Public Act 93-0457
HB3321 Enrolled LRB093 08427 JLS 12035 b
AN ACT concerning public utilities.
Be it enacted by the People of the State of Illinois,
represented in the General Assembly:
Section 5. The Public Utilities Act is amended by
changing Sections 4-202, 4-203, 5-109, 5-202, and 10-105 and
adding Section 5-202.1 as follows:
(220 ILCS 5/4-202) (from Ch. 111 2/3, par. 4-202)
Sec. 4-202. Action for injunction. Whenever the
Commission shall be of the opinion that any public utility is
failing or omitting or about to fail or omit, to do anything
required of it by law, or by any order, decision, rule,
regulation, direction, or requirement of the Commission,
issued or made under authority of this Act, or is doing
anything or about to do anything or permitting anything or
about to permit anything to be done, contrary to or in
violation of law or any order, decision, rule, regulation,
direction, or requirement of the Commission, issued or made
under authority of this Act, the Commission shall file an
action or proceeding in the circuit court in and for the
county in which the case or some part thereof arose, or in
which the person or corporation complained of, if any, has
its principal place of business, or in which the person
complained of, if any, resides, in the name of the People of
the State of Illinois, for the purpose of having the
violation or threatened violation stopped and prevented,
either by mandamus or injunction.
The Commission may express its opinion in a resolution
based upon whatever facts and evidence have come to its
attention and may issue the resolution ex parte and without
holding any administrative hearing before bringing suit.
Except in cases involving an imminent threat to the public
health or public safety, no such resolution shall be adopted
until 48 hours after the public utility has been given notice
of (i) the substance of the alleged violation, including a
citation to the law or order, decision, rule, regulation, or
direction of the Commission alleged to have been violated and
(ii) the time and date of the meeting at which such
resolution will first be before the Commission for
consideration.
The Commission shall file the action or proceeding by
complaint in the circuit court, alleging the violation or
threatened violation complained of, and praying for
appropriate relief by way of mandamus or injunction. It
shall thereupon be the duty of the court to specify a time,
not exceeding 20 days after the service of the copy of the
complaint, within which the public utility complained of must
answer the complaint, and in the meantime said public utility
may be restrained. In case of default in answer, or after
answer, the court shall immediately inquire into the facts
and circumstances of the case. Such corporation or persons
as the court may deem necessary or proper to be joined as
parties, in order to make its judgment, or order effective,
may be joined as parties. The final judgment in any action
or proceeding shall either dismiss the action or proceeding
or grant relief by mandamus or injunction or be made
permanent as prayed for in the complaint, or in such modified
or other form as will afford appropriate relief. An appeal
may be taken from such final judgment as in other civil
cases.
(Source: P.A. 84-617.)
(220 ILCS 5/4-203) (from Ch. 111 2/3, par. 4-203)
Sec. 4-203. Action to recover penalties.
(a) All civil penalties established under this Act shall
be assessed and collected by the Commission. Except for the
penalties provided under Section 2-202, civil penalties may
be assessed only after notice and opportunity to be heard.
In determining the amount of the penalty, the Commission
shall consider the appropriateness of the penalty to the size
of the business of the public utility, corporation other than
a public utility, or person acting as a public utility
charged, the gravity of the violation, such other mitigating
or aggravating factors as the Commission may find to exist,
and the good faith of the public utility, corporation other
than a public utility, or person acting as a public utility
charged in attempting to achieve compliance after
notification of a violation. Nothing in this Section,
however, increases or decreases any minimum or maximum
penalty prescribed elsewhere in this Act.
(b) If timely judicial review of a Commission order that
imposes a civil penalty is taken by the public utility,
corporation other than a public utility, or person acting as
a public utility on which the civil penalty has been imposed,
the reviewing court shall enter a judgment on all amounts
upon affirmance of the Commission order. If timely judicial
review is not taken and the civil penalty remains unpaid for
60 days after service of the order, the Commission in its
discretion may either begin revocation proceedings or bring
suit to recover the penalties. Unless stayed by a reviewing
court, interest at the post-judgment rate set forth in
Section 2-1303 of the Code of Civil Procedure shall accrue
from 60 days after the date of service of the Commission
order.
(c) Actions to recover delinquent civil penalties under
this Act shall be brought in the name of the People of the
State of Illinois in the circuit court in and for the county
in which the cause, or some part thereof, arose, or in which
the corporation complained of, if any, has its principal
place of business, or in which the person, if any, complained
of, resides. The action shall be commenced and prosecuted to
final judgment by the Commission. In any such action, all
interest incurred up to the time of final court judgment may
be sued for and recovered in that action. In all such
actions, the procedure and rules of evidence shall be the
same as in ordinary civil actions, except as otherwise herein
provided. All fines and penalties recovered by the State in
any such action shall be paid into the State treasury to the
credit of the General Revenue Fund. Any such action may be
compromised or discontinued on application of the Commission
upon such terms as the court shall approve and order.
(d) Civil penalties related to the late filing of
reports, taxes, or other filings shall be paid into the State
treasury to the credit of the Public Utility Fund. Except as
otherwise provided in this Act, all other fines and civil
penalties shall be paid into the State treasury to the credit
of the General Revenue Fund. Except as otherwise provided in
this Act, actions to recover penalties under this Act shall
be brought in the name of the People of the State of Illinois
in the circuit court in and for the county in which the
cause, or some part thereof, arose, or in which the
corporation complained of, if any, has its principal place of
business, or in which the person, if any, complained of,
resides. The action shall be commenced and prosecuted to
final judgment by the Commission. In any such action, all
penalties incurred up to the time of commencing the same may
be sued for and recovered. In all such actions, the procedure
and rules of evidence shall be the same as in ordinary civil
actions, except as otherwise herein provided. All fines and
penalties recovered by the State in any such action shall be
paid into the State treasury to the credit of the general
fund. Any such action may be compromised or discontinued on
application of the Commission upon such terms as the court
shall approve and order.
(Source: P.A. 84-617.)
(220 ILCS 5/5-109) (from Ch. 111 2/3, par. 5-109)
Sec. 5-109. Reports; false reports; penalty. Each
public utility in the State shall each year furnish to the
Commission, in such form as the Commission shall require,
annual reports as to all the items mentioned in the preceding
Sections of this Article, and in addition such other items,
whether of a nature similar to those therein enumerated or
otherwise, as the Commission may prescribe. Such annual
reports shall contain all the required information for the
period to 12 twelve months ending on the thirtieth day of
June 30 in each year, or ending on the thirty-first day of
December 31 in each year, as the Commission may by order
prescribe for each class of public utilities, and shall be
filed with the Commission at its office in Springfield within
three months after the close of the year for which the report
is made. The Commission shall have authority to require any
public utility to file monthly reports of earnings and
expenses of such utility, and to file other periodical or
special, or both periodical and special reports concerning
any matter about which the Commission is authorized by law to
keep itself informed. All reports shall be under oath.
When any report is erroneous or defective or appears to
the Commission to be erroneous or defective, the Commission
may notify the public utility to amend such report within 30
thirty days, and before or after the termination of such
period the Commission may examine the officers, agents, or
employees, and books, records, accounts, vouchers, plant,
equipment and property of such public utility, and correct
such items in the report as upon such examination the
Commission may find defective or erroneous.
All reports made to the Commission by any public utility
and the contents thereof shall be open to public inspection,
unless otherwise ordered by the Commission. Such reports
shall be preserved in the office of the Commission.
Any public utility which fails to make and file any
report called for by the Commission within the time
specified; or to make specific answer to any question
propounded by the Commission within 30 thirty days from the
time it is lawfully required to do so, or within such further
time, not to exceed 90 ninety days, as may in its discretion
be allowed by the Commission, shall forfeit up to $100 for
each and every day it may so be in default if the utility
collects less than $100,000 annually in gross revenue; and if
the utility collects $100,000 or more annually in gross
revenue, it shall forfeit $1,000 $100 per day for each and
every day it is in default.
Any person who willfully wilfully makes any false return
or report to the Commission, or to any member, officer, or
employee thereof, any person who willfully, in a return or
report, withholds or fails to provide material information to
which the Commission is entitled under this Act and which
information is either required to be filed by statute, rule,
regulation, order, or decision of the Commission or has been
requested by the Commission, and any person who willfully
aids or abets such person shall be guilty of a Class A
misdemeanor.
(Source: P.A. 84-617.)
(220 ILCS 5/5-202) (from Ch. 111 2/3, par. 5-202)
Sec. 5-202. Violations; penalty. Any public utility, or
any corporation other than a public utility, or any person
acting as a public utility, that which violates or fails to
comply with any provisions of this Act, or that which fails
to obey, observe, or comply with any order, decision, rule,
regulation, direction, or requirement, or any part or
provision thereof, of the Commission, made or issued under
authority of this Act, in a case in which a penalty is not
otherwise provided for in this Act, shall be subject to a
civil penalty imposed in the manner provided in Section
4-203. A small public utility, as defined in subsection (b)
of Section 4-502 of this Act, is subject to a civil penalty
of not less than $500 nor more than $2,000 for each and every
offense. All other public utilities, corporations other than
a public utility, and persons acting as a public utility are
subject to a civil penalty of up to $30,000 for each and
every offense, except as provided in this Section and in
Sections 13-101, 13-304, 13-305, and 5-202.1 of this Act.
Every violation of the provisions of this Act or of any
order, decision, rule, regulation, direction, or requirement
of the Commission, or any part or portion thereof, by any
corporation or person, is a separate and distinct offense,
provided, however, that if the same act or omission violates
more than one provision of this Act, or of any order,
decision, rule, regulation, direction, or requirement of the
Commission, only one penalty or cumulative penalty may be
imposed for such act or omission. In case of a continuing
violation, each day's continuance thereof shall be a separate
and distinct offense, provided, however, that the cumulative
penalty for any continuing violation shall not exceed
$500,000, except in the case of a small utility, as defined
in subsection (b) of Section 4-502 of this Act, in which case
the cumulative penalty for any continuing violation shall not
exceed $35,000, and provided further that these limits shall
not apply where the violation was intentional and either (i)
created substantial risk to the safety of the utility's
employees or customers or the public or (ii) was intended to
cause economic benefits to accrue to the violator and in case
of a continuing violation each day's continuance thereof
shall be a separate and distinct offense.
In construing and enforcing the provisions of this Act
relating to penalties, the act, omission, or failure of any
officer, agent, or employee of any public utility,
corporation other than a public utility, or person acting as
a public utility, that is acting within the scope of his
official duties or employment, shall in every case be deemed
to be the act, omission, or failure of such public utility,
corporation other than a public utility, or person acting as
a public utility.
If the party who has violated or failed to comply with
this Act or an order, decision, rule, regulation, direction,
or requirement of the Commission, or any part or provision
thereof, fails to seek timely review pursuant to Sections
10-113 and 10-201 of this Act within 30 days of service of
the order, the party shall, upon expiration of the statutory
time limit 30 days, be subject to the civil penalty provision
of this Section.
No penalties shall accrue under this provision until 15
days after the mailing of a notice to such party or parties
that they are in violation of or have failed to comply with
the Act or order, decision, rule, regulation, direction, or
requirement of the Commission or any part or provision
thereof, except that this notice provision shall not apply
when the violation was intentional.
(Source: P.A. 87-164.)
(220 ILCS 5/5-202.1 new)
Sec. 5-202.1. Misrepresentation before Commission;
penalty.
(a) Any person or corporation, as defined in Sections
3-113 and 3-114 of this Act, who knowingly misrepresents
facts or knowingly aids another in doing so or knowingly
permits another to misrepresent facts through testimony or
the offering or withholding of material information in any
proceeding shall be subject to a civil penalty. Whenever the
Commission is of the opinion that a person or corporation is
misrepresenting or has misrepresented facts, the Commission
may initiate a proceeding to determine whether a
misrepresentation has in fact occurred. If the Commission
finds that a person or corporation has violated this Section,
the Commission shall impose a penalty of not less than $1,000
and not greater than $500,000. Each misrepresentation of a
fact found by the Commission shall constitute a separate and
distinct violation. In determining the amount of the penalty
to be assessed, the Commission may consider any matters of
record in aggravation or mitigation of the penalty, as set
forth in Section 4-203, including but not limited to the
following:
(1) the presence or absence of due diligence on the
part of the violator in attempting to comply with the
Act;
(2) any economic benefits accrued, or expected to
be accrued, by the violator because of the
misrepresentation; and
(3) the amount of monetary penalty that will serve
to deter further violations by the violator and to
otherwise aid in enhancing voluntary compliance with the
Act.
(b) Any action to enforce civil penalties arising under
this Section shall be undertaken pursuant to Section 4-203.
(220 ILCS 5/10-105) (from Ch. 111 2/3, par. 10-105)
Sec. 10-105. No person shall be excused from testifying
or from producing any papers, books, accounts or documents in
any investigation or inquiry or upon any hearing ordered by
the Commission, when ordered to do so by the Commission or
any commissioner or hearing examiner, upon the ground that
the testimony or evidence, documentary or otherwise, may tend
to incriminate him or subject him to a penalty or forfeiture.
But no person shall be prosecuted or subjected to any penalty
or forfeiture for or on account of any transaction, matter or
thing concerning which he may testify or produce evidence,
documentary or otherwise, before the Commission or a
commissioner or hearing examiner: Provided, that such
immunity shall extend only to a natural person, who in
obedience to a subpoena, gives testimony under oath or
produces evidence, documentary or otherwise under oath. No
person so testifying shall be exempt from prosecution and
punishment for perjury committed in so testifying. The
Commission or a commissioner or hearing examiner may, on the
motion of a party or on its own motion, strike, in whole or
in part, the testimony of a person who is not reasonably
prepared to respond to questions under cross-examination
intending to elicit information directly related to matters
raised by that person in his testimony.
(Source: P.A. 84-617.)
Section 99. Effective date. This Act takes effect upon
becoming law.