TITLE 83: PUBLIC UTILITIES
CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.10 PROCEDURE GOVERNED
Section 201.10 Procedure Governed
This Part governs practice and procedure before the Illinois
Commerce Commission (Commission) in the mediation proceedings under Section
10-101.1 of the Public Utilities (Act) [220 ILCS 5/10-101.1]. This Part does
not apply in the mediation proceedings under Section 13-713 of the Act [220
ILCS 5/13-713].
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.20 DEFINITIONS
Section 201.20 Definitions
The following terms as used in this Part shall have the
following meanings:
"Act" means the Public
Utilities Act [220 ILCS 5].
"Mediation" means a
process in which a mediator facilitates communication and negotiation between
parties to assist them in reaching a voluntary agreement regarding their
dispute. (Section 2(1) of the Uniform Mediation Act [710 ILCS 35/2(1)]
"Mediation communications"
means any documents of every kind and nature, including work papers,
photographs, films, recordings, memoranda, books, records, accounts, all
recoverable information in computer storage, including the original and
non-identical copies and drafts of all recorded or graphic matter whatsoever,
whether in written, electronic or other format, and any oral communications of
every kind and nature, where such mediation communications have been exchanged,
shared or divulged in the context of "mediation" as that term is
defined in this Section.
"Mediation participant"
means an interested person whose rights or interests would be affected by a
dispute and who participates in a mediation pursuant to this Part.
"Mediator" means an
independent neutral third party or trained member of Commission staff who acts
in a non-judicial capacity to facilitate communication, promote understanding,
focus the mediation participants on their interests, and seek creative problem
solving to enable the mediation participants to reach their own resolution of
the dispute.
"Party" shall have the
same meaning as it does in 83 Ill. Adm. Code 200.40.
"Person" means an
individual, corporation, business trust, estate, trust, partnership, limited
liability company, association, joint venture, government, governmental
subdivision, agency, or instrumentality, public corporation, or any other legal
or commercial entity. [710 ILCS 35/2(6)]
"Proceeding" means any
judicial, administrative, arbitral, or other adjudicative process, including
related pre-hearing and post-hearing motions, conferences, and discovery; and
also any legislative hearing or similar process.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.30 APPOINTMENT OF MEDIATOR
Section 201.30 Appointment of Mediator
a) The
Executive Director of the Commission or his/her designee shall appoint a
mediator who shall not have any financial or personal interest in the result of
the mediation. If an Administrative Law Judge is appointed as a mediator, the
same Administrative Law Judge shall not preside over a docketed matter
concerning the same dispute for which he/she acts or acted as the mediator. If
a member of Commission staff is appointed as a mediator, the same member of
Commission staff shall not participate in a docketed matter concerning the same
dispute for which he/she acts or acted as the mediator, unless all parties to
the docketed matter waive, in writing, any objection to the Commission staff
member's involvement in the docketed matter.
b) Each
mediation participant initiating a mediation shall have a one-time right to
request that the appointed mediator be replaced by another mediator selected by
the Executive Director of the Commission or his/her designee. Mediation
participants choosing to exercise this right shall notify the Executive
Director or, if known, his/her designee of their request in writing within
seven days after being informed of the identity of the mediator, as provided in
Section 201.120. Upon receipt of the request, the Executive Director or
his/her designee shall appoint a replacement mediator within two business days.
The period between the date that a mediation participant submits a request
that the appointed mediator be replaced and the date that the Chief Clerk
issues a notice identifying the replacement mediator, as described in Section
201.120, shall not be included in the calculation of the duration of the
mediation process as provided for in Section 201.260.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.40 PARTICIPATION OF COMMISSION STAFF
Section 201.40 Participation of Commission Staff
For the purposes of this Part, Commission staff shall have
the same rights to participate in a mediation as any other person.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.50 PARTICIPATION OF INTERVENOR
Section 201.50 Participation of Intervenor
a) For
the purposes of this Part, a person who intervenes in a pending docket in which
the existing parties have already requested mediation shall be able to
participate in the mediation. If such intervening party chooses not to
participate in the mediation, the mediation may proceed without the intervening
party. If the mediation concludes successfully, any resulting agreement
brought into the pending docket shall be treated as a settlement proposal
offered by the mediation participants and, if rejected by any party, shall be
treated as a contested matter in the pending docket as provided in Commission
rules (see 83 Ill. Adm. Code 200).
b) An
intervening party that chooses to participate in the mediation may raise new
issues for mediation with the consent of all other then-existing mediation
participants.
c) An
intervening party shall not have the right to request that the appointed
mediator be replaced by another mediator, where the intervening party has not
initiated the mediation.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.100 REQUEST FOR MEDIATION
Section 201.100 Request for Mediation
a) Persons
with disputes subject to the Commission's jurisdiction may request voluntary
mediation prior to the filing of, or at any point during, the pendency of a
contested matter. [220 ILCS 10-101.1(c)] Persons with disputes are
encouraged to request mediation prior to initiating a docket to resolve a
contested matter.
b) End-user
customers with non-docketed contested matters whose disputes are subject to the
Commission's jurisdiction may request voluntary mediation under this Part after
filing an informal complaint with the Commission's Consumer Services Division
and upon completion of the informal complaint process.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.110 SUBMITTING A REQUEST FOR MEDIATION
Section 201.110 Submitting a Request for Mediation
a) A
request for mediation shall be in writing and shall be jointly submitted to the
Chief Clerk of the Commission by agreement of all persons party to the dispute.
b) A
request for mediation shall include:
1) A
brief statement of the issues to be addressed in the mediation;
2) Disclosure
of whether any of the issues for which mediation is sought is the subject of
any pending formal proceeding and, if so:
A) the
docket number of the docketed proceeding before the Commission, or
B) the
case name, docket number, and forum if a civil court matter;
3) Disclosure
of whether any of the issues for which mediation is sought has been the subject
of an informal complaint with the Commission's Consumer Services Division, and,
if so, the informal complaint number assigned by the Consumer Services
Division;
4) The
name, address, telephone number, and, if available, the facsimile number and
e-mail address of each mediation participant or an alternate contact person for
each mediation participant submitting the request for mediation;
5) The
location where the mediation participants prefer the mediation to occur (i.e., Springfield or Chicago);
6) The
specific relief requested by each mediation participant; and
7) An
express statement that the mediation is being requested under 83 Ill.
Adm. Code 201.
c) A
request for mediation may include any additional documents that the mediation
participants believe are pertinent to the matter.
(Source: Amended at 29 Ill.
Reg. 7212, effective June 1, 2005)
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.120 NOTICE OF MEDIATION
Section 201.120 Notice of Mediation
a) Within
seven calendar days after receipt of a request for mediation, the Chief Clerk
of the Commission shall issue a notice to the mediation participants
identifying the mediator and explaining the mediation process.
b) If,
pursuant to Section 201.30(b), a mediation participant that is among those that
initiated the mediation exercises its right to request that the appointed
mediator be replaced, the Chief Clerk of the Commission shall issue a notice to
the mediation participants identifying the replacement mediator.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.130 SCHEDULING OF MEDIATION
Section 201.130 Scheduling of Mediation
The mediation shall be scheduled taking into consideration
the availability of the mediation participants. With the consent of all
mediation participants and the mediator, the mediation may be conducted
telephonically.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.200 AUTHORITY OF A MEDIATION PARTICIPANT'S REPRESENTATIVE
Section 201.200 Authority of a Mediation Participant's
Representative
A person who has authority to mediate and bind the mediation
participant to any agreement that is reached in mediation shall represent the
mediation participant. All representatives shall be required to affirm in
writing that they have authority to bind the mediation participants that they
represent prior to the commencement of mediation.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.210 ROLE OF COUNSEL
Section 201.210 Role of Counsel
An attorney or other individual designated by a mediation
participant may accompany the mediation participant to and participate in a
mediation and shall also be permitted to communicate privately with the mediation
participant. Nothing herein precludes the attorney or other individual
designated by a mediation participant as serving as the mediation participant's
representative as otherwise allowed pursuant to Section 201.200.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.220 ROLE OF MEDIATOR
Section 201.220 Role of Mediator
The mediator shall at all times be in control of the
mediation and the procedures to be followed in the mediation. The mediator may
meet and consult privately with any mediation participant and his/her
representative during the mediation session.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.230 ADJOURNMENT
Section 201.230 Adjournment
The mediator may adjourn the mediation conference at any
time and may set times for reconvening the adjourned conference. No further
notification is required for mediation participants present at the adjourned
conference.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.240 SUPERVISION OF EXCHANGE OF INFORMATION
Section 201.240 Supervision of Exchange of Information
The mediator shall supervise the exchange of information
between the mediation participants during the mediation sessions. Any exchange
of information between mediation participants shall be voluntary.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.250 PRIVILEGE AGAINST DISCLOSURE; ADMISSIBILITY; DISCOVERY
Section 201.250 Privilege Against Disclosure;
Admissibility; Discovery
a) Except
as otherwise provided in Section 201.252, mediation communications,
including notes and writings, are privileged as provided in
subsection (b) and are not subject to discovery or admissible in
evidence in a proceeding unless waived or precluded as provided by Section
201.251.
b) In
a proceeding, the following privileges apply:
1) A
mediation participant may refuse to disclose, and may prevent any other
person from disclosing, a mediation communication.
2) A
mediator may refuse to disclose a mediation communication, and may prevent any
other person from disclosing a mediation communication of the mediator.
c) Evidence
or information that is otherwise admissible or subject to discovery does not
become inadmissible or protected from discovery solely by reason of its
disclosure or use in a mediation. [710 ILCS 35/4]
ADMINISTRATIVE CODE TITLE 83: PUBLIC UTILITIES CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY PART 201 VOLUNTARY MEDIATION PRACTICE SECTION 201.251 WAIVER AND PRECLUSION OF PRIVILEGE
Section 201.251 Waiver and Preclusion of Privilege
a) A
privilege under Section 201.250 may be waived in a record or orally
during a proceeding if it is expressly waived by all participants to the
mediation, and in the case of the privilege of a mediator, if it is
expressly waived by the mediator.
b) A
person that discloses or makes a representation about a mediation communication
which prejudices another person in a proceeding is precluded from asserting a
privilege under Section 201.250, but only to the extent necessary for
the person prejudiced to respond to the representation or disclosure.
c) A
person that intentionally uses a mediation to plan, attempt to commit or commit
a crime, or to conceal an ongoing crime or ongoing criminal activity is
precluded from asserting a privilege under Section 201.250. [710 ILCS 35/5]
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ADMINISTRATIVE CODE TITLE 83: PUBLIC UTILITIES CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY PART 201 VOLUNTARY MEDIATION PRACTICE SECTION 201.252 EXCEPTIONS TO PRIVILEGE
Section 201.252 Exceptions to Privilege
a) There
is no privilege under Section 201.250 for a mediation communication that
is:
1) in a
written agreement resulting from the mediation;
2) available
to the public under the Freedom of Information Act [5 ILCS 140] or made
during a session or a mediation which is open, or is required by law to be
open, to the public;
3) a
threat or statement of a plan to inflict bodily injury or commit a crime of
violence;
4) intentionally
used to plan a crime, attempt to commit a crime, or to conceal an ongoing crime
or ongoing criminal activity;
5) sought
or offered to prove or disprove a claim or complaint of professional misconduct
or malpractice filed against a mediator; or
6) except
as otherwise provided in subsection (c), sought or offered to prove or disprove
a claim or complaint of professional misconduct or malpractice filed against a
mediation participant or representative of a participant based on
conduct occurring during a mediation.
b) There
is no privilege under Section 201.250 if a court, administrative agency,
or arbitrator finds, after a hearing in camera, that the person seeking
discovery or the proponent of the evidence has shown that the evidence is not
otherwise available, that there is a need for the evidence that substantially
outweighs the interest in protecting confidentiality, and that the mediation
communication is sought or offered in:
1) a
court proceeding involving a felony; or
2) except
as otherwise provided in subsection (c), a proceeding:
A) to
prove a claim arising out of a mediated agreement;
B) to
rescind or reform a mediated agreement; or
C) in
which a defense is prepared against a claim arising out of a mediated
agreement.
c) A
mediator may not be compelled to provide evidence of a mediation communication
referred to in subsection (a)(6) or (b)(2).
d) If
a mediation communication is not privileged under subsection (a) or (b), only
the portion of the communication necessary for the application of the exception
from nondisclosure may be admitted. Admission of evidence under subsection (a)
or (b) does not render the evidence, or any other mediation communication,
discoverable or admissible for any other purpose. [710 ILCS 35/6]
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 | TITLE 83: PUBLIC UTILITIES
CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.260 DURATION OF MEDIATION
Section 201.260 Duration of Mediation
Unless otherwise agreed to by all of the mediation
participants, the mediation process shall be completed no later than 45 days
after the Chief Clerk's receipt of a joint request for mediation. In no event
shall the mediation process be extended beyond the statutory deadline of an
underlying pending docket, unless the statute permits a waiver of the deadline
and all of the mediation participants and any non-mediating parties waive the
deadline.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.270 SETTLEMENT SHALL BE REDUCED TO WRITING
Section 201.270 Settlement Shall be Reduced to Writing
a) If
agreement is reached, the agreement shall be reduced to writing by the
mediation participants or the mediator at the conclusion of the mediation.
b) The
writing shall contain mutual conditions, payment arrangements, or other terms
that resolve the dispute in part or in its entirety.
c) Each
mediation participant shall execute the agreement.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.280 DOCUMENT RETENTION
Section 201.280 Document Retention
a) At
the conclusion of the mediation, if a settlement agreement of any or all of the
issues mediated is agreed to by the mediation participants, the mediator shall
submit to the Chief Clerk's Office a Memorandum of Agreement.
b) The
Memorandum of Agreement, at a minimum, shall list:
1) The
issues resolved in the mediation;
2) The
mediation participants; and
3) The
mediation participants that signed the confidential written settlement
agreement.
c) The
Memorandum of Agreement shall refer, by name and date, to the separate,
confidential, written settlement agreement produced in accordance with this
Part.
d) The
terms of the confidential written settlement agreement shall not be included in
the Memorandum of Agreement.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.300 FAILURE TO AGREE
Section 201.300 Failure to Agree
If the mediation participants are unable to reach agreement
at the end of 45 days, or other deadline as agreed to by the mediation
participants and any non-mediating parties in a docketed matter pursuant to
Section 201.260, the mediation is terminated. The mediator shall report the
lack of an agreement and termination of the mediation to the Chief Clerk's
Office and, if the mediation arises from a docketed proceeding, to the
Administrative Law Judge presiding over that docketed proceeding.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.310 ENFORCEMENT OF SETTLEMENT AGREEMENT
Section 201.310 Enforcement of Settlement Agreement
If any mediation participant fails to abide by the terms of
the settlement agreement, a mediation participant may exercise any rights it
may have with respect to the agreement either as provided in Commission rules (see
83 Ill. Adm. Code 200) or in law or equity.
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CHAPTER I: ILLINOIS COMMERCE COMMISSION SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 201
VOLUNTARY MEDIATION PRACTICE
SECTION 201.400 CONTINUING AUTHORITY OF THE COMMISSION
Section 201.400 Continuing Authority of the Commission
Nothing contained in the mediation agreement shall be
construed as a limitation on the authority of the Commission to exercise its
statutory authority under the Act.
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