ADMINISTRATIVE CODE

TITLE 83: PUBLIC UTILITIES
CHAPTER I: ILLINOIS COMMERCE COMMISSION
SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 202 VOLUNTARY BINDING ARBITRATION PRACTICE

SUBPART A: GENERAL PROVISIONS

Section 202.10 Procedure Governed and Purpose of this Part

Section 202.20 Deviation from this Part

Section 202.30 Definitions

Section 202.40 Authority of Arbitrator

Section 202.50 Public Policy Considerations

Section 202.60 Ex Parte Communications

Section 202.70 Duration of Arbitration

Section 202.80 Site Inspections

SUBPART B: FORM, FILING AND SERVICE OF DOCUMENTS

Section 202.100 Communications to the Commission

Section 202.110 Form of Pleadings and Documents

Section 202.120 Contents of Documents

Section 202.130 Service

SUBPART C: INITIATING ARBITRATION

Section 202.200 Petition for Arbitration

Section 202.210 Submitting a Petition for Arbitration

Section 202.220 Designation of Arbitrator

SUBPART D: PRE-HEARING PROCEDURE

Section 202.300 Pre-arbitration Conference

Section 202.310 Failure to Comply with a Discovery Order or a Subpoena

Section 202.320 Motion to Quash Subpoena

Section 202.330 Protective Orders

SUBPART E: ARBITRATION HEARING PROCEDURE

Section 202.400 Hearing

Section 202.410 Presentation of Witnesses

Section 202.420 Transcripts

Section 202.430 Consolidation and Severance

Section 202.440 Information to be Adduced at Arbitration

Section 202.450 Information to be Under Oath or Affirmation

Section 202.460 Stipulation of Facts

Section 202.470 Exhibits

SUBPART F: POST-ARBITRATION PROCEDURE

Section 202.500 Briefs

Section 202.510 Draft Proposed Arbitration Decisions

Section 202.520 Proposed Arbitration Decision

Section 202.530 Exceptions; Reply

Section 202.540 Additional Hearings

Section 202.550 Arbitration Decision

Section 202.560 Commission Entry of Award

Section 202.565 Vacating an Order Adopting the Arbitrator's Arbitration Decision

Section 202.570 Modifying or Correcting an Order Adopting the Arbitrator's Arbitration Decision

SUBPART G: ELECTRONIC FILING

Section 202.1000 Electronic Filing

SUBPART A: GENERAL PROVISIONS

TITLE 83: PUBLIC UTILITIES
CHAPTER I: ILLINOIS COMMERCE COMMISSION
SUBCHAPTER b: PROVISIONS APPLICABLE TO MORE THAN ONE KIND OF UTILITY
PART 202 VOLUNTARY BINDING ARBITRATION PRACTICE
SECTION 202.10 PROCEDURE GOVERNED AND PURPOSE OF THIS PART

Section 202.10 Procedure Governed and Purpose of this Part

This Part governs practice and procedure before the Illinois Commerce Commission (Commission) in the arbitration proceedings under Section 10-101.1 of the Public Utilities Act (Act) [220 ILCS 5/10-101.1]. The purpose of this Part is to enable parties to resolve complaints through binding arbitration in as expeditious and informal a manner as to which the parties can agree, consistent with the resolution of the complaint.

Section 202.20 Deviation from this Part

With the consent of Staff and the parties to an arbitration and to the extent permitted by law, including Article 10 of the Illinois Administrative Procedure Act (IAPA) [5 ILCS 100/Art. 10], any provision of this Part may be waived, suspended or modified by the arbitrator in furtherance of the purpose of this Part, as described in Section 202.10.

Section 202.30 Definitions

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

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

"Arbitration" means a process in which an impartial third-party renders a binding decision resolving a complaint brought under the Act.

"Arbitrator" means an attorney employed by the Commission who has been trained in arbitration and who renders a binding decision pursuant to this Part resolving a complaint brought under the Act.

"Documents" means petitions, pleadings, responses, amended and supplemental petitions, written discovery, responses to discovery, verified statements, verified exhibits, depositions, motions, responses, replies, notices, briefs, draft proposed arbitration decisions, and similar writings.

"e-Docket" means a Web based electronic filing system maintained by the Commission 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 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 202.1000 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]

"Party" means any person who initiates arbitration by filing a petition for arbitration pursuant to this Part. Staff witnesses are not parties, but shall have the specific rights and duties of parties as enumerated in this Part. Intervention by other persons shall be limited as described in Section 202.50.

"Person" means any individual, corporation, business trust, estate, trust, partnership, limited liability company, association, joint venture, government, governmental subdivision, agency, instrumentality, public corporation, or any other legal or commercial entity.

"Pleading" means any petition, motion, response or reply filed with the Commission in an arbitration proceeding.

"Staff" or "Commission Staff" means individuals employed by the Commission. For purposes of this Part, an arbitrator employed by the Commission 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 arbitration proceeding before the Commission. Except for Staff witnesses, this definition shall not limit the utilization of Commission Staff as technical advisors to the arbitrator or Commission.

Section 202.40 Authority of Arbitrator

a) The arbitrator shall have authority over the conduct of a proceeding and the responsibility for rendering a final binding decision resolving the complaint. The arbitrator shall have those duties and powers reasonably necessary to these ends, consistent with applicable statutes and the purpose of this Part identified in Section 202.10, including the following:

1) To administer oaths and affirmations;

2) To order the issuance of subpoenas, to supervise discovery, and to conduct discovery;

3) To conduct arbitration hearings and prehearing conferences;

4) To rule upon all objections, motions and petitions, to receive evidence, and to grant appropriate interim relief;

5) To examine witnesses and allow parties to examine an adverse party or agent;

6) To request briefs and/or oral presentations on specified issues and/or other aids in identifying issues;

7) At any stage of the arbitration or after all parties have completed the presentation of their evidence to call upon any party or the Staff to produce further evidence that is material and relevant to any issue;

8) To ensure that the arbitration is conducted in a full, fair, and impartial manner, that order is maintained and that unnecessary delay is avoided in the disposition of the proceedings; and

9) To issue protective orders in accordance with Section 202.330.

b) Any party who fails to comply with an order of the arbitrator may be limited in its presentation of information during the arbitration proceeding if the failure to comply disrupts the proceeding or hampers efforts to obtain or admit evidence.

Section 202.50 Public Policy Considerations

a) The arbitrator, with the approval of the Commission, may refuse to resolve a complaint for which arbitration is sought under this Part upon a showing by Commission Staff or an intervenor in the arbitration docket that it is more likely than not that sound public policy warrants the resolution of the dispute under 83 Ill. Adm. Code 200. Staff or an intervenor shall attempt to make such showing through a motion in the arbitration docket, to which the other parties to the arbitration may respond. Staff or the intervenor who filed the motion shall have the opportunity to reply to any such responses. Any such motion must be filed within 30 calendar days after the filing of the petition for arbitration.

b) Upon determining whether the burden set forth in subsection (a) has been met, the arbitrator shall prepare a "Proposed Section 202.50 Decision" setting forth the reasons why sound public policy either warrants or does not warrant the resolution of the complaint under 83 Ill. Adm. Code 200. The "Proposed Section 202.50 Decision" shall also assign any costs incurred pursuant to Section 202.80. The "Proposed Section 202.50 Decision" shall be served by the Chief Clerk of the Commission on Staff and all parties to the arbitration, including any intervenor. The arbitrator shall also designate, under an expedited schedule, dates for the receipt of Briefs on Exceptions and Briefs in Reply to Exceptions consistent with Section 202.530. Following the receipt of any Brief on Exceptions and Brief in Reply to Exceptions, the arbitrator shall prepare a "Post-Exceptions Section 202.50 Decision" concerning whether the complaint warrants resolution via arbitration and place it before the Commission for its consideration. The Commission shall either reject the "Post-Exceptions Section 202.50 Decision" or enter as the order in the arbitration docket the "Post-Exceptions Section 202.50 Decision" of the arbitrator without change, at which point it shall be relabeled "Section 202.50 Decision". If the Commission determines that arbitration is not warranted, the complaint shall be resolved under 83 Ill. Adm. Code 200.

c) Intervention in an arbitration docket shall be allowed only for the limited purpose of raising public policy considerations and addressing such considerations as described in this Section. Upon the denial of any motion raised under this Section, the participation of intervenors in the arbitration docket shall end.

ADMINISTRATIVE CODE

Section 202.60 Ex Parte Communications

a) The provisions of Section 5-50 of the State Officials and Employees Ethics Act [5 ILCS 430/5-50] and Section 10-60 of the IAPA [5 ILCS 100/10-60] shall apply in full to arbitration proceedings that are subject to this Part.

b) The provisions of Section 10-60 of the IAPA shall not apply, however, to communications between Commission employees who are engaged in investigatory or advocacy functions and other parties to the arbitration proceeding, provided that such Commission employees are still prohibited from communicating on an ex parte basis, as designated in Section 10-60 of the IAPA, directly or indirectly, with members of the Commission, an arbitrator in the proceeding, or any Commission employee who is or reasonably may be expected to be involved in the decisional process of the proceeding.

c) Any Commissioner, arbitrator, or other Commission employee who is or reasonably may 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 IAPA as modified by Section 10-103 of the Act 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).

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

1) Service on the parties at the arbitration; or

2) If no arbitration hearing is scheduled within the next seven days, service by hand delivery, overnight mail, courier service, telephone facsimile, or electronic mail on all parties to the arbitration.

Section 202.70 Duration of Arbitration

a) Unless otherwise agreed to by all of the parties and Staff, the arbitration process shall be completed no later than 150 days after the Chief Clerk's receipt of a joint petition for arbitration.

b) In the event that a motion is filed pursuant to Section 202.50, the time period specified in subsection (a) shall automatically toll until the Commission resolves the motion pursuant to Section 202.50.

ADMINISTRATIVE CODE

Section 202.80 Site Inspections

a) In the event that the arbitrator, the parties, and Staff deem a site inspection helpful in resolving the dispute, notice shall be given to the parties and Staff of the time and date of the inspection. Each party and Staff may have one or more representatives present during the inspection. If the arbitrator, the parties, and Staff do not all agree that a site inspection would be helpful, no site inspection shall occur.

b) Necessary and reasonable travel expenses, including lodging and meals, incurred by the arbitrator and Staff shall be reimbursed by the parties requesting arbitration. Unless allocated differently pursuant to subsection (c), each party shall pay an equal portion of the expenses.

c) Upon the resolution of the dispute, the arbitrator may determine that all travel expenses incurred by the arbitrator and Staff as a result of a site inspection shall be allocated in a manner different from that prescribed in subsection (b). Any difference from the allocation prescribed in subsection (b) shall be based on the ultimate resolution of the arbitration.

d) The assessment of the Commission's costs of a site inspection shall be issued to the parties by the Commission's Administrative Services Division. All assessments made under this Part shall be paid into the Public Utility Fund within 60 days after receiving notice of the assessments from the Commission.

SUBPART B: FORM, FILING AND SERVICE OF DOCUMENTS

Section 202.100 Communications to the Commission

All paper 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. All formal paper communications and documents are deemed to be officially filed or submitted only when delivered to the Springfield office of the Commission. The Chief Clerk is the official custodian of all Commission records.

Section 202.110 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 both sides of the paper when practical 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.

Section 202.120 Contents of Documents

a) All documents submitted in arbitration proceedings shall display the docket number of the proceeding. Documents initiating a new arbitration proceeding shall leave a space for the docket number. All documents shall also include 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 document. A party, in its first pleading in an arbitration proceeding, shall state whether it agrees to accept service by electronic means as provided for in Subpart G of this Part. 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) The original of every document filed shall be signed by the party filing the same or by an officer or agent. The factual assertions contained in all documents shall be verified by the filing party before a notary public or other officer authorized to administer oaths.

Section 202.130 Service

a) All documents shall be deemed filed on the date received by the Chief Clerk of the Commission. The original of any document shall be filed with the Chief Clerk. Service on the Chief Clerk of the Commission cannot be made by telephone facsimile. All documents shall be served upon the parties to the arbitration proceeding and the arbitrator on the day they are filed with the Chief Clerk of the Commission.

b) Proof of service of any paper shall be by certificate of attorney, acknowledgement of receipt, or affidavit.

SUBPART C: INITIATING ARBITRATION

Section 202.200 Petition for Arbitration

Arbitration of any complaint brought under the Act may be requested if all parties to the complaint request arbitration and the dispute is not otherwise subject to 83 Ill. Adm. Code 761 or 83 Ill. Adm. Code 766. Upon submitting a petition for arbitration, all parties to the complaint shall notify the Administrative Law Judge presiding over the complaint of their petition pursuant to Section 202.210 and request that the Commission stay the complaint proceeding until the arbitration is resolved. The Administrative Law Judge presiding over the complaint shall make a ruling on the record in the complaint docket indicating that the complaint proceeding is stayed pending resolution of the arbitration.

Section 202.210 Submitting a Petition for Arbitration

a) A request for arbitration shall be contained in a petition jointly submitted to the Chief Clerk of the Commission by agreement of all parties to the complaint. The petition shall initiate a new docket.

b) A petition for arbitration shall include:

1) A statement that the arbitration is being requested under 83 Ill. Adm. Code 202;

2) A statement of the issues to be resolved in the arbitration;

3) A statement of the specific relief sought by each party;

4) A statement that the parties agree to be bound by the decision of the arbitrator;

5) A statement that the parties waive 83 Ill. Adm. Code 200 and the IAPA [5 ILCS 100] to the extent that either conflicts with the procedures followed in the proceeding;

6) The name, address, telephone number, and, if available, the facsimile number and e-mail address of a contact person for each party submitting the petition for arbitration; and

7) The name of the first, second, and third choice of arbitrator chosen by the parties from the list of arbitrators on the Commission's web site.

c) A petition for arbitration may include any additional documents that the parties believe are pertinent to the matter.

Section 202.220 Designation of Arbitrator

a) Parties to a complaint requesting arbitration shall choose arbitrators from the list of arbitrators posted on the Commission's web site. Parties shall identify which of the chosen arbitrators is their first choice, which is their second choice, and which is their third choice. Parties unable to agree on a first and second choice of arbitrator may not file a petition requesting arbitration. If the arbitrator identified as the parties' first choice of arbitrator is unavailable to arbitrate the dispute, the arbitrator identified as the parties' second choice of arbitrator shall be designated to arbitrate the dispute. If the arbitrator identified as the parties’ second choice of arbitrator is unavailable to arbitrate the dispute, the arbitrator identified as the parties' third choice of arbitrator shall be designated to arbitrate the dispute. If the arbitrator identified as the parties' third choice of arbitrator is unavailable to arbitrate the dispute, the Chief Administrative Law Judge shall designate an arbitrator. The parties may either proceed with the designated arbitrator or withdraw the request for arbitration and resolve the complaint pursuant to 83 Ill. Adm. Code 200.

b) An Administrative Law Judge presiding over a complaint from which an arbitration request arises shall not serve as an arbitrator in that matter.

c) No member of Commission Staff participating in a complaint from which an arbitration request arises shall assist the arbitrator presiding over that arbitration.

d) No arbitrator shall have any financial or personal interest in the result of the arbitration. If an arbitrator becomes aware of any financial or personal interest in the result of the arbitration, the arbitrator must disclose the interest on the record to the parties at the earliest possible opportunity. If all of the parties waive any objection to such conflict of interest on the record, the arbitrator may continue to serve as arbitrator. If any of the parties object to the arbitrator's continued role in the proceeding, a new arbitrator shall be selected in the manner prescribed in subsection (a).

e) The Commission shall make available on its web site a list of arbitrators. The list shall include the location of each arbitrator (i.e, Springfield or Chicago).

SUBPART D: PRE-HEARING PROCEDURE

Section 202.300 Pre-arbitration Conference

Upon providing notice through the Chief Clerk of the Commission, the arbitrator may request all parties to attend a pre-arbitration conference. Such a conference may be held for any purpose, including, but not limited to:

a) Scheduling;

b) Identification and simplification of issues and procedures;

c) Amendments to documents;

d) Limitations on the number of witnesses;

e) The issuance of rulings denying, limiting, conditioning or regulating discovery;

f) The issuance of rulings supervising all or any part of any discovery procedure; and

g) Such other matters as may aid in the simplification of the issues and procedures and disposition of the proceeding, including, but not limited to, obtaining a written statement from Staff that it waives 83 Ill. Adm. Code 200 and the IAPA to the extent that either conflicts with the procedures followed in the proceeding.

Section 202.310 Failure to Comply with a Discovery Order or a Subpoena

If a person or party fails to comply with a discovery order or refuses to attend or be sworn at an arbitration hearing, the arbitrator may: suspend proceedings until compliance is obtained; strike all or any part of the documents of such party; refuse to allow the party to support designated claims or defenses; or proceed on the basis of the best information available from whatever source derived.

Section 202.320 Motion to Quash Subpoena

The arbitrator, upon motion, may quash or modify a subpoena or request for discovery.

Section 202.330 Protective Orders

a) At any time during the pendency of a proceeding, the arbitrator 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 arbitrator.

d) A public redacted version of each document submitted pursuant to this Section must also be submitted with the proprietary version. The proprietary version of any document should clearly indicate all portions that are considered proprietary in nature.

SUBPART E: ARBITRATION HEARING PROCEDURE

ADMINISTRATIVE CODE

Section 202.400 Hearing

a) Parties and Staff are entitled to be represented by an attorney, to be heard, to present evidence material to the controversy, and to cross-examine witnesses appearing at the hearing. All hearings conducted by the Commission shall be open to the public [220 ILCS 5/10-101].

b) In furtherance of minimizing procedural mechanisms as described in Section 202.10, parties and Staff are encouraged by the Commission to make oral presentations at a hearing or to simultaneously submit written statements setting forth their positions rather than submit written testimony in multiple stages.

c) All written statements or testimony shall be offered by a named witness available for cross-examination and shall be certified as true, correct and complete.

Section 202.410 Presentation of Witnesses

The arbitrator shall decide the order in which the parties and Staff shall present their witnesses for cross-examination. The arbitrator will specify whether certain witnesses may be presented as a panel for cross-examination. If the parties and Staff agree to waive cross-examination of each other's witnesses, the arbitrator may still require the presence of witnesses for the purpose of conducting his own cross-examination.

Section 202.420 Transcripts

a) A complete record of all arbitration hearings conducted under this Part shall be transcribed by a reporter appointed by the Commission. In the event that expedited transcripts are required, the cost of preparation shall be borne by the party requesting the expedited transcripts.

b) Suggested corrections to the transcript of record shall be filed within five days after the day on which the transcript is delivered or at such other time as prescribed by the arbitrator, and shall be in writing and served upon each party, the official reporter, and the arbitrator.

c) Objections to suggested corrections shall be filed within three days after the filing of the suggestions, unless otherwise prescribed by the arbitrator. The arbitrator shall determine what changes, if any, shall be made in the record.

d) If no objection is made to the suggested corrections, the arbitrator 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 arbitration record.

Section 202.430 Consolidation and Severance

a) When consistent with the requirements of the Act and with the consent of the parties and Staff, the arbitrator may, to the extent practical, order the consolidation of two or more proceedings under this Part in order to reduce administrative burdens.

b) When consistent with the requirements of the Act and with the consent of the parties and Staff, the arbitrator may, to the extent practical, order the severance of two or more proceedings previously consolidated under subsection (a) in order to reduce administrative burdens.

Section 202.440 Information to be Adduced at Arbitration

a) In all proceedings subject to this Part, irrelevant, immaterial or unduly repetitious information shall be excluded. Relevant information may be admitted at the arbitration if it is of a type commonly relied on by reasonably prudent persons in the conduct of their affairs.

b) Whenever a verified statement or exhibit contains language and/or figures that differ from the exhibit offered, the sponsoring party 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.

c) Any information offered in whatever form shall be subject to appropriate and timely objection. The arbitrator may, either with or without objection, exclude irrelevant, immaterial, unduly repetitious or otherwise inadmissible information.

Section 202.450 Information to be Under Oath or Affirmation

All orally presented information to be considered at the arbitration hearing shall be sworn or affirmed. All other information submitted at the arbitration hearing shall be verified pursuant to Section 202.120(b).

Section 202.460 Stipulation of Facts

Staff and the parties to any arbitration may, by written stipulation or by oral stipulation entered in the record, agree upon the facts or any part of the facts related to the contested issues in the arbitration. Notwithstanding the stipulation of the parties and Staff, the arbitrator may require further information in support of the facts stipulated.

Section 202.470 Exhibits

a) All exhibits shall be marked numerically and/or alphabetically with a party designation and shall conform to the requirements of Section 202.120.

b) When exhibits are identified for the record, unless the arbitrator directs otherwise, an original shall be offered at the arbitration and, unless previously provided, a copy provided to the arbitrator and to each party.

SUBPART F: POST-ARBITRATION PROCEDURE

Section 202.500 Briefs

a) If the parties and Staff agree to file briefs, at the close of the arbitration, the arbitrator shall set a schedule for the filing of briefs. Parties and Staff must use citations if they refer to testimony or evidence adduced at the arbitration hearings. At the discretion of the arbitrator, failure to use citations may result in rejection of all or part of the brief. Before rejecting all or part of a brief, however, the arbitrator shall allow a party or Staff an opportunity to provide any missing citations (no additional substantive argument may be added when given the opportunity to provide citations).

b) Briefs shall be concise and, if in excess of 20 pages, excluding appendices, shall contain:

1) A table of contents;

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

3) Argument.

Section 202.510 Draft Proposed Arbitration Decisions

The arbitrator may permit or require a party or parties to file draft proposed arbitration decisions.

Section 202.520 Proposed Arbitration Decision

The arbitrator shall, after the close of the arbitration, prepare a proposed arbitration decision, including a statement of findings and conclusions and the reasons or basis for the findings and conclusions, on all the material issues of fact, law or discretion presented on the record. The arbitration decision shall identify any award to be received by any party and assign costs pursuant to Sections 202.80. The arbitration decision shall include a schedule specifying when any award is to be made. The written arbitration decision shall be served by the Chief Clerk of the Commission on Staff and all parties to the arbitration.

Section 202.530 Exceptions; Reply

a) The parties and Staff may each file a "Brief on Exceptions" to the arbitrator's proposed arbitration decision at such time as is fixed by the arbitrator. With the agreement of the parties and Staff, the arbitrator may also allow the parties to file as a reply a "Brief in Reply to Exceptions".

b) Exceptions and replies to exceptions 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 a reply is made as to a statement or finding of fact, a suggested replacement statement or finding must be incorporated. Exceptions and replies may contain written arguments in support of the position taken by the party or Staff representative filing the exceptions or reply.

Section 202.540 Additional Hearings

Before issuance of a final decision, the arbitrator may, on his or her own motion, hold additional hearings for the purpose of clarifying any issues. In doing so, the arbitrator may ask the parties to provide additional evidence.

Section 202.550 Arbitration Decision

Following the receipt of any Brief on Exceptions and Brief in Reply to Exceptions, the arbitrator shall prepare a written arbitration decision consistent with the requirements of Section 202.520.

Section 202.560 Commission Entry of Award

The Commission shall enter as the order in the arbitration docket the arbitration decision of the arbitrator without change, subject to Sections 202.565 and 202.570.

Section 202.565 Vacating an Order Adopting the Arbitrator's Arbitration Decision

a) Upon a showing by Staff or a party to the arbitration, the Commission shall vacate an order entered pursuant to Section 202.560 where:

1) the arbitration decision was procured by corruption, fraud or other undue means;

2) there was evident partiality, corruption, or misconduct by an arbitrator prejudicing the rights of any party or Staff;

3) the arbitrator exceeded his or her powers; or

4) the arbitrator refused to hear evidence material to the controversy or otherwise conducted the hearing in a manner that prejudiced substantially the rights of a party or Staff.

b) An application under this Section shall be made within 30 days after delivery of a copy of the order to the applicant, except that, if predicated upon corruption, fraud or other undue means, it shall be made within 90 days after such grounds are known or should have been known.

c) If an order is vacated on the grounds set forth in subsection (a) and all of the parties that initially requested arbitration still wish to resolve their dispute pursuant to this Part, the Commission shall permit the parties to select another arbitrator pursuant to Section 202.220 and proceed under this Part. Site inspection costs assessed pursuant to Section 202.80 in the original arbitration proceeding shall be reassessed pursuant to Section 202.80 in any subsequent arbitration proceeding. If the parties no longer wish to resolve their dispute pursuant to this Part, any site inspection costs shall be split evenly between the parties and assessed as described in Section 202.80.

Section 202.570 Modifying or Correcting an Order Adopting the Arbitrator's Arbitration Decision

a) Upon application made by Staff or a party within 30 days after delivery to the applicant of a copy of the order entered pursuant to Section 202.560, the Commission shall modify or correct the order when:

1) there was an evident miscalculation of figures or an evident mistake in the description of any person, thing or property referred to in the order;

2) the arbitrator ruled upon an issue not submitted for arbitration and the order may be corrected without affecting the merits of the decision upon the issues submitted; or

3) the order contains errors of a stylistic or typographical nature not affecting the merits of the controversy.

b) If the application is granted, the Commission shall modify and correct the order within 60 days after the granting of the application with the input of the arbitrator so as to affect the arbitrator's intent and shall enter as the order in the arbitration docket the modified/corrected order.

c) An application to modify or correct an order may be joined in the alternative with an application to vacate the order.

SUBPART G: ELECTRONIC FILING

ADMINISTRATIVE CODE

Section 202.1000 Electronic Filing

With respect to electronic filing, Subpart F of 83 Ill. Adm. Code 200 will apply to filings under this Part with the following exceptions:

a) References to "Hearing Examiner" shall be read as references to "arbitrator".

b) The second sentence of 83 Ill. Adm. Code 200.1030(b) does not apply.

c) References to 83 Ill. Adm. Code 200.150 shall be read as references to 83 Ill. Adm. Code 202.130.

d) References to 83 Ill. Adm. Code 200.430 shall be read as references to 83 Ill. Adm. Code 202.330.

e) The second sentence of 83 Ill. Adm. Code 200.1060 is altered to read "If a prefiled electronic document is submitted without alteration at hearing, any requirement to offer multiple copies at hearing is eliminated."