Public Utilities Act. [220 ILCS 5/10-106].

 

c)         In addition to depositions, and subject to the provisions of this Part, any party may utilize written interrogatories to other parties, requests for discovery or inspection of documents or property and other discovery tools commonly utilized in civil actions in the Circuit Courts of the State of Illinois in the manner contemplated by the Code of Civil Procedure [735 ILCS 5] and the Rules of the Supreme Court of Illinois [S. Ct. Rules].

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.370  Supervision of Discovery

 

a)         The Hearing Examiner, upon his or her own initiative, or upon the motion of any party or Staff, may, in consultation with the parties, develop docket-specific discovery schedules and procedures to facilitate the prompt and efficient resolution of the proceeding.  In cases involving multiple parties, multiple issues and/or time deadlines, it is the policy of the Commission to encourage the establishment of discovery schedules and procedures at the earliest opportunity.

 

b)         The Hearing Examiner may at any time on his or her own initiative, or on motion of any party or Staff, issue such rulings as justice requires, denying, limiting, conditioning or regulating discovery to prevent unreasonable annoyance, expense, disadvantage or oppression.

 

c)         The Hearing Examiner, upon his or her own initiative, or upon the motion of any party or Staff, may supervise all or any part of any discovery procedure.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.380  Subpoenas

 

a)         The Hearing Examiner, a Commissioner, or the Commission shall have the power to order the issuance of subpoenas, compel the attendance and testimony of witnesses and the production of papers, books, accounts and documents.

 

b)         The name and address of the witness, the docket number of the proceeding and the date, time and location of the hearing or deposition shall appear on a subpoena.

 

c)         Requests for subpoenas may be made by any party and shall be made in the form of a verified written application. Such application shall incorporate a showing that such subpoena is reasonably required to obtain information that cannot reasonably be obtained through requests for information or other discovery and shall contain the name, address and telephone number of the witness to be subpoenaed, the docket number of the proceeding and the date, time and location of the hearing or deposition at which it is desired that the witness appear.  An application for a subpoena duces tecum shall specify the books, records or other documents to be produced and the material or relevant facts to be proved by them.

 

d)         The application for a subpoena shall be served upon the party or person for whom the subpoena is requested. Except in the case of an emergency, the Commission, a Commissioner or the Hearing Examiner shall not order the issuance of the subpoena until after seven days has been provided for a response.

 

Section 200.390  Motion to Quash Subpoena

 

The Hearing Examiner, upon motion, may quash or modify a subpoena or subpoena duces tecum for good cause shown, including, without limitation, a showing that the subpoena is unreasonable or oppressive or relates to irrelevant or immaterial matters.  Denial of a motion to quash may, in the case of a subpoena duces tecum, be conditioned upon the advancement, by the party who requested the subpoena, of the reasonable cost of producing the books, records or other documents subpoenaed.

 

Section 200.400  Service and Fees Payable

 

Service of subpoenas and payment of witness and mileage fees shall be as provided in Section 10-106 of the Public Utilities Act.  No person served with a subpoena which has been issued at the instance of any party to a proceeding before the Commission shall be required to respond to such subpoena unless the appropriate fees for attendance and travel are tendered at the time of service.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.410  Time Limits on Discovery

 

a)         Requests for information or discovery and responses thereto shall be made in a timely fashion and in accordance with any time schedule set by the Hearing Examiner.  No such request shall delay any proceeding in the absence of a showing that the requester has exercised due diligence and that the delay will not cause undue prejudice.

 

b)         All responses to data requests shall be served within 28 days after service of the request, unless the period is shortened or lengthened by the Hearing Examiner or by agreement of the parties.

 

c)         Requests for admissions shall be deemed admitted if not responded to within 28 days after service, unless the period is shortened or lengthened by the Hearing Examiner or by agreement of the parties.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.420  Failure to Comply With a Discovery Order or a Subpoena

 

If a person fails to comply with a subpoena or a discovery order or refuses to attend or be sworn at a hearing or deposition, the Hearing Examiner may suspend further proceedings until compliance is obtained, or if the person who fails to comply is a party to the proceeding or an officer, agent or employee of a party, the Hearing Examiner may strike all or any part of the pleadings of such party, or refuse to allow the party to support designated claims or defenses, or take such further action as may be appropriate under the circumstances and as provided by law.

 

Section 200.430  Protective Orders

 

a)         At any time during the pendency of a proceeding, the Commission or the Hearing Examiner may, on the motion of any person, enter an order to protect the confidential, proprietary or trade secret nature of any data, information or studies.

 

b)         A person submitting a motion for a protective order shall specify the proposed expiration date for the proprietary status of the data, information or studies.  The proposed expiration date shall be no more than five years from the date of submission.  Notwithstanding the preceding sentence, however, the proposed expiration date may exceed five years upon a showing of good cause. If no date is specified, the proposed expiration date for the proprietary status of the data, information or studies shall be two years from the date of submission.

 

c)         A document submitted and marked as proprietary shall be afforded proprietary treatment pending the timely submission of a motion to protect the confidential, proprietary or trade secret nature of that document and a ruling on that motion by the Commission or the Hearing Examiner.

 

d)         A public redacted version of each document submitted pursuant to this Section must also be submitted with the proprietary version.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

SUBPART D: HEARING PROCEDURE

 

Section 200.500  Authority of Hearing Examiner

 

The Hearing Examiner shall have authority over the conduct of a proceeding and the responsibility for submission of the matter to the Commission for decision.  The Hearing Examiner shall have those duties and powers necessary to these ends, consistent with applicable statutes and Commission rules and policies, including the following:

 

a)         To administer oaths and affirmations.

 

b)         To order the issuance of subpoenas and to supervise discovery.

 

c)         To conduct hearings and prehearing conferences.

 

d)         To rule upon all objections, motions and petitions which do not result in the final determination of the proceeding, and to receive evidence.

 

e)         At any stage of the hearing or after all parties have completed the presentation of their evidence to call upon any party or the Staff of the Commission to produce further evidence which is material and relevant to any issue.

 

f)         To issue recommended proposed orders pursuant to Section 200.820.

 

g)         To ensure that hearings are conducted in a full, fair and impartial manner, that order is maintained and that unnecessary delay is avoided in the disposition of the proceedings.

 

h)         To issue protective orders in accordance with Section 200.430.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.505  Recessing Hearing For Conference or Discussion

 

In any proceeding the Hearing Examiner may, in his or her discretion, call the parties and staff witnesses together for a conference or discussion prior to the taking of testimony, or may recess the hearing for such a conference or discussion with a view to carrying out the purpose of Section 200.300.  The Hearing Examiner shall state on the record the results of such conference.

 

Section 200.510  Disqualification of Hearing Examiner

 

a)         A Hearing Examiner assigned to a proceeding may, upon written request to and approval of the Chief Hearing Examiner, recuse himself or herself therefrom.

 

b)         Whenever any party believes a Hearing Examiner for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, such party may file a motion to disqualify the Hearing Examiner, setting forth by affidavit the alleged grounds for disqualification.  The Hearing Examiner shall have fourteen (14) days after filing of the motion within which to enter a written ruling thereon.  A copy of such ruling shall be served upon all parties.  The Commission may, on its own motion, review rulings granting a motion for disqualification an may review denials of such motions under Section 200.520.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.520  Interlocutory Review of Hearing Examiner's Ruling

 

a)         Any ruling by a Hearing Examiner, including rulings of the Chief Hearing Examiner under Sections 200.510 and 200.870, may be reviewed by the Commission, but failure to seek immediate review shall not operate as a waiver of any objection to such ruling.  Unless good cause is shown or unless otherwise ordered by the Hearing Examiner or the Commission, the party or Staff seeking review of the ruling shall file a petition for interlocutory review within 21 days after the date of the action that is the subject of the petition.  The petition shall be filed with the Chief Clerk together with any offer of proof and shall be served upon the Hearing Examiner and upon Staff and all parties to the proceeding.  Other parties and Staff may file responses within seven days of the filing of the petition.  Petitions for interlocutory review of a hearing examiner ruling, and any responses and replies to the petition, shall be forwarded by the hearing examiner directly to the Commission for review without communicating further advice or recommendation from any hearing examiner, including the hearing examiner presiding over the case; provided, however, that a hearing examiner may provide a written explanation for the ruling on or before the due date for responses to the petition, which shall be served on the parties. In that case, the hearing examiner shall schedule a time for the petitioner to reply.  Only in extraordinary circumstances shall an interlocutory review of a ruling of a Hearing Examiner suspend a hearing.

 

b)         On review of a Hearing Examiner's ruling, the Commission may affirm or reverse the ruling in whole or in part, and may take any other just and reasonable action with respect to the ruling, such as declining to act on an interlocutory basis.  Petitions to rehear or reconsider Commission action taken under this Section shall not be entertained by the Commission and are not allowed under this Part, except as to persons who have been denied leave to intervene by such action.

 

(Source:  Amended at 35 Ill. Reg. 6327, effective April 1, 2011)

 

Section 200.525  Paper Hearings

 

a)         Parties and Staff participating in the proceeding may stipulate to the waiver of any rights they have to a hearing and that the matter be tried or otherwise resolved on the basis of written pleadings and submissions that are verified and supported by affidavit and that the Commission may enter a final order in the matter in reliance thereon.

 

b)         Any such stipulation is subject to approval by all parties, Staff and the Hearing Examiner.

 

c)         In the event there is only one party to the proceeding, the Hearing Examiner may grant the requested relief upon motion by said party.

 

d)         Any party may propose such stipulations or make such motions at any time prior to the date the Hearing Examiner marks the case Heard and Taken.  The Hearing Examiner may grant such relief at his or her discretion, after a reasonable period of time has elapsed to accommodate potential or likely intervention.

 

e)         Upon the motion of any party or Staff, and for good cause shown, by order of the Commission, or by the Hearing Examiner's own motion, the Hearing Examiner may rescind his or her previous approval of the conduct of the proceedings on the basis of written submissions and may require such hearings as may be appropriate.

 

(Source:  Added at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.530  Notice, Time and Place of Hearings

 

Except for those hearings permitted to be closed to the public by law, all proceedings of the Commission shall be open to the public.  At least ten days' notice of the time and place of the first hearing shall be given to all parties; at least ten days' notice shall also be given to municipalities when required by Section 10-108 of the Public Utilities Act.  In the discretion of the Commission or the Hearing Examiner, the first hearing may be held with less than ten days' notice if an emergency exists.  Hearings may be held at such reasonable place in the State and at such reasonable time designated by the Commission or Hearing Examiner as may be consistent with the nature of the proceedings, the convenience of the parties and the public interest. A hearing by teleconference may be requested by a party or Staff and allowed by the Hearing Examiner taking into account the purpose for the hearing, the availability of equipment and the circumstances of the parties and the Staff.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.540  Recording Appearances at Hearings

 

a)         Parties and Staff witnesses shall enter their appearances at the beginning of a hearing by giving their names, addresses, telephone numbers and, unless the party has no facsimile number or e-mail address either directly or through its attorney, any facsimile number and e-mail address, and whom they represent in writing to the reporter who will include the same in the record of hearing.  The Hearing Examiner conducting the hearing may, in addition, require appearances to be stated orally.  Non-party participants shall be identified in a manner prescribed by the Hearing Examiner.

 

b)         A party, in its appearance, shall state whether it agrees to accept service by electronic means as provided for in Section 200.1050.  A party later may agree, or may revoke its agreement, to accept electronic service, provided that the party shall file and serve a notice of the later agreement or revocation.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.550  Failure to Appear or to Exercise Diligence in Proceeding

 

Complaints, applications or petitions which are not prosecuted diligently may be dismissed for want of prosecution.  The failure of any party to appear at a hearing without good cause and without previously notifying the Commission or the Hearing Examiner and parties of record of its inability to appear may be grounds for dismissal or deciding against the interest of such defaulting party.  Any court reporting costs incurred because of the failure to appear may be assessed against such party.

 

Section 200.560  Continuances

 

a)         Motions for continuances shall not be made with less than seven days' notice, except as provided in subsection (b).

 

b)         In an emergency or upon agreement of the parties, a motion for continuance may be made less than seven days prior to the hearing.

 

c)         The Hearing Examiner shall require the party or staff witness requesting the continuance to contact the other parties and staff witnesses.

 

d)         Any grant by a Hearing Examiner of a continuance sought by a party on less than two days notice prior to the assigned hearing date may be conditioned upon that party bearing any court reporting costs resulting from the continuance.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.570  Order of Procedure and Receiving Evidence

 

At hearings in tariff investigation and suspension proceedings the respondent shall open and close.  At hearings in other proceedings, the petitioner, applicant or complainant, if any, shall open and close.  Where several proceedings are heard on a consolidated record, and in all other proceedings not otherwise specified in this Section, the Hearing Examiner shall designate who shall open and close.  The Hearing Examiner in all cases shall determine at what stage intervenors and staff witnesses shall be permitted to offer evidence.

 

Section 200.580  Transcripts

 

a)         A full and complete record of all hearings conducted under this Part, including oral arguments before the Commission or Hearing Examiner, shall be transcribed by a reporter appointed by the Commission.

 

b)         Suggested corrections to the transcript of record must be filed within 35 days from the day on which the hearing is held or at such other time as prescribed by the Hearing Examiner, and shall be in writing and served upon staff witnesses, each party, the official reporter and Hearing Examiner.

 

c)         Objections to suggested corrections shall be filed within ten days after the filing of the suggestions, unless otherwise prescribed by the Hearing Examiner.  The Hearing Examiner shall, with or without hearing, determine what changes, if any, shall be made in the record.

 

d)         If no objection is made to the suggested corrections, the Hearing Examiner may, in his or her discretion, direct the corrections to be made and the manner of making them. The purpose of this determination shall be to ensure the accuracy of the record.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.590  Conduct at Hearings

 

a)         All parties to hearings, their counsel and spectators shall conduct themselves in an orderly manner.

 

b)         The Hearing Examiner may, at his or her discretion, recess or continue any hearing in case the conduct of parties, non-party participants, witnesses, spectators or other persons interferes with the proper and orderly conduct of such hearing, or for any other cause or circumstance which may prevent the proper conduct of such hearing, or said Hearing Examiner may take any action necessary to permit the orderly conduct of the hearing.

 

Section 200.600  Consolidation and Severance

 

The Commission or Hearing Examiner may order two or more proceedings involving a similar question of law or fact to be consolidated where rights of the parties or the public interest will not be prejudiced by such procedure.  The Commission or Hearing Examiner may order separate proceedings if issues cannot be conveniently disposed of with other issues in the proceeding, or if for any other reason severance of the parties is required.

 

Section 200.605  Procedure for the Identification and Treatment in Hearings of Confidential or Proprietary Information or a Trade Secret

 

a)         Whenever a party files testimony, exhibits or other documents which contain information which is claimed to be or determined to be confidential, proprietary or a trade secret, and that information is excluded from the public record, the testimony, exhibit or document shall indicate plainly that information has been deleted on the grounds that it is claimed to be or determined to be confidential, proprietary or a trade secret.

 

b)         Parties may indicate that confidential or proprietary information or information which is a trade secret has been deleted by any method that plainly indicates on the public copy that information has been deleted and plainly identifies on the proprietary copy what specific information has been claimed to be or determined to be confidential, proprietary or a trade secret.

 

(Source:  Added at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.610  Evidence

 

a)         In all proceedings subject to this Part, irrelevant, immaterial or unduly repetitious evidence shall be excluded.  [5 ILCS 100/10-40]

 

b)         This subsection applies to all proceedings except those under the ICTL.  In contested cases, and licensing proceedings, the rules of evidence and privilege applied in civil cases in the circuit courts of the State of Illinois shall be followed.  However, evidence not admissible under such rules may be admitted if it is of a type commonly relied on by reasonable prudent persons in the conduct of their affairs.  [5 ILCS 100/10-40] Objections must be made at hearing to preserve them on appeal.  Evidence may be received orally or in writing.

 

c)         This subsection applies to proceedings under the ICTL.  The rules of evidence which apply in civil cases before the circuit courts of this State shall, except as otherwise provided in Section 18c-2104 of the ICTL, apply to proceedings before the Commission.  Evidence not admissible under the rules of evidence applicable in civil not may be admitted if it is of a type commonly relied upon by  persons in the conduct of their affairs.  Objections must be made at hearing to preserve them on appeal.  Evidence may be received orally or in writing. [625 ILCS 5/18c-2104]

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.615  Waiver of Cross-examination

 

Subject to the approval of the Hearing Examiner, parties and the Staff may stipulate that:

 

a)         cross-examination of witnesses may be waived;

 

b)         any witnesses for whom cross-examination has been waived need not be present at the hearing; and

 

c)         the prepared testimony of any witness for whom cross-examination has been waived shall be entered in the record by affidavit of the witness.

 

(Source:  Added at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.620  Testimony to be Under Oath or Affirmation

 

All testimony to be considered by the Commission in formal hearings, except matters officially noticed or entered by stipulation, shall be sworn or affirmed testimony.  The Hearing Examiner may permit any person an opportunity to be heard, without requiring an oath, at any proceeding.  These persons shall not be considered parties to the proceeding unless they meet the definition of "party" in Section 200.40.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.625  Examination of Adverse Party or Agent

 

Adverse parties and their employees and agents may be called upon to testify in the manner contemplated by Section 2-1102 of the Code of Civil Procedure [735 ILCS 5/2-1102].

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.630  Stipulation of Facts

 

The parties to any proceeding before the Commission may, by stipulation in writing filed with the Commission or entered orally in the record, agree upon the facts or any part thereof involved in the proceeding.  It is the policy of the Commission to encourage stipulations of fact whenever practicable. Nothwithstanding the stipulation of the parties, the Commission or the Hearing Examiner may require proof by evidence of the facts stipulated to, where the public interest requires.

 

Section 200.640  Administrative Notice

 

a)         Consistent with Section 200.610, the Commission or Hearing Examiner may take administrative notice of the following:

 

1)         Rules, regulations, administrative rulings and orders, and written policies of governmental bodies other than the Commission.

 

2)         Contents of certificates, permits and licenses issued by the Commission, and the orders, transcripts, exhibits, pleadings or any other matter contained in the record of other docketed Commission proceedings.

 

3)         Annual reports, tariffs, classifications and schedules regularly established by or filed with the Commission as required or authorized by law or by an order or rule of the Commission.

 

4)         State and Federal statutes and municipal and local ordinances.

 

5)         The decisions of State and Federal courts.

 

6)         Generally recognized scientific or technical facts within the specialized knowledge of the Commission.

 

7)         All other matters of which the circuit courts of this State may take judicial notice.

 

b)         Requests for administrative notice of transcripts, exhibits, pleadings or any other matter contained in the record of other docketed Commission proceedings are discouraged.

 

c)         Parties and Staff shall be notified either before or during the hearing or otherwise of the materials noticed and shall be provided a reasonable opportunity to contest the material so noticed.  [5 ILCS 100/10-40].

 

AGENCY NOTE:  As required by 1 Ill. Adm. Code 100.380, statutory language in this Section appears in distinguishing type.  However, Section 10-40 of the Illinois Administrative Procedure Act, which is the statute quoted, applies only to contested cases and licensing proceedings.  The statutory language in this Section is statutorily mandated as to such proceedings only, and not as to other proceedings.  Nevertheless, this Section applies to all proceedings governed by this Part.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.650  Records of Other Proceedings

 

Where any portion of the record in any other proceeding is admissible for any purpose and is offered in evidence, an accurate copy of such portion shall be presented for the record in the form of an exhibit unless waived by stipulation of the parties and any staff witnesses and approved by the Hearing Examiner.

 

Section 200.660  Prepared Testimony

 

It is the policy of the Commission to encourage the advance submission of testimony and exhibits by all parties and staff witnesses.  The Hearing Examiner may direct parties and staff witnesses to serve testimony and exhibits and may establish a date certain for service.  Any party or staff witness who fails, without good cause shown, to comply with an order of the Hearing Examiner for the service of testimony and exhibits may be limited in the presentation of evidence in the proceeding or otherwise restricted in participation, to avoid undue delay and prejudice.

 

Section 200.670  Exhibits

 

a)         Marking and size of Exhibits.  All exhibits shall be marked numerically and/or alphabetically with a party or staff designation and shall conform to the requirements of Section 200.110.

 

b)         Copies of Exhibits.  When Exhibits are identified for the record, unless the Hearing Examiner directs otherwise, an original and two copies shall be offered at the hearing and a copy provided to the Hearing Examiner, and to each party and staff witness.

 

c)         Designation of Part of Document as Evidence.  When relevant and material matter offered in evidence is embraced in a book, paper or document containing other matter not material or relevant, the person offering the same must plainly designate the matter so offered.  If other matter is in such volume as would unnecessarily encumber the record, such book, papers or document will not be received in evidence but may be marked for identification, and if properly authenticated, the relevant or material matter may be read into the record, or, if the Hearing Examiner so directs, a copy of such matter in proper form shall be offered as an Exhibit. All other parties and staff witnesses or their attorneys appearing at the hearing shall be afforded an opportunity to examine the book, paper or documents and to offer in evidence in like manner other portions thereof if found to be material and relevant.

 

d)         Whenever a pre-filed exhibit contains language and/or figures that differ from the exhibit offered into evidence, the sponsoring witness shall indicate all changes in writing either on a corrective sheet or the actual exhibit shall have the corrected language and/or figures so designated.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.680  Objections

 

Any evidence offered in whatever form shall be subject to appropriate and timely objections.  The Hearing Examiner may, after notice to the parties and staff witnesses, either with or without objection, exclude irrelevant, immaterial, unduly repetitious or otherwise inadmissible evidence.  Formal exception to a ruling on admissibility of evidence need not be stated on the record in order to be preserved.

 

Section 200.690  Offer of Proof

 

Any party or staff witness who has had evidence excluded may make an offer of proof.

 

Section 200.700  Record in Commission Proceedings

 

a)         The record in any proceeding before the Commission shall include:

 

1)         All pleadings, (including all notices and responses thereto), motions and rulings;

 

2)         Evidence received;

 

3)         A statement of matters officially noticed;

 

4)         Offers of proof, objections and rulings thereon;

 

5)         Proposed findings and exceptions;

 

6)         Any decision, opinion or report by the Hearing Examiner, except in cases that are not contested cases that or licensing proceedings and which do not arise under the Public Utilities Act;

 

7)         All staff memoranda or data submitted to the Hearing Examiner or Commissioners in connection with their consideration of the case, except in cases that are not contested cases or licensing proceedings and that do not arise under the Public Utilities Act;

 

8)         Any briefs, proposed orders and exceptions thereto which have been filed by the parties;

 

9)         Orders and opinions of the Commission; and

 

10)         Any communications prohibited by Section 200.710, but such communications shall not form the basis for any finding of fact.  [5 ILCS 100/10-35]

 

b)         Notwithstanding the provisions of subsection (a), no matter coming within attorney-client privilege shall be included in the record in a contested case or licensing proceeding.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.710  Ex Parte Communications

 

a)         Unless waived by written stipulation of the parties in the proceeding as provided by Section 10-70 of the Illinois Administrative Procedure Act [5 ILCS 100/10-70], once notice of hearing has been given in a contested case or licensing proceeding, Commissioners, Commission employees and Hearing Examiners shall not communicate directly or indirectly with:

 

1)         Any party to the proceeding on any issue in the proceeding; or

 

2)         A party's representative on any issue in the proceeding; or

 

3)         Any other person concerning an issue of fact in the proceeding;

 

            without notice and opportunity for all parties to participate.

 

b)         The following communications are not subject to subsection (a) of this Section:

 

1)         Communications between Commission employees who are engaged in investigatory, prosecutorial or advocacy functions and other parties to the proceeding, provided that such Commission employees are still prohibited from communicating on an ex parte basis, as designated in subsection (a), directly or indirectly, with members of the Commission, any Hearing Examiner in the proceeding, or any Commission employee who is or may reasonably be expected to be involved in the decisional process of the proceeding (this language derived from Section 10-103 of the Public Utilities Act [220 ILCS 5/10-103] and applies only to proceedings under that Act);

 

2)         Communications between a Commissioner and other Commissioners, and between a Commissioner or hearing examiner and one or more personal assistants. [5 ILCS 100/10-60]

 

c)         Any Commissioner, Hearing Examiner, or other Commission employee who is or may reasonably be expected to be involved in the decisional process of a proceeding, who receives, or who makes or knowingly causes to be made, a communication prohibited by Section 10-60 of the Illinois Administrative Procedure Act as modified by Section 10-103 of the Public Utilities Act [220 ILCS 5/10-103] shall place on the public record of the proceeding:

 

1)         All such written communications;

 

2)         Memoranda stating the substance of all such oral communications; and

 

3)         All written responses and memoranda stating the substance of all oral responses to the materials described in subsections (c)(1) and (2). [220 ILCS 5/10-103]

 

d)         The material specified in subsection (c) shall be disclosed to the parties of record by:

 

1)         service on the parties at the next hearing; or

 

2)         if no hearing is scheduled within the next seven days, service by mail on all parties of record.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

SUBPART E: POST-HEARING PROCEDURE

 

Section 200.800  Briefs

 

a)         At the close of the hearing, any party or Staff witness may request an opportunity to file a brief.  In instances where Staff witnesses file a brief, one consolidated brief shall be filed on behalf of all Staff witnesses. The Hearing Examiner, after notice, may require the filing of briefs.  Briefs shall be filed in the same order as evidence was presented in the proceedings or as otherwise directed by the Hearing Examiner.  Statements of fact in briefs and reply briefs should be supported by citation to the record.

 

b)         Briefs shall be concise, and, if in excess of 30 pages, excluding appendices, shall contain:

 

1)         A table of contents;

 

2)         A summary of the position of the party filing; and

 

3)         Argument.

 

c)         Parties and the Staff shall not raise an argument in their reply briefs that is not responsive to any argument raised in any other party's or the Staff's opening brief.

 

d)         The Hearing Examiner may, with the agreement of the parties, allow oral closing statements to be made to the Hearing Examiner in lieu of briefs.

 

e)         The Hearing Examiner, upon his or her own motion, or the motion of any party or Staff representative, may establish reasonable page limitations applicable to briefs.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.810  Draft Orders

 

The Hearing Examiner may permit or require a party or parties to file draft orders.

 

Section 200.820  Hearing Examiner's Recommended or Proposed Order

 

a)         Proceedings under the Public Utilities Act.

 

1)         In any hearing, proceeding, investigation or rulemaking conducted by the Commission, the Commission, Commissioner or hearing examiner presiding, shall, after the close of evidentiary hearings, prepare a recommended or tentative decision, finding or order including a statement of findings and conclusions and the reasons or basis therefore, on all the material issues of fact, law or discretion presented on the record.  Such recommended or tentative decision, finding or order shall be served by the Chief Clerk of the Commission on all parties who shall be entitled to a reasonable opportunity to respond thereto, either in briefs or comments otherwise to be filed or separately.  The recommended or tentative decision, finding or order and any responses thereto, shall be included in the record for decision. [220 ILCS 5/10-111].

 

2)         Subsection (a)(1) applies only to those proceedings in which the decision is adverse to a party to the proceeding other than the Agency or in which a party or Staff requests that a recommended or tentative decision, finding or order be served based upon good cause shown.  Good cause shall include, but not be limited to, a representation that issues that otherwise would have been contested have been resolved by agreement between two or more of the parties.  [5 ILCS 100/10-45]

 

b)         Other proceedings.

 

1)         The Hearing examiner shall issue a proposed order in any "Contested Case" or "Licensing Proceeding" if the proposed order is adverse to any party in the proceeding.

 

2)         The Commission may, upon its own motion, direct a Hearing Examiner to issue a proposed order in any other proceeding.

 

3)         The proposed order shall be served on all parties and Staff witnesses by the Chief Clerk of the Commission.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.830  Exceptions; Reply

 

a)         Within 14 days after service of the Hearing Examiner's proposed order, or such other time as is fixed by the Hearing Examiner, any party or Staff witness may file exceptions to the proposed order in a brief designated "Brief on Exceptions" and within 7 days after the time for filing "Briefs on Exceptions" or such other time as is set by the Hearing Examiner, any party or Staff witness may file as a reply, "Brief in Reply to Exceptions."

 

b)         Exceptions and replies thereto with respect to statements, findings of fact or rulings of law must be specific and must be stated and numbered separately in the brief.  When exception is taken or reply thereto is made as to a statement or finding of fact, a suggested replacement statement or finding must be incorporated. Exceptions and replies thereto may contain written arguments in support of the position taken by the party or Staff witnesses filing such exceptions or reply. When exceptions contain such written arguments in support of the position taken, the arguments and exceptions may be filed:

 

1)         together in one "Brief on Exceptions"; or

 

2)         in two separate documents designated "Brief on Exceptions," containing arguments, and "Exceptions," containing the suggested replacement statements or findings.

 

c)         Arguments in briefs on exception and replies to exceptions shall be concise, and, if in excess of 30 pages, shall contain:

 

1)         A table of contents; and

 

2)         A summary of the position of the party filing.

 

d)         Parties and Staff shall not raise an argument in their replies to briefs on exception that is not responsive to any argument raised in any other party's or Staff's brief on exception.

 

e)         Statements of fact in briefs on exception and replies to briefs on exception should be supported by citation to the record.

 

f)         The Hearing Examiner, upon his or her own motion, or the motion of any party or Staff representative, may establish reasonable page limitations applicable to arguments included in briefs on exception and replies to briefs on exception.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.840  Filing of Briefs

 

a)         For proceedings initiated prior to January 1, 2000, a paper original and eight paper copies of all briefs shall be filed with the Commission.

 

b)         For proceedings initiated after January 1, 2000, an original of the brief shall be filed with the Commission.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.850  Oral Argument

 

a)         The Commission may hear oral argument upon seven days notice to the parties of the time and place upon:

 

1)         Its own motion;

 

2)         The motion of a party; or

 

3)         A request for oral argument noted by a party on either its opening brief, reply brief or brief on exceptions, accompanied by a statement in support of such request in the body of the brief.

 

b)         Except upon special leave of the Commission, no party shall participate in oral argument without having filed a brief.

 

c)         The presentation of written materials or visual aids to the Commission at oral argument is permitted.  To the extent such materials or aids contain factual information, they shall be supported by the record or briefs in the proceeding and shall contain accurate record citations.  Such materials or aids may not contain new calculations or quantitative analyses not presented in the record or briefs, unless they are based on underlying data contained in the record.  Copies of all written materials or visual aids to be presented to the Commission at oral argument shall be served on all parties participating in the oral argument not less than 48 hours prior to the time and date of oral argument.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.860  Commission Order

 

Following receipt of the proposed order of the Hearing Examiner and any briefs of the parties, and following oral argument, if any, the Commission shall make its decision and shall serve a copy of its order upon all parties in the manner provided by Section 10-112 of the Public Utilities Act [220 ILCS 5/10-112].

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.870  Additional Hearings

 

After the record in a proceeding has been marked "heard and taken" but before issuance of a final order by the Commission, the Hearing Examiner may, on application by staff or any party, on his or her own motion or when directed by the Commission, hold additional hearings.  Such application shall state the reasons therefor, including material changes of fact or of law, and shall contain a brief statement of proposed additional evidence and an explanation why such evidence was not previously adduced.  Unless directed by the Commission, the holding of additional hearings under this Section shall be subject to the prior approval of the Chief Hearing Examiner.

 

(Source:  Amended at 10 Ill. Reg. 10481, effective May 30, 1986)

 

Section 200.875  Post-Record Data

 

a)         After the record in a proceeding (other than a rulemaking) has been marked "heard and taken" but before issuance of a final order by the Commission, the Hearing Examiner may, on his or her own motion or when directed by the Commission, direct any or all of the parties to a case to provide, by a deadline to be set by the Examiner, calculations and other numerical analyses of data that are related to evidence already in the record or the rate levels or rate structures being considered by the Commission and where, in the judgment of either the Examiner or the Commission, such calculations and analyses are necessary for the Commission to determine final rate levels or rate structures in the case.  This directive shall be served on all parties to the case, and the parties shall be given an opportunity to reply in writing to any response made to the directive.  The Examiner shall establish an expedited schedule for all such responses and replies in light of the procedural schedule of the proceedings and any time constraints thereon imposed by statute or rule. All such responses and replies shall be served on all parties and, where verified by the filing party, shall be incorporated into the record of the case as a form of late-filed exhibit.

 

b)         All calculations and numerical analyses requested in accordance with subsection (a) above shall be requested and offered for the purpose of determining final rate levels or rate structures and for no other purpose.

 

c)         Nothing in this Section shall be construed to limit the discretion of the Hearing Examiner or Commission, for good cause shown, to consider late-filed exhibits for admission into evidence.

 

(Source:  Added at 18 Ill. Reg. 7748, effective May 15, 1994)

 

Section 200.880  Rehearing

 

a)         After issuance of an order on the merits by the Commission, a party may file an application for rehearing.  The application shall state the reasons therefore and shall contain a brief statement of proposed additional evidence, if any, and an explanation why such evidence was not previously adduced.  The application shall be filed within 30 days after service of the order on the party.

 

1)         For proceedings initiated prior to January 1, 2000, a paper original and eight paper copies of the application shall be filed with the Commission;

 

2)         For proceedings initiated after January 1, 2000, an original of the application shall be filed with the Commission.

 

b)         Applications for rehearing must state with specificity the issues for which rehearing is sought.  Incorporation of arguments made in prior pleadings and briefs must be specific as to document and page.

 

c)         If an application for rehearing alleges new facts, then the application must be filed with a verification.  A verification need not be filed with an application for rehearing if the application does not allege new facts.

 

d)         No appeal shall be allowed from any order or decision of the Commission unless and until an application for rehearing thereof shall first have been filed and finally disposed of by the Commission.  The Commission shall grant or deny the application in whole or in part within 20 days from the date of receipt by the Commission.

 

(Source:  Amended at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.890  Appeals

 

a)         Appeals from Commission final administrative decisions and orders entered under the Electric Supplier Act [220 ILCS 30] and the Illinois Commercial Relocation of Trespassing Vehicles Law [625 ILCS 5/Ch. 18A] shall be as provided by the Administrative Review Law [735 ILCS 5/Art. III]; appeals from decisions and orders entered under the ICTL and the Public Utilities Act shall be as provided in those statutes.

 

b)         Notice of appeals under Section 10-201 of the Public Utilities Act [220 ILCS 5/10-201] shall be served on all other parties of record.  The notice of appeal filed with the Commission shall be captioned "(The name of appellant) v. Illinois Commerce Commission." In the body of the notice the appellant shall state the name and number of the Commission Docket, the order or orders appealed, but shall otherwise follow the form established by the Supreme Court Rules.

 

c)         This subsection applies to appeals taken from Commission action under the ICTL or the Illinois Commercial Relocation of Trespassing Vehicles Law.

 

1)         In such appeals, the appellant has a duty to provide all the transcripts and exhibits for the record on appeal.  Within 20 days of the filing of the notice of the appeal, the appellant must file the transcripts and exhibits with the Commission or enter into a stipulation with counsel for the Commission, extending the time for filing the transcripts and exhibits.

 

2)         In the event that the appellant does not have all the transcripts and exhibits, the appellant may order the missing material from the Commission by filing a letter within the 20-day period (or within such time as required by the stipulation).  Said letter must specify the Commission docket number, the date of each transcript ordered, and the nature and identification of each exhibit ordered. Letters not specifying the material to be copied or letters requesting the Commission to produce the record will be rejected and oral communication is insufficient.

 

3)         None of the material duplicated as provided in subsection (c)(2) will be released until the copying fee prescribed by Section 2-201 of the Public Utilities Act [220 ILCS 5/2-201] is paid.

 

4)         Exercise of subsections (c)(2) and (c)(3) above does not relieve the appellant of his statutory duty to timely file the transcripts and exhibits.  The permission given in subsections (c)(2) and (c)(3) does not mean or imply that the Commission will take upon itself the burden to duplicate and produce the record.

 

(Source:  Amended at 20 Ill. Reg. 10607, effective August 15, 1996)

 

Section 200.900  Reopening on Motion of the Commission

 

After issuance of an order by the Commission, the Commission may, on its own motion, reopen any proceeding when it has reason to believe that conditions of fact or law have so changed as to require, or that the public interest requires, such reopening.  No party may petition the Commission to reopen on its own motion until after the time to petition for rehearing has expired.

SUBPART F: ELECTRONIC FILING

 

Section 200.1000  Overview of Electronic Filing

 

One of the stated purposes of the Electronic Commerce Security Act is to facilitate electronic filing of documents with State and local government agencies, and promote efficient delivery of government services by means of reliable electronic records. [5 ILCS 175/1-105(3)] The Electronic Commerce Security Act authorizes State agencies to send and receive electronic records and electronic signatures. In addition, the Commission has the authority over its process and proceedings pursuant to Section 10-101 of the Public Utilities Act [220 ILCS 5/10-101]. To that end, the Commission is committed to facilitating the filing, distributing, and accessing of documents electronically, subject to the Commission's Rules of Practice, through its electronic filing system, "e-Docket".  Any person may file a document in an electronic format. However, nothing in this Part should be construed to require any person to file any document in an electronic format.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.1010  Acceptable Formats

 

a)         All electronic documents submitted to the Commission via e-Docket shall be in Adobe Acrobat Portable Document Format (PDF).

 

b)         All e-Docket electronic records will be stored by the Commission in Adobe Acrobat PDF.

 

(Source:  Amended at 43 Ill. Reg. 7217, effective June 17, 2019)

 

Section 200.1020  e-Docket Accounts

 

a)         Each person seeking to file electronic documents must have an active e-Docket account.

 

b)         The application for an e-Docket account is available on e-Docket on the Commission's Web site or can be obtained by calling or e-mailing the e-Docket help desk.

 

c)         The e-Docket application requires the following information:

 

1)         First name and last name;

 

2)         Primary mailing address and phone number;

 

3)         Preferred user name;

 

4)         Password;

 

5)         Challenge question and answer; and

 

6)         Notarized signature.

 

d)         Applications must be hand-delivered or mailed to the e-Docket help desk.

 

e)         The user is responsible for keeping confidential the user I.D. and password. A user I.D. must be at least four characters in length and must be unique. Passwords must be at least five characters in length. Periodically passwords will expire and users will be given advance notice and requested to enter a new password. The challenge question and answer will enable e-Docket to recover a password for a user who has forgotten his or her password.

 

f)         Because of the unique user I.D. and password, an electronic document can be traced to a specific individual as if it were signed. This shall serve as an electronic signature on such filings.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.1030  Control Processes

 

a)         e-Docket allows only users with an I.D. and passwords to file electronic documents.

 

b)         Only members of the service list for a particular docketed case are allowed to file electronic documents in that case. This does not prohibit the electronic filing of petitions to intervene in a case in which the person filing the petition is not yet a member of the service list.

 

c)         Filings are scanned for computer viruses prior to being uploaded into the e-Docket system and will be rejected if the filing is infected. The submitter of such an electronic document will be notified of the rejection.

 

d)         The Web browser must be set to accept cookies in order for users to submit electronic documents. Cookies identify users and instruct the server to send a customized version of the requested Web page to the user. Cookies also submit account information for the user.

 

e)         e-Docket logs every filing with the user I.D., date, time, and file size information.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.1040  Submission of Electronic Documents

 

a)         Persons filing electronic documents shall receive a receipt with an identification number that shall be sent electronically. Documents that are required to be verified, that have an affidavit, or that are certified in the manner provided by Section 1-109 of the Code of Civil Procedure must include the scanned verification, affidavit or certification pages in the filed electronic document in Adobe Acrobat PDF. Otherwise, documents that are required to be verified, that have an affidavit, or that are certified in the manner provided by Section 1-109 of the Code of Civil Procedure shall be deemed to be officially filed or received only when the person submitting the electronic document submits to the Commission the original verification, affidavit or certification pages accompanied by a printed copy of the electronic receipt for that document.

 

b)         The filing of an electronic document is effective upon acceptance of the complete document, and, if applicable, any required original paper verification, affidavit or certification pages, by the Chief Clerk of the Commission in one of the formats specified in Section 200.1010(a).  Any required verification, affidavit or certification pages, whether they be in an electronic format or a paper version, must be received and accepted by the Chief Clerk for purposes of meeting filing deadlines, unless otherwise specified by the Commission or the Hearing Examiner.

 

(Source:  Amended at 43 Ill. Reg. 7217, effective June 17, 2019)

 

Section 200.1045  Electronic Documents Accepted by the Commission

 

All documents either initiating a docketed proceeding or filed in a docketed proceeding may be submitted to the Commission as electronic documents.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.1050  Service by Electronic Means

 

a)         Service by electronic means is allowed when agreed to by individual parties. Notwithstanding Section 200.150, any party required to serve a pleading or other document may serve copies of pleadings and other documents on other parties of record by electronic means in substitution of first class mail, provided that the service is on an e-mail address that the recipient has identified in its appearance or in a subsequent filing or agreement. Because of pagination and format concerns, the parties are encouraged to serve in PDF. When serving by electronic means, service is deemed complete on the day of electronic transmission if transmitted at or before the time due, except service by electronic means on weekends or holidays shall be deemed complete on the next business day unless otherwise specified by the Commission or the Hearing Examiner.

 

b)         If any party files a proprietary electronic document (see Section 200.430), that party must serve the proprietary electronic document on any other party of record that has the right to see the document on any legal or contractual basis, such as a confidentiality agreement, and a public redacted version pursuant to Section 200.430. The e-Docket system does not allow any person outside of the Commission to see or access proprietary electronic documents.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)

 

Section 200.1060  Electronic Documents and the Hearing Process

 

If any prefiled testimony or exhibit in the e-Docket system is offered and admitted into evidence without alteration at a hearing in a docketed proceeding, the official copy is the document found in the e-Docket system. If a prefiled document is submitted without alteration at hearing, the requirements of Section 200.670 to offer multiple copies at hearing is eliminated. If any prefiled testimony or exhibit in the e-Docket system is altered at hearing in any way and admitted into evidence, the altered testimony or exhibit is the official copy. The sponsoring party must serve the complete altered document on the Commission and the other parties of record within seven days after that hearing or, if applicable, within seven days after the end of a continuous, day-to-day set of hearings, unless otherwise directed by the Hearing Examiner.

 

(Source:  Added at 24 Ill. Reg. 16019, effective October 15, 2000)