AUTHORITY: Implementing Sections 13-515 and 13-516 and authorized by Section 13-512 of the Public Utilities Act [220 ILCS 5/13-515, 13-516, and 13-512] and Section 25-101 of the Electronic Commerce Security Act [5 ILCS 175/25-101].

SOURCE: Emergency rules adopted at 21 Ill. Reg. 13180, effective September 11, 1997, for a maximum of 150 days; adopted at 22 Ill. Reg. 3460, effective February 1, 1998; emergency amendment at 24 Ill. Reg. 7917, effective May 22, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 16047, effective October 15, 2000.

SUBPART A: APPLICABILITY AND PRELIMINARY PROCEDURES

 

Section 766.10  Applicability

 

This Part shall apply to all proceedings before the Illinois Commerce Commission (Commission) initiated by a complaint filed pursuant to Section 13-515 of the Public Utilities Act (Act) [220 ILCS 5/13-515].

 

Section 766.11  Definitions

 

The following terms as used in this Part shall have the following meanings:

 

            "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 766.1020 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]

 

(Source:  Added at 24 Ill. Reg. 16047, effective October 15, 2000)

 

Section 766.12  Form 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 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.

 

c)         Reproductions may be by any process, provided 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:  Added at 24 Ill. Reg. 16047, effective October 15, 2000)

 

Section 766.15  Waiver of Time Limits

 

a)         When a complainant files a complaint seeking relief pursuant to Section 13-515(d) of the Act, the complainant must indicate in the complaint whether it will agree to waive the time limit requirements in Section 13-515(d) of the Act for actions required by that subsection of the Act.

 

b)         A respondent served with a complaint seeking relief pursuant to Section 13-515(d) of the Act must notify the Commission and the complainant, within one day after receipt of the complaint, whether it will agree to waive the time limit requirements in Section 13-515(d) of the Act for actions required by that subsection of the Act. This notice shall be served in the same manner dictated by Section 13-515(d)(4) for the service of answers and other responsive pleadings.

 

c)         The Commission will agree to waive the time limit requirements in Section 13-515(d) of the Act in all cases in which the complainant and respondent agree to waive said time limit requirements as prescribed in subsections (a) and (b) of this Section.

 

Section 766.20  Intervention

 

a)         Intervention in any proceeding brought pursuant to Section 13-515 of the Act will be allowed only upon a showing that the entity filing a petition to intervene is in the same position as either the complainant or the respondent in the proceeding in which it is attempting to intervene.

 

b)         An intervenor shall be subject to any waivers of time limits agreed to by the complainant, the respondent, and the Commission.

 

c)         An intervenor shall be subject to any schedule that has been established prior to its intervention.

 

d)         A petition to intervene shall contain:

 

1)         The 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 petitioner seeking leave to intervene;

 

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

 

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

 

4)         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.

 

e)         A petition to intervene shall not contain any prayer for affirmative relief other than that contained in the initiating complaint in the proceeding.

 

(Source:  Amended at 24 Ill. Reg. 16047, effective October 15, 2000)

 

Section 766.25  Interlocutory Review Not Allowed

 

The Commission shall not conduct any interlocutory review of any rulings made by a Hearing Examiner in any proceeding filed pursuant to Section 13-515 of the Act.  Section 200.520 of the Commission's Rules of Practice (83 Ill. Adm. Code 200.520) is not applicable to any proceedings subject to this Part.

 

Section 766.30  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. 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:  Added at 24 Ill. Reg. 16047, effective October 15, 2000)

SUBPART B: EMERGENCY RELIEF PROCEDURES

 

Section 766.100  Waiver of Emergency Time Limits

 

a)         When a complainant files a complaint seeking emergency relief pursuant to Section 13-515(e) of the Act, the complainant must indicate in the complaint whether it will agree to waive the requirement that the decision of the hearing examiner or arbitrator to grant or deny emergency relief shall be considered an order of the Commission unless the Commission enters its own order within 2 calendar days after the decision of the hearing examiner or arbitrator.

 

b)         A respondent served with a complaint seeking emergency relief pursuant to Section 13-515(e) of the Act must notify the Commission and the complainant, either within 24 hours after receipt of the complaint when the complaint is filed before noon, or by noon on the next business day when the complaint is filed after noon, whether it will agree to waive the requirement that the decision of the hearing examiner or arbitrator to grant or deny emergency relief shall be considered an order of the Commission unless the Commission enters its own order within 2 calendar days after the decision of the hearing examiner or arbitrator.

 

c)         In all cases in which the complainant and respondent agree to waive the requirement that the decision of the hearing examiner or arbitrator to grant or deny emergency relief shall be considered an order of the Commission unless the Commission enters its own order within 2 calendar days after the decision of the hearing examiner or arbitrator, the decision shall be considered the final order of the Commission unless the Commission enters its own order within 2 business days after the decision of the hearing examiner or arbitrator.

 

Section 766.110  Emergency Relief Filing Requirements

 

a)         Any party filing a complaint in which it seeks emergency relief under Section 13-515(e) of the Act shall also file with the complaint a draft order that complies with the requirements for an order that are specified in Section 13-515(e). The complaint for emergency relief shall include as an exhibit a copy of any written notice submitted to the respondent pursuant to Section 13-515(c) of the Act or, if no written notice was submitted, an affidavit attesting to compliance with Section 13-515(c) of the Act.

 

b)         A respondent in a proceeding in which the complainant is seeking emergency relief may file a response.  If a respondent chooses to file a response, it must do so by noon of the next business day.

 

c)         Any respondent that has been served with a complaint in which the complainant is seeking emergency relief may file a draft order at any time prior to the issuance of an order by the hearing examiner or arbitrator granting or denying the emergency relief.

SUBPART C: PROCEDURE PRIOR TO ISSUANCE OF ORDER

 

Section 766.300  Filing of Briefs

 

To facilitate the issuance of an order as contemplated by Section 13-515(d)(7) of the Act, the complainant and the respondent shall file a brief and any reply brief in the proceeding according to the briefing schedule set by the hearing examiner. Each party shall serve in hand a copy of its brief on the opposing party or parties and Commission Staff at the time of the filing  of the brief. If Staff files a brief in the proceeding, it shall follow the briefing schedule set by the hearing examiner.

 

Section 766.310  Filing of Draft Orders

 

Both the complainant and the respondent to a proceeding in which a brief is filed shall file a draft order in the proceeding at the time the party files its initial brief in the proceeding.  If reply briefs are to be filed in a proceeding, the draft order may be filed at the time of the filing of the reply brief.

SUBPART D: ASSESSMENT OF COSTS AND IMPOSITION OF PENALTIES

 

Section 766.400  Assessment of Costs

 

The assessment of the Commission's costs of investigation and conduct of proceedings under this Part shall be issued to the parties by the Commission's Administrative Services Division.

 

Section 766.410  Procedure for Imposition of Penalties

 

a)         Any action to impose a penalty under Section 13-516(a) of the Act [220 ILCS 5/13-516(a)] shall be on the Commission's own motion.

 

b)         In any action to impose a penalty under Section 13-516(a) of the Act, the Commission shall serve notice on the respondent at least 7 days before the initial hearing.

 

c)         The conduct of the proceeding shall comply with the Commission's Rules of Practice (83 Ill. Adm. Code 200) including, but not limited to, the right to a hearing, the right to a proposed order, and the right to a written order.

 

Section 766.415  Factors in Assessing Penalties

 

In assessing a penalty authorized by Section 13-516 of the Act, factors to be considered by the Commission shall include, but not be limited to, the following factors:

 

a)         Lack of mitigating circumstances;

 

b)         Lack of good faith or intent;

 

c)         Ability to pay;

 

d)         Degree of harm to the complainant or the public and the extent of the violative conduct; and

 

e)         Financial benefit accruing to the respondent.

SUBPART E: ELECTRONIC FILING

 

Section 766.1000  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 this Part, 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. 16047, effective October 15, 2000)

 

Section 766.1010  Acceptable Formats

 

a)         All electronic documents submitted to the Commission via e-Docket shall be in one of the following formats:

 

1)         Microsoft Word for Windows, version 6.0 or greater;

 

2)         Corel WordPerfect for Windows, version 6.0 or greater;

 

3)         Microsoft Excel for Windows, version 4.0 or greater;

 

4)         Lotus 1-2-3 for Windows, version 4.0 or greater;

 

5)         ASCII Text; or

 

6)         Adobe Acrobat Portable Document Format (PDF) version 2.0 or greater.

 

b)         All e-Docket electronic records will be stored by the Commission in Adobe Acrobat PDF.  Electronic documents not submitted in PDF will be converted to PDF by the Commission.

 

c)         The Commission encourages persons to submit electronic documents in PDF.

 

(Source:  Added at 24 Ill. Reg. 16047, effective October 15, 2000)

 

Section 766.1020  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. 16047, effective October 15, 2000)

 

Section 766.1030  Control Processes

 

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

 

b)         Only members of the service list for a particular proceeding 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. 16047, effective October 15, 2000)

 

Section 766.1040  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 or that have an affidavit must include the scanned verification or affidavit pages in the filed electronic document in Adobe Acrobat PDF; otherwise documents that are required to be verified or that have an affidavit shall be deemed to be officially filed or received only when the person submitting the electronic document submits to the Commission the original verification or affidavit 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 or affidavit pages by the Chief Clerk of the Commission in one of the formats specified in Section 766.1010(a).  Any required verification or affidavit 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 Commissioner or the Hearing Examiner.

 

(Source:  Added at 24 Ill. Reg. 16047, effective October 15, 2000)

 

Section 766.1045  Electronic Documents Accepted by the Commission

 

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

 

(Source:  Added at 24 Ill. Reg. 16047, effective October 15, 2000)

 

Section 766.1050  Service by Electronic Means

 

a)         Service by electronic means is allowed when agreed to by individual parties. Notwithstanding any other requirements of this Part, 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 or in hand service, 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 766.30), 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 766.30.  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. 16047, effective October 15, 2000)

 

Section 766.1060  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 an arbitration proceeding, the official copy is the document found in the e-Docket system. If a prefiled document is submitted without alteration at hearing, any requirement 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. 16047, effective October 15, 2000)